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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
+4.69%
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
$32.1B
AUM Growth
+$306M
Cap. Flow
-$1.05B
Cap. Flow %
-3.25%
Top 10 Hldgs %
5.21%
Holding
3,026
New
153
Increased
1,158
Reduced
1,530
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
LQD icon
iShares iBoxx $ Investment Grade Corporate Bond ETF
LQD
+$57.3M
3
EMC
EMC CORPORATION
EMC
+$36.4M
4
GAS
AGL Resources Inc
GAS
+$36.3M
5
CPGX
COLUMBIA PIPELINE GROUP IN COM STK (DE)
CPGX
+$34.7M

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
AA.PRB
3001
DELISTED
Alcoa Inc
AA.PRB
– –
-69,951
Closed -$2.3M
RRMS
3002
DELISTED
ROSE ROCK MIDSTREAM L P COM UNIT REPSTG LTD (DE)
RRMS
– –
-34,668
Closed -$915K
MDVN
3003
DELISTED
MEDIVATION, INC.
MDVN
– –
-343,185
Closed -$20.7M
PLCM
3004
DELISTED
POLYCOM INC
PLCM
– –
-60,502
Closed -$681K
NPF
3005
DELISTED
NUVEEN PREMIER MUNI INCOME FD
NPF
– –
-190,099
Closed -$2.87M
NQS
3006
DELISTED
NUVEEN SELECT QUALITY MUNI FD
NQS
– –
-434,687
Closed -$6.75M
NMO
3007
DELISTED
NUVEEN MUNI MARKET OPPORT FUND
NMO
– –
-542,379
Closed -$8.18M
DRII
3008
DELISTED
DIAMOND RESORTS INTL, INC
DRII
– –
-9,449,896
Closed -$283M
AMTG
3009
DELISTED
APOLLO RESIDENTIAL MTG INC COM STK
AMTG
– –
-15,455
Closed -$207K
MHY
3010
DELISTED
WESTERN ASSET MANAGED HIGH INCOM FD INC. COM
MHY
– –
-170,597
Closed -$805K
QLIK
3011
DELISTED
QLIK TECHNOLOGIES INC COM STK (DE)
QLIK
– –
-10,870
Closed -$322K
WIBC
3012
DELISTED
WILSHIRE BANCORP INC
WIBC
– –
-22,160
Closed -$231K
KKD
3013
DELISTED
KRISPY KREME DOUGHNUTS INC
KKD
– –
-39,713
Closed -$832K
QIHU
3014
DELISTED
QIHOO 360 TECHNOLOGY CO LTD ADS RPSTG 3 CL A SHS
QIHU
– –
-87,783
Closed -$6.41M
DWRE
3015
DELISTED
DEMANDWARE INC COM STK (DE)
DWRE
– –
-15,989
Closed -$1.2M
GAS
3016
DELISTED
AGL Resources Inc
GAS
– –
-550,333
Closed -$36.3M
TIVO
3017
DELISTED
TIVO INC
TIVO
– –
-38,507
Closed -$381K
ARMH
3018
DELISTED
ARM HOLDINGS PLC ADS
ARMH
– –
-18,541
Closed -$844K
SXE
3019
DELISTED
Southcross Energy Partners, L.P.
SXE
– –
-12,815
Closed -$26K
CERE
3020
DELISTED
CERES, INC. COMMON STOCK NEW
CERE
– –
-16,200
Closed -$6K
KEG
3021
DELISTED
KEY ENERGY SERVICES INC
KEG
– –
-44,432
Closed -$10K
AIM
3022
AIM ImmunoTech
AIM
$7.03M
– –
-2
Closed -$10K
117 118 119 120
121

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AIM
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Fundsmith LLP
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CII
Capital International Inc Los Angeles, California $13B AUM 31.88% 1-Year Est. Return
AAMU
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NMIFOAC
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WANY
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ACA
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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 $1.05B in Q3 2016, closing 143 positions and reducing 1,530 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 iShares iBoxx $ Investment Grade Corporate Bond ETF, cutting an estimated $57.3M.
  • 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.