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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
+359.15%
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
SYNT
3026
DELISTED
Syntel Inc
SYNT
– –
-21,375
Closed -$896K
SRCLP
3027
DELISTED
Stericycle, Inc
SRCLP
– –
-65,702
Closed -$4.35M
SHLM
3028
DELISTED
Schulman (A.) Inc
SHLM
– –
-86,685
Closed -$2.52M
FNGN
3029
DELISTED
Financial Engines, Inc.
FNGN
– –
-65,896
Closed -$1.96M
HTM
3030
DELISTED
U.S. Geothermal Inc.
HTM
– –
-4,260
Closed -$19K
BSF
3031
DELISTED
Bear State Financial, Inc.
BSF
– –
-10,504
Closed -$97K
GNCMA
3032
DELISTED
GCI Liberty, Inc. Class A-1 Common Stock
GNCMA
– –
-31,163
Closed -$428K
BKMU
3033
DELISTED
Bank Mutual Corp
BKMU
– –
-172,754
Closed -$1.33M
PBNC
3034
DELISTED
PARAGON COMMERCIAL CORPORATION
PBNC
– –
-8,849
Closed -$321K
TESO
3035
DELISTED
Tesco Corp
TESO
– –
-10,317
Closed -$84K
VWR
3036
DELISTED
VWR Corporation
VWR
– –
-28,475
Closed -$808K
AMRI
3037
DELISTED
Albany Molecular Research Inc
AMRI
– –
-86,850
Closed -$1.43M
PPP
3038
DELISTED
Primero Mining Corp
PPP
– –
-11,957
Closed -$20K
XXIA
3039
DELISTED
Ixia
XXIA
– –
-10,898
Closed -$136K
BSCG
3040
DELISTED
Guggenheim BulletShares 2016 Corporate Bond ETF
BSCG
– –
-16,825
Closed -$371K
BSJG
3041
DELISTED
Guggenheim BulletShares 2016 High Yield Corporate Bond ETF
BSJG
– –
-42,727
Closed -$1.1M
CSI
3042
DELISTED
Cutwater Select Income Fund
CSI
– –
-34,753
Closed -$704K
CTF
3043
DELISTED
Nuveen Long/Short Commodity Fd
CTF
– –
-26,728
Closed -$353K
SBW
3044
DELISTED
Western Asset Worldwide Income
SBW
– –
-119,400
Closed -$1.39M
VA
3045
DELISTED
Virgin America Inc.
VA
– –
-21,496
Closed -$1.15M
LGF
3046
DELISTED
Lions Gate Entertainment
LGF
– –
-14,989
Closed -$299K
TLN
3047
DELISTED
Talen Energy Corporation
TLN
– –
-564,123
Closed -$7.81M
IM
3048
DELISTED
Ingram Micro
IM
– –
-149,159
Closed -$5.32M
SEMI
3049
DELISTED
SunEdison Semiconductor Limited
SEMI
– –
-24,416
Closed -$278K
COWN
3050
DELISTED
Cowen Inc. Class A Common Stock
COWN
– –
-2,741
Closed -$40K
120 121
122
123 124

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CII
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AAMU
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NMIFOAC
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WANY
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ACA
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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.