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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
EVEP
2826
DELISTED
EV Energy Partners, L.P.
EVEP
$26K ﹤0.01%
12,475
-20,887
-63% -$43.3K
CTIC
2827
DELISTED
CTI BioPharma Corp. (DE) Common Stock
CTIC
$25K ﹤0.01%
6,302
– –
GNSS icon
2828
Genasys
GNSS
$78.8M
$24K ﹤0.01%
14,095
– –
TURN
2829
DELISTED
180 Degree Capital
TURN
$24K ﹤0.01%
5,757
– –
VXRT
2830
DELISTED
Vaxart
VXRT
$24K ﹤0.01%
1,760
– –
VVUS
2831
DELISTED
Vivus Inc
VVUS
$24K ﹤0.01%
2,056
– –
BBDO icon
2832
Banco Bradesco
BBDO
$34.9B
$23K ﹤0.01%
4,143
– –
AMPE
2833
DELISTED
Ampio Pharmaceuticals Inc.
AMPE
$23K ﹤0.01%
82
+1
+1% +$238
CPRX
2834
DELISTED
Catalyst Pharmaceutical
CPRX
$22K ﹤0.01%
21,335
– –
UTSI icon
2835
UTStarcom
UTSI
$23.5M
$22K ﹤0.01%
2,730
– –
INFI
2836
DELISTED
Infinity Pharmaceuticals, Inc.
INFI
$22K ﹤0.01%
16,702
+47
+0.3% +$61
HGT
2837
DELISTED
Hugoton Royalty Trust
HGT
$22K ﹤0.01%
10,124
– –
GSAT icon
2838
Globalstar
GSAT
$10.7B
$21K ﹤0.01%
868
+24
+3% +$376
ZN
2839
DELISTED
Zion Oil & Gas, Inc.
ZN
$21K ﹤0.01%
15,071
– –
SES
2840
DELISTED
Synthesis Energy Systems Inc.
SES
$21K ﹤0.01%
322
– –
ALIM
2841
DELISTED
Alimera Sciences
ALIM
$20K ﹤0.01%
1,237
– –
ALSK
2842
DELISTED
Alaska Communications Systems
ALSK
$20K ﹤0.01%
11,998
– –
CASM
2843
DELISTED
CAS Medical Systems, Inc.
CASM
$20K ﹤0.01%
12,517
– –
CDMO
2844
DELISTED
Avid Bioservices, Inc. Common Stock
CDMO
$19K ﹤0.01%
8,663
– –
LUNA
2845
DELISTED
Luna Innovations Incorporated
LUNA
$19K ﹤0.01%
13,151
– –
LTRX icon
2846
Lantronix
LTRX
$263M
$18K ﹤0.01%
10,496
– –
LITS
2847
Lite Strategy Inc
LITS
$32.5M
$18K ﹤0.01%
620
– –
PLX icon
2848
Protalix BioTherapeutics
PLX
$197M
$18K ﹤0.01%
4,040
– –
BIOL
2849
DELISTED
Biolase, Inc.
BIOL
$18K ﹤0.01%
1
– –
ARQL
2850
DELISTED
Arqule Inc
ARQL
$18K ﹤0.01%
14,661
– –
112 113
114
115 116

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AIM
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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.