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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
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$57.3M
3
EMC
EMC CORPORATION
EMC
+$36.4M
4
GAS
AGL Resources Inc
GAS
+$36.3M
5
CPGX
COLUMBIA PIPELINE GROUP IN COM STK (DE)
CPGX
+$34.7M

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
PIR
2776
DELISTED
Pier 1 Imports, Inc.
PIR
$43K ﹤0.01%
511
-21,633
-98% -$2.04M
III icon
2777
Information Services Group
III
$205M
$41K ﹤0.01%
10,248
+5
+0% +$19
LYG icon
2778
Lloyds Banking Group
LYG
$90.3B
$41K ﹤0.01%
14,161
+2,968
+27% +$8.82K
TLPH icon
2779
Talphera
TLPH
$69M
$41K ﹤0.01%
527
– –
INSG icon
2780
Inseego
INSG
$120M
$40K ﹤0.01%
+1,290
New +$32.3K
COWN
2781
DELISTED
Cowen Inc. Class A Common Stock
COWN
$40K ﹤0.01%
2,741
-2,781
-50% -$36.8K
VXRT
2782
DELISTED
Vaxart
VXRT
$37K ﹤0.01%
1,760
+615
+54% +$9.73K
DRRX
2783
DELISTED
DURECT Corp
DRRX
$36K ﹤0.01%
2,606
+5
+0.2% +$82
ROX
2784
DELISTED
Castle Brands, Inc.
ROX
$34K ﹤0.01%
+39,008
New +$33.8K
APVO icon
2785
Aptevo Therapeutics
APVO
$4.92M
– –
0
– –
NWY
2786
DELISTED
New York & Co Inc
NWY
$31K ﹤0.01%
13,693
+98
+0.7% +$195
AEGR
2787
DELISTED
Aegerion Pharmaceuticals
AEGR
$30K ﹤0.01%
+10,124
New +$17.5K
EMKR
2788
DELISTED
Emcore Corp
EMKR
$30K ﹤0.01%
+520
New +$28.7K
INOD icon
2789
Innodata
INOD
$2.29B
$29K ﹤0.01%
+11,613
New +$27.2K
UEC icon
2790
Uranium Energy
UEC
$5.2B
$29K ﹤0.01%
29,069
-217
-0.7% -$219
TOVX icon
2791
Theriva Biologics
TOVX
$10.5M
$28K ﹤0.01%
2
– –
ALIM
2792
DELISTED
Alimera Sciences
ALIM
$28K ﹤0.01%
+1,237
New +$28.5K
IPAS
2793
DELISTED
Ipass Inc Common Stock
IPAS
$28K ﹤0.01%
+1,757
New +$26.3K
WHLR
2794
Wheeler Real Estate Investment Trust
WHLR
$492K
– –
0
– –
ALR
2795
DELISTED
AlerisLife Inc
ALR
$27K ﹤0.01%
1,436
-10
-0.7% -$214
GNSS icon
2796
Genasys
GNSS
$78.3M
$26K ﹤0.01%
+14,095
New +$26.8K
LILA icon
2797
Liberty Latin America Class A
LILA
$1.69B
$26K ﹤0.01%
1,471
-7,258
-83% -$143K
CDMO
2798
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$26K ﹤0.01%
8,663
-79
-0.9% -$212
INFI
2799
DELISTED
Infinity Pharmaceuticals, Inc.
INFI
$26K ﹤0.01%
+16,655
New +$25.6K
TLRA
2800
DELISTED
Telaria, Inc.
TLRA
$26K ﹤0.01%
+15,322
New +$27K
110 111
112
113 114

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AIM
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Fundsmith LLP
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CII
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AAMU
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NMIFOAC
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WANY
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ACA
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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 iShares iBoxx $ Investment Grade Corporate Bond ETF, cutting an estimated $57.3M.
  • 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.