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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
+5.8%
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
$42.2B
AUM Growth
-$360M
Cap. Flow
-$2.32B
Cap. Flow %
-5.5%
Top 10 Hldgs %
7.6%
Holding
2,945
New
147
Increased
1,226
Reduced
1,320
Closed
236

Top Buys

Rank Stock Value
1
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$859M
2
AAPL icon
Apple
AAPL
+$61.2M
3
NCLH icon
Norwegian Cruise Line
NCLH
+$56M
4
VRTX icon
Vertex Pharmaceuticals
VRTX
+$55.7M
5
EVHC
Envision Healthcare Holdings Inc
EVHC
+$40.4M

Top Sells

Rank Stock Value
1
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$106M
2
ULQ
CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF
ULQ
+$84.5M
3
BCR
CR Bard Inc.
BCR
+$53.6M
4
AMAT icon
Applied Materials
AMAT
+$37.5M
5
LVLT
Level 3 Communications Inc
LVLT
+$37.4M

Sector Composition

Rank Sector Weight
1 Technology 14.48%
2 Financials 12.95%
3 Healthcare 12.03%
4 Industrials 10.73%
5 Consumer Discretionary 10.33%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SLS icon
2701
SELLAS Life Sciences
SLS
$1.97B
$5K ﹤0.01%
12
-1
-8% -$484
AGIG
2702
Abundia Global Impact Group
AGIG
$42.5M
$4K ﹤0.01%
97
-12
-11% -$588
OGEN icon
2703
Oragenics
OGEN
$2.26M
$4K ﹤0.01%
1
– –
ARGS
2704
DELISTED
Argos Therapeutics, Inc.
ARGS
$4K ﹤0.01%
1,244
-155
-11% -$520
XTIA icon
2705
XTI Aerospace
XTIA
$57.3M
– –
0
– –
TMBR
2706
DELISTED
Timber Pharmaceuticals, Inc.
TMBR
$3K ﹤0.01%
2
– –
AVGR
2707
DELISTED
Avinger, Inc. Common Stock
AVGR
– –
0
– –
AAON icon
2708
Aaon
AAON
$7.3B
– –
-47,718
Closed -$1.1M
ACV
2709
Virtus Diversified Income & Convertible Fund
ACV
$278M
– –
-316,374
Closed -$6.8M
ADC icon
2710
Agree Realty
ADC
$9.34B
– –
-28,676
Closed -$1.41M
ALTO icon
2711
Alto Ingredients
ALTO
$369M
– –
-10,962
Closed -$61K
AORT icon
2712
Artivion
AORT
$1.3B
– –
-59,391
Closed -$1.35M
APEI icon
2713
American Public Education
APEI
$890M
– –
-38,533
Closed -$810K
ARDC
2714
Are Dynamic Credit Allocation Fund
ARDC
$297M
– –
-213,396
Closed -$3.5M
ASIX icon
2715
AdvanSix
ASIX
$541M
– –
-83,684
Closed -$3.33M
ASTC icon
2716
Astrotech Corp
ASTC
$13.1M
– –
-68
Closed -$10K
ASTE icon
2717
Astec Industries
ASTE
$1.16B
– –
-16,137
Closed -$906K
AZUL
2718
DELISTED
Azul
AZUL
– –
-7,854
Closed -$216K
BAC.PRL icon
2719
Bank of America Series L
BAC.PRL
$3.97B
– –
-2,809
Closed -$3.66M
BATRA icon
2720
Atlanta Braves Holdings Series A
BATRA
$3.49B
– –
-305
Closed -$7K
BKE icon
2721
Buckle
BKE
$2.25B
– –
-77,843
Closed -$1.31M
BVN icon
2722
Compañía de Minas Buenaventura
BVN
$7.69B
– –
-230,955
Closed -$2.95M
BYM
2723
DELISTED
BlackRock Municipal Income Quality Trust
BYM
– –
-548,762
Closed -$8.06M
CHH icon
2724
Choice Hotels
CHH
$5.07B
– –
-14,275
Closed -$912K
CMBS icon
2725
iShares CMBS ETF
CMBS
$472M
– –
-26,004
Closed -$1.34M
107 108
109
110 111

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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
NMIFOAC
National Mutual Insurance Federation of Agricultural Cooperatives Tokyo, Japan, Japan $13B AUM 17.65% 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

Guggenheim Capital's Q4 2017 Portfolio in Review

As of Q4 2017, Guggenheim Capital held 2,945 positions worth $42.2B, down 0.85% from $42.6B the previous quarter. Its ten largest holdings account for 7.6% of the portfolio.

Guggenheim Capital withdrew a net $2.32B in Q4 2017, closing 236 positions and reducing 1,320 holdings. Its most notable exit was CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF, an estimated $84.5M position sold in full.

By sector, the portfolio is most concentrated in Technology at 14% of assets, up from 13% a quarter earlier, followed by Financials and Healthcare.

Against the trend, Guggenheim Capital opened a new position in iShares China Large-Cap ETF worth $18M.

  • Guggenheim Capital's largest Q4 2017 buy was iShares China Large-Cap ETF: 389,755 shares worth $18M.
  • Guggenheim Capital added most to iShares iBoxx $ Investment Grade Corporate Bond ETF in Q4 2017, an estimated $859M increase.
  • Guggenheim Capital's biggest Q4 2017 reduction was iShares iBoxx $ High Yield Corporate Bond ETF, cutting an estimated $106M.
  • Guggenheim Capital fully exited CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF in Q4 2017, selling an estimated $84.5M.
  • Guggenheim Capital's ten largest holdings make up 7.6% of its $42.2B portfolio in Q4 2017.
  • Guggenheim Capital opened 147 new positions and closed 236 in Q4 2017.
  • Guggenheim Capital's portfolio value fell 0.85% quarter-over-quarter to $42.2B.

Based on Guggenheim Capital's 13F filing for Q4 2017, filed 14 Feb 2018.