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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
+4.69%
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
$32.1B
AUM Growth
+$306M
Cap. Flow
-$1.05B
Cap. Flow %
-3.25%
Top 10 Hldgs %
5.21%
Holding
3,026
New
153
Increased
1,158
Reduced
1,530
Closed
143

Top Buys

Rank Stock Value
1
FTV icon
Fortive
FTV
+$39.8M
2
COO icon
Cooper Companies
COO
+$29.5M
3
MTD icon
Mettler-Toledo International
MTD
+$29.1M
4
ALB icon
Albemarle
ALB
+$25M
5
LNT icon
Alliant Energy
LNT
+$23.9M

Top Sells

Rank Stock Value
1
DRII
DIAMOND RESORTS INTL, INC
DRII
+$283M
2
TTE icon
TotalEnergies
TTE
+$80.2M
3
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$57.3M
4
EMC
EMC CORPORATION
EMC
+$36.4M
5
GAS
AGL Resources Inc
GAS
+$36.3M

Sector Composition

Rank Sector Weight
1 Technology 12.43%
2 Healthcare 11.67%
3 Financials 11.21%
4 Industrials 10.39%
5 Consumer Discretionary 10.05%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SABA
2676
Saba Capital Income & Opportunities Fund II
SABA
$224M
$176K ﹤0.01%
14,142
-560
-4% -$7.15K
ANH
2677
DELISTED
Anworth Mortgage Asset Corporation
ANH
$175K ﹤0.01%
+35,590
New +$174K
BTE icon
2678
Baytex Energy
BTE
$2.96B
$174K ﹤0.01%
41,008
-35,896
-47% -$173K
PDS
2679
Precision Drilling
PDS
$964M
$173K ﹤0.01%
2,066
-138
-6% -$12.1K
PSO icon
2680
Pearson
PSO
$10B
$172K ﹤0.01%
17,568
+2,151
+14% +$24.7K
GI
2681
DELISTED
EndoChoice Holdings, Inc.
GI
$170K ﹤0.01%
+21,210
New +$99.3K
DRD
2682
DRDGold
DRD
$1.97B
$168K ﹤0.01%
+33,861
New +$231K
PIM
2683
Franklin Master Intermediate Income Trust
PIM
$151M
$168K ﹤0.01%
+38,001
New +$169K
TVPT
2684
DELISTED
Travelport Worldwide Limited
TVPT
$165K ﹤0.01%
11,010
-515
-4% -$7.08K
MLCO icon
2685
Melco Resorts & Entertainment
MLCO
$2.2B
$163K ﹤0.01%
10,112
-5,000
-33% -$70.4K
ASC icon
2686
Ardmore Shipping
ASC
$682M
$158K ﹤0.01%
22,581
-24,824
-52% -$182K
LGI
2687
Lazard Global Total Return & Income Fund
LGI
$237M
$157K ﹤0.01%
11,206
– –
LYTS icon
2688
LSI Industries
LYTS
$919M
$154K ﹤0.01%
13,750
+116
+0.9% +$1.24K
ACLS icon
2689
Axcelis
ACLS
$4.16B
$152K ﹤0.01%
11,464
-322
-3% -$3.74K
PNK
2690
DELISTED
Pinnacle Entertainment Inc.
PNK
$147K ﹤0.01%
11,889
-1,724
-13% -$19.7K
AIFU
2691
AIFU Inc
AIFU
$216M
$146K ﹤0.01%
48
– –
VSA
2692
VisionSys AI
VSA
$8.57M
$146K ﹤0.01%
+4
New +$125K
SVA
2693
DELISTED
Sinovac Biotech, Ltd
SVA
$146K ﹤0.01%
24,755
+37
+0.1% +$218
ABR icon
2694
Arbor Realty Trust
ABR
$978M
$144K ﹤0.01%
19,457
-2,228
-10% -$16.5K
CSR
2695
Centerspace
CSR
$941M
$144K ﹤0.01%
2,418
-4,220
-64% -$269K
SALE
2696
DELISTED
RetailMeNot, Inc. Series 1
SALE
$143K ﹤0.01%
14,495
-740
-5% -$7.48K
BBG
2697
DELISTED
Bill Barrett Corp
BBG
$136K ﹤0.01%
24,481
-46
-0.2% -$274
XXIA
2698
DELISTED
Ixia
XXIA
$136K ﹤0.01%
10,898
-3,162
-22% -$36.2K
JMEI
2699
DELISTED
Jumei International Holding Limited American depositary shares, each representing ten Class A ordina
JMEI
$134K ﹤0.01%
2,294
+382
+20% +$18.2K
ZAGG
2700
DELISTED
ZAGG Inc Common Stock (Delaware)
ZAGG
$133K ﹤0.01%
16,332
+137
+0.8% +$958
106 107
108
109 110

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
Fundsmith LLP
Fundsmith LLP London, United Kingdom $12.8B AUM 6.9% 1-Year Est. Return
CII
Capital International Inc Los Angeles, California $13B AUM 31.88% 1-Year Est. Return
AAMU
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return
ZIG
Zurich Insurance Group Zurich, Switzerland $12.7B AUM 53.57% 1-Year Est. Return

Guggenheim Capital's Q3 2016 Portfolio in Review

As of Q3 2016, Guggenheim Capital held 3,026 positions worth $32.1B, up 0.96% from $31.8B the previous quarter. Its ten largest holdings account for 5.2% of the portfolio.

Guggenheim Capital withdrew a net $1.05B in Q3 2016, closing 143 positions and reducing 1,530 holdings. Its most notable exit was DIAMOND RESORTS INTL, INC, an estimated $283M position sold in full.

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

Against the trend, Guggenheim Capital opened a new position in Fortive worth $39.8M.

  • Guggenheim Capital's largest Q3 2016 buy was Fortive: 1,239,033 shares worth $39.8M.
  • Guggenheim Capital added most to Cooper Companies in Q3 2016, an estimated $29.5M increase.
  • Guggenheim Capital's biggest Q3 2016 reduction was TotalEnergies, cutting an estimated $80.2M.
  • Guggenheim Capital fully exited DIAMOND RESORTS INTL, INC in Q3 2016, selling an estimated $283M.
  • Guggenheim Capital's ten largest holdings make up 5.2% of its $32.1B portfolio in Q3 2016.
  • Guggenheim Capital opened 153 new positions and closed 143 in Q3 2016.
  • Guggenheim Capital's portfolio value rose 0.96% quarter-over-quarter to $32.1B.

Based on Guggenheim Capital's 13F filing for Q3 2016, filed 15 Nov 2016.