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GC

Guggenheim Capital Portfolio holdings

AUM $12.9B
1-Year Est. Return 27.3%
This Fund
S&P 500
This Quarter Est. Return
+7.56%
1 Year Est. Return
+27.3%
3 Year Est. Return
+83.37%
5 Year Est. Return
+104.66%
10 Year Est. Return
+359.15%
AUM
$27.9B
AUM Growth
+$4.08B
Cap. Flow
+$2.62B
Cap. Flow %
9.39%
Top 10 Hldgs %
6.03%
Holding
3,311
New
278
Increased
1,671
Reduced
1,018
Closed
254

Top Buys

Rank Stock Value
1
DIA icon
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
+$123M
2
TFCFA
Twenty-First Century Fox, Inc. Class A
TFCFA
+$39.9M
3
BSJF
GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF
BSJF
+$36.6M
4
BMR
BIOMED REALTY TRUST INC
BMR
+$35.6M
5
ARE icon
Alexandria Real Estate Equities
ARE
+$34.5M

Top Sells

Rank Stock Value
1
QQQ icon
Invesco QQQ Trust
QQQ
+$111M
2
MINT icon
PIMCO Enhanced Short Maturity Active Exchange-Traded Fund
MINT
+$60.8M
3
GDP
GOODRICH PETROLEUM CORP(NEW)
GDP
+$49.7M
4
MDR
McDermott International
MDR
+$37.4M
5
ORCL icon
Oracle
ORCL
+$33.1M

Sector Composition

Rank Sector Weight
1 Financials 11.11%
2 Industrials 10.08%
3 Technology 9.94%
4 Healthcare 9.76%
5 Consumer Discretionary 9.43%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SPY icon
1
State Street SPDR S&P 500 ETF Trust
SPY
$777B
$405M 1.46%
2,412,678
+177,395
+8% +$29.7M
AAPL icon
2
Apple
AAPL
$4.72T
$220M 0.79%
12,917,352
+1,717,240
+15% +$28.5M
THG icon
3
Hanover Insurance
THG
$7.49B
$160M 0.58%
2,898,567
+75,259
+3% +$4M
CSC
4
DELISTED
Computer Sciences
CSC
$144M 0.52%
6,586,307
+142,127
+2% +$2.99M
MSFT icon
5
Microsoft
MSFT
$2.83T
$143M 0.51%
4,289,320
+671,921
+19% +$22.1M
SPY icon
6
CALL
State Street SPDR S&P 500 ETF Trust
SPY
$777B
$130M 0.47%
+770,000
New +$129M
B
7
Barrick Mining
B
$62.3B
$126M 0.45%
6,746,006
-577,912
-8% -$10.2M
DIA icon
8
State Street SPDR Dow Jones Industrial Average ETF Trust
DIA
$45.6B
$122M 0.44%
+806,700
New +$123M
GOOG icon
9
Alphabet (Google) Class C
GOOG
$3.89T
$120M 0.43%
5,495,441
+495,209
+10% +$10.9M
SPY icon
10
PUT
State Street SPDR S&P 500 ETF Trust
SPY
$777B
$109M 0.39%
643,100
+470,600
+273% +$78.9M
GILD icon
11
Gilead Sciences
GILD
$162B
$105M 0.38%
1,663,107
+220,060
+15% +$13.2M
RGA icon
12
Reinsurance Group of America
RGA
$15.3B
$104M 0.37%
1,556,614
+81,609
+6% +$5.51M
CVX icon
13
Chevron
CVX
$387B
$104M 0.37%
856,365
+45,635
+6% +$5.61M
INTC icon
14
Intel
INTC
$504B
$102M 0.37%
4,437,565
+512,342
+13% +$11.8M
GDX icon
15
VanEck Gold Miners ETF
GDX
$22.9B
$100M 0.36%
4,000,000
-6,912
-0.2% -$184K
OI icon
16
O-I Glass
OI
$1.37B
$99.9M 0.36%
3,327,712
+130,049
+4% +$3.86M
AMGN icon
17
Amgen
AMGN
$201B
$98.2M 0.35%
877,479
+127,994
+17% +$13.9M
PWR icon
18
Quanta Services
PWR
$98.1B
$94.4M 0.34%
3,431,445
+360,107
+12% +$9.74M
AMZN icon
19
Amazon
AMZN
$2.51T
$92.4M 0.33%
5,910,420
+1,346,520
+30% +$20.1M
URS
20
DELISTED
URS CORP
URS
$92.3M 0.33%
1,717,636
+39,455
+2% +$1.96M
BG icon
21
Bunge Global
BG
$23.7B
$92.1M 0.33%
1,213,254
+132,105
+12% +$10M
CELG
22
DELISTED
Celgene Corp
CELG
$91.2M 0.33%
1,184,936
-16,800
-1% -$1.18M
CSCO icon
23
Cisco
CSCO
$444B
$90.8M 0.33%
3,876,326
+541,454
+16% +$13.4M
XOM icon
24
ExxonMobil
XOM
$650B
$88.9M 0.32%
1,033,070
+19,457
+2% +$1.75M
CVA
25
DELISTED
Covanta Holding Corporation
CVA
$84.5M 0.3%
3,954,490
+154,723
+4% +$3.25M
1
2 3 4 5

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NMIFOAC
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Guggenheim Capital's Q3 2013 Portfolio in Review

As of Q3 2013, Guggenheim Capital held 3,311 positions worth $27.9B, up 17% from $23.8B the previous quarter. Its ten largest holdings account for 6% of the portfolio.

Guggenheim Capital deployed $2.62B of net new capital in Q3 2013, opening 278 new positions and adding to 1,671 existing holdings. Its largest new stake was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.

By sector, the portfolio is most concentrated in Financials at 11% of assets, down from 12% a quarter earlier, followed by Industrials and Technology.

On the sell side, the largest reduction was Invesco QQQ Trust, an estimated $111M trimmed.

  • Guggenheim Capital's largest Q3 2013 buy was State Street SPDR Dow Jones Industrial Average ETF Trust: 806,700 shares worth $122M.
  • Guggenheim Capital added most to GUGGENGEIM BULLETSHARES 2015 HIGH YIELD CORPORATE BOND ETF in Q3 2013, an estimated $36.6M increase.
  • Guggenheim Capital's biggest Q3 2013 reduction was Invesco QQQ Trust, cutting an estimated $111M.
  • Guggenheim Capital fully exited PIMCO Enhanced Short Maturity Active Exchange-Traded Fund in Q3 2013, selling an estimated $60.8M.
  • Guggenheim Capital's ten largest holdings make up 6% of its $27.9B portfolio in Q3 2013.
  • Guggenheim Capital opened 278 new positions and closed 254 in Q3 2013.
  • Guggenheim Capital's portfolio value rose 17% quarter-over-quarter to $27.9B.

Based on Guggenheim Capital's 13F filing for Q3 2013, filed 14 Nov 2013.