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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
+3.81%
1 Year Est. Return
+27.3%
3 Year Est. Return
+83.37%
5 Year Est. Return
+104.66%
10 Year Est. Return
+386.48%
AUM
$35B
AUM Growth
+$2.81B
Cap. Flow
+$1.71B
Cap. Flow %
4.89%
Top 10 Hldgs %
4.7%
Holding
3,111
New
225
Increased
1,351
Reduced
1,231
Closed
212

Top Buys

Rank Stock Value
1
SD icon
SandRidge Energy
SD
+$44.3M
2
HWM icon
Howmet Aerospace
HWM
+$42.3M
3
COTY icon
Coty
COTY
+$39.2M
4
AMAT icon
Applied Materials
AMAT
+$34.4M
5
CHTR icon
Charter Communications
CHTR
+$32.3M

Top Sells

Rank Stock Value
1
AA icon
Alcoa
AA
+$47.5M
2
DO
Diamond Offshore Drilling
DO
+$35.1M
3
RAI
Reynolds American Inc
RAI
+$29.4M
4
OI icon
O-I Glass
OI
+$28M
5
MDLZ icon
Mondelez International
MDLZ
+$24.2M

Sector Composition

Rank Sector Weight
1 Financials 12.98%
2 Technology 12.86%
3 Healthcare 11.03%
4 Industrials 11.01%
5 Consumer Discretionary 10.01%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EWW icon
2801
iShares MSCI Mexico ETF
EWW
$1.97B
$44K ﹤0.01%
+1,000
New +$47K
IPI icon
2802
Intrepid Potash
IPI
$453M
$42K ﹤0.01%
2,015
-39,652
-95% -$587K
INTX
2803
DELISTED
Intersections, Inc.
INTX
$42K ﹤0.01%
10,446
– –
ALR
2804
DELISTED
AlerisLife Inc
ALR
$39K ﹤0.01%
1,436
– –
TLRA
2805
DELISTED
Telaria, Inc.
TLRA
$38K ﹤0.01%
15,322
– –
III icon
2806
Information Services Group
III
$204M
$37K ﹤0.01%
10,278
+30
+0.3% +$116
WYY icon
2807
WidePoint Corp
WYY
$103M
$36K ﹤0.01%
4,506
– –
DRRX
2808
DELISTED
DURECT Corp
DRRX
$35K ﹤0.01%
2,618
+12
+0.5% +$153
GST
2809
DELISTED
Gastar Exploration Inc.
GST
$35K ﹤0.01%
22,464
+32
+0.1% +$39
LEE icon
2810
Lee Enterprises
LEE
$177M
$34K ﹤0.01%
1,170
– –
MFIN icon
2811
Medallion Financial
MFIN
$249M
$34K ﹤0.01%
11,313
-266
-2% -$968
UEC icon
2812
Uranium Energy
UEC
$5.31B
$33K ﹤0.01%
29,069
– –
INSG icon
2813
Inseego
INSG
$121M
$31K ﹤0.01%
1,290
– –
USMV icon
2814
iShares MSCI USA Min Vol Factor ETF
USMV
$24B
$31K ﹤0.01%
+680
New +$30.3K
NAVB
2815
DELISTED
Navidea Biopharmaceuticals Inc.
NAVB
$31K ﹤0.01%
2,496
– –
NWY
2816
DELISTED
New York & Co Inc
NWY
$31K ﹤0.01%
13,693
– –
NVAX icon
2817
Novavax
NVAX
$1.27B
$30K ﹤0.01%
1,210
-19,707
-94% -$575K
ROX
2818
DELISTED
Castle Brands, Inc.
ROX
$30K ﹤0.01%
39,008
– –
OESX icon
2819
Orion Energy Systems
OESX
$65.1M
$29K ﹤0.01%
1,330
– –
IPAS
2820
DELISTED
Ipass Inc Common Stock
IPAS
$29K ﹤0.01%
1,757
– –
INOD icon
2821
Innodata
INOD
$2.27B
$28K ﹤0.01%
11,613
– –
BCS icon
2822
Barclays
BCS
$95.9B
$27K ﹤0.01%
2,589
-35,894
-93% -$338K
TLPH icon
2823
Talphera
TLPH
$70.1M
$27K ﹤0.01%
529
+2
+0.4% +$123
WHLR
2824
Wheeler Real Estate Investment Trust
WHLR
$481K
– –
0
– –
APVO icon
2825
Aptevo Therapeutics
APVO
$5.22M
– –
0
– –
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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WANY
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ACA
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ZIG
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Guggenheim Capital's Q4 2016 Portfolio in Review

As of Q4 2016, Guggenheim Capital held 3,111 positions worth $35B, up 8.8% from $32.1B the previous quarter. Its ten largest holdings account for 4.7% of the portfolio.

Guggenheim Capital deployed $1.71B of net new capital in Q4 2016, opening 225 new positions and adding to 1,351 existing holdings. Its largest new stake was SandRidge Energy: 1,886,219 shares worth $44.4M.

By sector, the portfolio is most concentrated in Financials at 13% of assets, up from 11% a quarter earlier, followed by Technology and Healthcare.

On the sell side, the largest reduction was Alcoa, an estimated $47.5M trimmed.

  • Guggenheim Capital's largest Q4 2016 buy was SandRidge Energy: 1,886,219 shares worth $44.4M.
  • Guggenheim Capital added most to Coty in Q4 2016, an estimated $39.2M increase.
  • Guggenheim Capital's biggest Q4 2016 reduction was Alcoa, cutting an estimated $47.5M.
  • Guggenheim Capital fully exited SolarCity Corporation in Q4 2016, selling an estimated $14.3M.
  • Guggenheim Capital's ten largest holdings make up 4.7% of its $35B portfolio in Q4 2016.
  • Guggenheim Capital opened 225 new positions and closed 212 in Q4 2016.
  • Guggenheim Capital's portfolio value rose 8.8% quarter-over-quarter to $35B.

Based on Guggenheim Capital's 13F filing for Q4 2016, filed 14 Feb 2017.