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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
BELFB
2901
Bel Fuse Inc Class B
BELFB
$4.18B
– –
-111,552
Closed -$2.69M
BH icon
2902
Biglari Holdings Class B
BH
$1.25B
– –
-3,575
Closed -$1.04M
BKE icon
2903
Buckle
BKE
$2.34B
– –
-57,536
Closed -$1.38M
BRC icon
2904
Brady Corp
BRC
$4.62B
– –
-25,756
Closed -$892K
BTE icon
2905
Baytex Energy
BTE
$2.9B
– –
-41,008
Closed -$174K
CIVI
2906
DELISTED
Civitas Resources
CIVI
– –
-504
Closed -$57K
CNMD icon
2907
CONMED
CNMD
$1.48B
– –
-20,403
Closed -$817K
CRESY
2908
Cresud
CRESY
$784M
– –
-11,651
Closed -$185K
CRVL icon
2909
CorVel
CRVL
$3.19B
– –
-56,619
Closed -$725K
DIOD icon
2910
Diodes
DIOD
$3.93B
– –
-12,417
Closed -$265K
DSU icon
2911
BlackRock Debt Strategies Fund
DSU
$593M
– –
-7,913
Closed -$87K
EPAC icon
2912
Enerpac Tool Group
EPAC
$1.89B
– –
-36,718
Closed -$853K
EPAM icon
2913
EPAM Systems
EPAM
$5.74B
– –
-4,285
Closed -$297K
ESNT icon
2914
Essent Group
ESNT
$6.13B
– –
-31,136
Closed -$828K
ET icon
2915
Energy Transfer Partners
ET
$70B
– –
-106,279
Closed -$1.78M
ETD icon
2916
Ethan Allen Interiors
ETD
$614M
– –
-6,923
Closed -$217K
EXLS icon
2917
EXL Service
EXLS
$5.11B
– –
-154,390
Closed -$1.54M
EXPO icon
2918
Exponent
EXPO
$3.24B
– –
-37,976
Closed -$970K
FENG
2919
Phoenix New Media
FENG
$17.5M
– –
-5,315
Closed -$124K
FFC
2920
Flaherty & Crumrine Preferred and Income Securities Fund
FFC
$778M
– –
-21,824
Closed -$454K
GDOT icon
2921
Green Dot
GDOT
$764M
– –
-36,044
Closed -$831K
GRPN icon
2922
Groupon
GRPN
$1.04B
– –
-3,769
Closed -$389K
GTLS
2923
DELISTED
Chart Industries
GTLS
– –
-106,079
Closed -$3.48M
HHS icon
2924
Harte-Hanks
HHS
$16.8M
– –
-3,826
Closed -$62K
HIMX
2925
Himax Technologies
HIMX
$2.33B
– –
-47,315
Closed -$406K
115 116
117
118 119

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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
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
ZIG
Zurich Insurance Group Zurich, Switzerland $12.7B AUM 53.57% 1-Year Est. Return

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.