GUGGENHEIM CAPITAL LLC

Q3 2020 13F-HR Detailed Holdings

Location
Chicago, IL
Holdings as of
9/30/2020
Date filed
11/13/2020
Form type
13F-HR
Num holdings
3,898
Total value ($000)
$13,816,303
Net value change ($000)
+891,261 (6.9%)
New positions
128
Sold out positions
85
Turnover %
4.6%
Sector allocation + QoQ delta (equities-only)

Holdings broken out by other managers reported in the original SEC filing. View aggregated holdings

Prev filing: 8/14/2020 Next filing: 2/16/2021 SEC filing
You are on the SEC detailed breakdown page. Rows are shown as reported in the filing (including other manager, discretion, and voting authority fields), and are not merged like the standard holdings view. Switch to aggregated holdings.

Snapshot: Change Analysis

Compared to Q2 2020
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
Pershing Square Tontine Holdings, Ltd. 499,180 NEW
LQD 162,042 16.5%
AAPL 67,557 18.3%
TSLA 40,091 90.7%
AMZN 31,087 10.2%
NVDA 25,225 32.1%
CRM 21,399 60.4%
META 14,915 10.2%
NOW 12,650 53.3%
QCOM 12,454 23.0%
Top Reduces (Value $000, Stocks/ETFs)
HYG -139,361 -33.6%
SLV -45,494 -81.0%
GBAB -20,953 -78.1%
GILD -15,258 -23.3%
INTC -14,478 -16.0%
ABBV -13,787 -17.6%
CSCO -13,746 -16.2%
FCX -11,502 -56.8%
POR -9,998 -89.1%
CVX -9,631 -23.6%
Instrument mix + QoQ Δ (ex-options)
Derivatives reported exposure ($000): 120,024 (0.9% of total reported value)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type Discretion Other Manager Sole Shared None

Other Managers

Num Name File Number
1 GUGGENHEIM FUNDS DISTRIBUTORS, LLC 28-12550
2 SECURITY INVESTORS LLC 28-01689
3 Guggenheim Partners Investment Management, LLC 28-12837
4 Guggenheim Life & Annuity Co 28-18657
5 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 28-11097