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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
INTX
2826
DELISTED
Intersections, Inc.
INTX
$19K ﹤0.01%
+10,446
New +$19.6K
GST
2827
DELISTED
Gastar Exploration Inc.
GST
$19K ﹤0.01%
22,432
-168
-0.7% -$157
HTM
2828
DELISTED
U.S. Geothermal Inc.
HTM
$19K ﹤0.01%
4,260
-49
-1% -$230
LUNA
2829
DELISTED
Luna Innovations Incorporated
LUNA
$19K ﹤0.01%
13,151
-198
-1% -$260
ESNC
2830
DELISTED
EnSync Inc
ESNC
$19K ﹤0.01%
20,010
-350
-2% -$202
OESX icon
2831
Orion Energy Systems
OESX
$42.2M
$18K ﹤0.01%
+1,330
New +$17.8K
AMPE
2832
DELISTED
Ampio Pharmaceuticals Inc.
AMPE
$18K ﹤0.01%
81
+27
+50% +$7.57K
MVIS icon
2833
Microvision
MVIS
$85.2M
$17K ﹤0.01%
815
-7
-0.9% -$165
PRSO icon
2834
Peraso
PRSO
$10.4M
$17K ﹤0.01%
3
– –
NLST
2835
DELISTED
Netlist, Inc.
NLST
$17K ﹤0.01%
+14,095
New +$21.1K
CIE
2836
DELISTED
Cobalt International Energy, Inc
CIE
$17K ﹤0.01%
923
+64
+7% +$1.19K
PALI icon
2837
Palisade Bio
PALI
$360M
– –
0
– –
AVEO
2838
DELISTED
AVEO Pharmaceuticals, Inc.
AVEO
$16K ﹤0.01%
1,845
-14
-0.8% -$132
PTX
2839
DELISTED
Pernix Therapeutics Holdings, Inc.
PTX
$16K ﹤0.01%
2,643
+1,460
+123% +$9K
GSAT icon
2840
Globalstar
GSAT
$10.8B
$15K ﹤0.01%
844
+41
+5% +$772
LTRX icon
2841
Lantronix
LTRX
$272M
$15K ﹤0.01%
10,496
-78
-0.7% -$103
VERU icon
2842
Veru
VERU
$38M
$15K ﹤0.01%
+1,191
New +$15.5K
MTEM
2843
DELISTED
Molecular Templates, Inc.
MTEM
$15K ﹤0.01%
137
-2
-1% -$275
SPRT
2844
DELISTED
support.com, Inc.
SPRT
$15K ﹤0.01%
6,088
-79
-1% -$206
HNR
2845
DELISTED
Harvest Natural Resources
HNR
$15K ﹤0.01%
4,516
+691
+18% +$1.82K
NWBO
2846
DELISTED
Northwest Biotherapeutics, Inc. Common stock
NWBO
$15K ﹤0.01%
27,644
+15,393
+126% +$7.04K
VGZ icon
2847
Vista Gold
VGZ
$270M
$14K ﹤0.01%
12,840
-96
-0.7% -$119
IRD
2848
Opus Genetics
IRD
$306M
$14K ﹤0.01%
143
-1
-0.7% -$121
UQM
2849
DELISTED
UQM Technologies, Inc.
UQM
$14K ﹤0.01%
+22,829
New +$14K
DGSE
2850
DELISTED
DGSE Companies, Inc.
DGSE
$14K ﹤0.01%
16,561
-3,124
-16% -$2.56K
112 113
114
115 116

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AIM
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CII
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AAMU
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NMIFOAC
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WANY
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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.