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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
+6.38%
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
$32.1B
AUM Growth
+$306M
Cap. Flow
-$1.13B
Cap. Flow %
-3.5%
Top 10 Hldgs %
5.21%
Holding
3,026
New
153
Increased
1,157
Reduced
1,531
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
TTE icon
TotalEnergies
TTE
+$80.2M
3
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$57.3M
4
EMC
EMC CORPORATION
EMC
+$36.4M
5
GAS
AGL Resources Inc
GAS
+$36.3M

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
UBP
2926
DELISTED
Urstadt Biddle Properties Inc.
UBP
– –
-631
Closed -$14K
EXD
2927
DELISTED
Eaton Vance TaxManaged Buy-Write Strategy Fund
EXD
– –
-28,549
Closed -$349K
AFI
2928
DELISTED
Armstrong Flooring, Inc.
AFI
– –
-22,593
Closed -$383K
CATM
2929
DELISTED
Cardtronics plc Class A Ordinary Shares (UK)
CATM
– –
-25,366
Closed -$1.01M
NMY
2930
DELISTED
Nuveen Maryland Quality Municipal Income Fund
NMY
– –
-50,733
Closed -$721K
CLCT
2931
DELISTED
Collectors Universe
CLCT
– –
-13,885
Closed -$274K
RELV
2932
DELISTED
Reliv International Inc
RELV
– –
-1,960
Closed -$9K
GMO
2933
DELISTED
General Moly, Inc.
GMO
– –
-34,034
Closed -$12K
CCMP
2934
DELISTED
CMC Materials, Inc. Common Stock
CCMP
– –
-17,454
Closed -$739K
SCON
2935
DELISTED
Superconductor Technologies Inc.
SCON
– –
-20
Closed -$6K
GNC
2936
DELISTED
GNC Holdings, Inc.
GNC
– –
-116,513
Closed -$2.83M
CBPX
2937
DELISTED
CONTINENTAL BUILDING PRODUCTS, INC.
CBPX
– –
-39,893
Closed -$887K
DEST
2938
DELISTED
Destination Maternity Corporation
DEST
– –
-18,517
Closed -$109K
TOWR
2939
DELISTED
Tower International, Inc.
TOWR
– –
-40,284
Closed -$829K
YUMA
2940
DELISTED
Yuma Energy Inc
YUMA
– –
-46
Closed -$4K
ETP
2941
DELISTED
Energy Transfer Partners, L.P.
ETP
– –
-89,302
Closed -$2.57M
FCRE
2942
DELISTED
FC Global Realty Incorporated Common Stock
FCRE
– –
-2,407
Closed -$3K
CVO
2943
DELISTED
Cenevo, Inc.
CVO
– –
-2,925
Closed -$19K
CNXR
2944
DELISTED
Connecture, Inc.
CNXR
– –
-135,366
Closed -$306K
MACK
2945
DELISTED
Merrimack Pharmaceuticals, Inc.
MACK
– –
-53,519
Closed -$2.27M
KEF
2946
DELISTED
Korea Equity Fund
KEF
– –
-15,886
Closed -$125K
LMIA
2947
DELISTED
LMI Aerospace Inc
LMIA
– –
-57,574
Closed -$463K
EXAR
2948
DELISTED
Exar Corporation
EXAR
– –
-13,980
Closed -$113K
UAM
2949
DELISTED
Universal American Corp
UAM
– –
-16,389
Closed -$124K
LIOX
2950
DELISTED
Lionbridge Technologies
LIOX
– –
-20,300
Closed -$80K
116 117
118
119 120

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TRSOTSOK
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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 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 $1.13B in Q3 2016, closing 143 positions and reducing 1,531 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 TotalEnergies, cutting an estimated $80.2M.
  • 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.