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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
AMSG
3051
DELISTED
Amsurg Corp
AMSG
– –
-172,465
Closed -$11.6M
ININ
3052
DELISTED
Interactive Intelligence Group, inc.
ININ
– –
-13,340
Closed -$802K
EOCA
3053
DELISTED
Endesa Americas S.A.
EOCA
– –
-16,300
Closed -$224K
PPS
3054
DELISTED
Post Properties
PPS
– –
-20,808
Closed -$1.38M
AEGR
3055
DELISTED
Aegerion Pharmaceuticals
AEGR
– –
-10,124
Closed -$30K
CVT
3056
DELISTED
CVENT, INC.
CVT
– –
-16,440
Closed -$521K
GI
3057
DELISTED
EndoChoice Holdings, Inc.
GI
– –
-21,210
Closed -$170K
SAAS
3058
DELISTED
inContact, Inc.
SAAS
– –
-62,470
Closed -$873K
AVG
3059
DELISTED
AVG Technologies N.V.
AVG
– –
-54,823
Closed -$1.37M
BLOX
3060
DELISTED
Infoblox Inc
BLOX
– –
-51,216
Closed -$1.35M
FLTX
3061
DELISTED
Fleetmatics Group PLC
FLTX
– –
-42,211
Closed -$2.53M
RSTI
3062
DELISTED
Rofin-Sinar Technologies Inc
RSTI
– –
-22,874
Closed -$736K
CPHD
3063
DELISTED
Cepheid Inc
CPHD
– –
-116,791
Closed -$6.15M
N
3064
DELISTED
Netsuite Inc
N
– –
-8,079
Closed -$894K
NZH
3065
DELISTED
Nuveen Calif Div
NZH
– –
-343,247
Closed -$5.27M
NVX
3066
DELISTED
Nuveen Calif Div Muni
NVX
– –
-330,548
Closed -$5.44M
TLOG
3067
DELISTED
TetraLogic Pharmaceuticals Corporation
TLOG
– –
-21,405
Closed -$3K
RAX
3068
DELISTED
Rackspace Hosting Inc
RAX
– –
-238,043
Closed -$7.54M
HNR
3069
DELISTED
Harvest Natural Resources
HNR
– –
-4,516
Closed -$15K
SGI
3070
DELISTED
Silicon Graphics Intl.
SGI
– –
-73,734
Closed -$568K
FAV
3071
DELISTED
FIRST TRUST DIVIDEND AND INCOME FD COM
FAV
– –
-89,054
Closed -$811K
VTAE
3072
DELISTED
VITAE PHARMACEUTICALS INC COMMON STOCK
VTAE
– –
-30,529
Closed -$638K
PGND
3073
DELISTED
PRESS GANEY HOLDINGS INC COM STK (DE)
PGND
– –
-32,200
Closed -$1.3M
PTX
3074
DELISTED
Pernix Therapeutics Holdings, Inc.
PTX
– –
-2,643
Closed -$16K
ITC
3075
DELISTED
ITC HOLDINGS CORP
ITC
– –
-82,202
Closed -$3.82M
121 122
123
124 125

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CII
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AAMU
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NMIFOAC
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WANY
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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.