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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
+4.41%
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
$42.6B
AUM Growth
+$4.82B
Cap. Flow
+$3.68B
Cap. Flow %
8.65%
Top 10 Hldgs %
12.95%
Holding
2,932
New
107
Increased
1,463
Reduced
1,212
Closed
134

Top Buys

Rank Stock Value
1
HYG icon
iShares iBoxx $ High Yield Corporate Bond ETF
HYG
+$209M
2
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$209M
3
ULQ
CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF
ULQ
+$84.5M
4
PKG icon
Packaging Corp of America
PKG
+$55.6M
5
CDNS icon
Cadence Design Systems
CDNS
+$45.2M

Top Sells

Rank Stock Value
1
RAI
Reynolds American Inc
RAI
+$68.3M
2
WFM
Whole Foods Market Inc
WFM
+$64M
3
SPLS
Staples Inc
SPLS
+$47.8M
4
MNK
MALLINCKRODT PUBLIC LIMITED COMPANY
MNK
+$46.6M
5
DD
Du Pont De Nemours E I
DD
+$41.2M

Sector Composition

Rank Sector Weight
1 Technology 12.83%
2 Financials 12.17%
3 Healthcare 10.88%
4 Industrials 10.2%
5 Consumer Discretionary 9.18%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
IVV icon
2826
iShares Core S&P 500 ETF
IVV
$884B
– –
-2
Closed –
JELD icon
2827
JELD-WEN Holding
JELD
$124M
– –
-23,177
Closed -$752K
LSCC icon
2828
Lattice Semiconductor
LSCC
$18B
– –
-142,721
Closed -$951K
NOG icon
2829
Northern Oil and Gas
NOG
$2.25B
– –
-3,548
Closed -$50K
NRO
2830
Neuberger Real Estate Securities Income Fund Inc
NRO
$190M
– –
-12,009
Closed -$62K
NXC
2831
DELISTED
Nuveen CA Select Tax-Free Income Portfolio
NXC
– –
-15,813
Closed -$242K
ADAM
2832
Adamas Trust
ADAM
$848M
– –
-5,210
Closed -$131K
OFIX icon
2833
Orthofix Medical
OFIX
$496M
– –
-5,175
Closed -$242K
ORA icon
2834
Ormat Technologies
ORA
$6.02B
– –
-3,570
Closed -$209K
PDS
2835
Precision Drilling
PDS
$996M
– –
-1,741
Closed -$118K
PLNT icon
2836
Planet Fitness
PLNT
$4.45B
– –
-12,310
Closed -$288K
PSF icon
2837
Cohen & Steers Select Preferred & Income Fund
PSF
$234M
– –
-12,457
Closed -$354K
QSR icon
2838
Restaurant Brands International
QSR
$25.3B
– –
-7,348
Closed -$459K
RDWR icon
2839
Radware
RDWR
$1.16B
– –
-37,583
Closed -$659K
RGR icon
2840
Sturm, Ruger & Co
RGR
$616M
– –
-22,236
Closed -$1.38M
RMT
2841
Royce Micro-Cap Trust
RMT
$742M
– –
-10,446
Closed -$90K
RRR icon
2842
Red Rock Resorts
RRR
$3.84B
– –
-13,931
Closed -$327K
ECHO
2843
EchoStar
ECHO
$24.9B
– –
-52,820
Closed -$2.6M
SGRY icon
2844
Surgery Partners
SGRY
$2.1B
– –
-53,443
Closed -$1.21M
SHAK icon
2845
Shake Shack
SHAK
$2.61B
– –
-6,777
Closed -$238K
SPR
2846
DELISTED
Spirit AeroSystems
SPR
– –
-5,753
Closed -$334K
SSP icon
2847
E.W. Scripps
SSP
$258M
– –
-14,930
Closed -$267K
STEW
2848
SRH Total Return Fund
STEW
$1.8B
– –
-56,376
Closed -$547K
SWZ
2849
Swiss Helvetia Fund
SWZ
$76.8M
– –
-22,130
Closed -$281K
TDW icon
2850
Tidewater
TDW
$3.55B
– –
-440
Closed -$10K
112 113
114
115 116

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
Fundsmith LLP
Fundsmith LLP London, United Kingdom $12.8B AUM 6.9% 1-Year Est. Return
CII
Capital International Inc Los Angeles, California $13B AUM 31.88% 1-Year Est. Return
AAMU
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
NMIFOAC
National Mutual Insurance Federation of Agricultural Cooperatives Tokyo, Japan, Japan $13B AUM 17.65% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return

Guggenheim Capital's Q3 2017 Portfolio in Review

As of Q3 2017, Guggenheim Capital held 2,932 positions worth $42.6B, up 13% from $37.8B the previous quarter. Its ten largest holdings account for 13% of the portfolio.

Guggenheim Capital deployed $3.68B of net new capital in Q3 2017, opening 107 new positions and adding to 1,463 existing holdings. Its largest new stake was CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF: 1,677,943 shares worth $84.5M.

By sector, the portfolio is most concentrated in Technology at 13% of assets, down from 14% a quarter earlier, followed by Financials and Healthcare.

On the sell side, the largest reduction was MALLINCKRODT PUBLIC LIMITED COMPANY, an estimated $46.6M trimmed.

  • Guggenheim Capital's largest Q3 2017 buy was CLAYMORE US CAPITAL MARKETS MICRO-TERM FIXED INCOME ETF: 1,677,943 shares worth $84.5M.
  • Guggenheim Capital added most to iShares iBoxx $ High Yield Corporate Bond ETF in Q3 2017, an estimated $209M increase.
  • Guggenheim Capital's biggest Q3 2017 reduction was MALLINCKRODT PUBLIC LIMITED COMPANY, cutting an estimated $46.6M.
  • Guggenheim Capital fully exited Reynolds American Inc in Q3 2017, selling an estimated $68.3M.
  • Guggenheim Capital's ten largest holdings make up 13% of its $42.6B portfolio in Q3 2017.
  • Guggenheim Capital opened 107 new positions and closed 134 in Q3 2017.
  • Guggenheim Capital's portfolio value rose 13% quarter-over-quarter to $42.6B.

Based on Guggenheim Capital's 13F filing for Q3 2017, filed 14 Nov 2017.