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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
ARQL
2801
DELISTED
Arqule Inc
ARQL
$26K ﹤0.01%
14,661
-110
-0.7% -$175
WG
2802
DELISTED
Willbros Group
WG
$26K ﹤0.01%
13,775
+11
+0.1% +$23
NMM icon
2803
Navios Maritime Partners
NMM
$2.31B
$25K ﹤0.01%
1,211
-2,529
-68% -$55.2K
ROYT
2804
DELISTED
PACIFIC COAST OIL TRUST
ROYT
$25K ﹤0.01%
+13,896
New +$26.4K
SES
2805
DELISTED
Synthesis Energy Systems Inc.
SES
$25K ﹤0.01%
322
-4
-1% -$296
GIG
2806
DELISTED
GigPeak, Inc.
GIG
$25K ﹤0.01%
+10,258
New +$21.2K
TURN
2807
DELISTED
180 Degree Capital
TURN
$24K ﹤0.01%
+5,757
New +$26.4K
HGT
2808
DELISTED
Hugoton Royalty Trust
HGT
$24K ﹤0.01%
10,124
-76
-0.7% -$171
CTIC
2809
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$24K ﹤0.01%
6,302
-57
-0.9% -$208
BBDO icon
2810
Banco Bradesco
BBDO
$35.7B
$23K ﹤0.01%
4,143
– –
CPRX
2811
DELISTED
Catalyst Pharmaceutical
CPRX
$23K ﹤0.01%
21,335
-260
-1% -$234
PLX icon
2812
Protalix BioTherapeutics
PLX
$187M
$23K ﹤0.01%
+4,040
New +$25.2K
UTSI icon
2813
UTStarcom
UTSI
$23.5M
$23K ﹤0.01%
+2,730
New +$21.7K
VVUS
2814
DELISTED
Vivus Inc
VVUS
$23K ﹤0.01%
2,056
-25
-1% -$274
LITS
2815
Lite Strategy Inc
LITS
$33.4M
$22K ﹤0.01%
620
+90
+17% +$3.03K
BIOL
2816
DELISTED
Biolase, Inc.
BIOL
$22K ﹤0.01%
1
– –
ALSK
2817
DELISTED
Alaska Communications Systems
ALSK
$21K ﹤0.01%
11,998
-90
-0.7% -$152
ZN
2818
DELISTED
Zion Oil & Gas, Inc.
ZN
$21K ﹤0.01%
15,071
-213
-1% -$296
CASM
2819
DELISTED
CAS Medical Systems, Inc.
CASM
$21K ﹤0.01%
12,517
-194
-2% -$337
GROW icon
2820
US Global Investors
GROW
$37M
$20K ﹤0.01%
10,731
-180
-2% -$369
XOMA
2821
DELISTED
Xoma
XOMA
$20K ﹤0.01%
2,164
+1,009
+87% +$11.6K
PPP
2822
DELISTED
Primero Mining Corp
PPP
$20K ﹤0.01%
11,957
-615,224
-98% -$1.18M
IMNN icon
2823
Imunon
IMNN
$6.64M
$19K ﹤0.01%
+6
New +$20.5K
WYY icon
2824
WidePoint Corp
WYY
$103M
$19K ﹤0.01%
+4,506
New +$23.6K
ONCT
2825
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
$19K ﹤0.01%
+17
New +$14.8K
111 112
113
114 115

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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.