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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
HMC icon
2926
Honda
HMC
$39.9B
– –
-12,748
Closed -$369K
HSTM icon
2927
HealthStream
HSTM
$822M
– –
-37,767
Closed -$1.04M
IVV icon
2928
iShares Core S&P 500 ETF
IVV
$897B
$0 ﹤0.01%
2
– –
JBSS icon
2929
John B. Sanfilippo & Son
JBSS
$976M
– –
-52,032
Closed -$2.67M
JOE icon
2930
St. Joe Company
JOE
$3.84B
– –
-10,705
Closed -$197K
KLIC icon
2931
Kulicke & Soffa
KLIC
$4.74B
– –
-59,481
Closed -$769K
KT icon
2932
KT
KT
$8.83B
– –
-17,734
Closed -$285K
KW
2933
DELISTED
Kennedy-Wilson Holdings
KW
– –
-12,721
Closed -$287K
LYG icon
2934
Lloyds Banking Group
LYG
$90B
– –
-14,161
Closed -$41K
MATW icon
2935
Matthews International
MATW
$863M
– –
-20,807
Closed -$1.26M
MCN
2936
Madison Covered Call & Equity Strategy Fund
MCN
$117M
– –
-30,261
Closed -$235K
MCRI icon
2937
Monarch Casino & Resort
MCRI
$2.19B
– –
-56,762
Closed -$1.43M
NEO icon
2938
NeoGenomics
NEO
$2B
– –
-10,382
Closed -$86K
NMM icon
2939
Navios Maritime Partners
NMM
$2.25B
– –
-1,211
Closed -$25K
NOK icon
2940
Nokia
NOK
$52.6B
– –
-172,739
Closed -$1M
NVRI icon
2941
Enviri
NVRI
$630M
– –
-29,860
Closed -$297K
NWN icon
2942
Northwest Natural Holdings
NWN
$2.14B
– –
-11,628
Closed -$699K
NWPX icon
2943
NWPX Infrastructure Inc
NWPX
$1.14B
– –
-19,621
Closed -$232K
ORC
2944
Orchid Island Capital
ORC
$1.28B
– –
-2,084
Closed -$109K
PAHC icon
2945
Phibro Animal Health
PAHC
$1.44B
– –
-18,848
Closed -$512K
PLUS icon
2946
ePlus
PLUS
$2.36B
– –
-11,404
Closed -$269K
PMF
2947
DELISTED
PIMCO Municipal Income Fund
PMF
– –
-100,523
Closed -$1.69M
AGPU
2948
Axe Compute Inc
AGPU
$96.3M
– –
-1
Closed -$8K
PRDO icon
2949
Perdoceo Education
PRDO
$2.03B
– –
-11,804
Closed -$80K
PRLB icon
2950
Protolabs
PRLB
$2.1B
– –
-16,110
Closed -$965K
116 117
118
119 120

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TRSOTSOK
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AIM
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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.