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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
NDSN icon
751
Nordson
NDSN
$16.9B
$7.95M 0.02%
70,962
+67,799
+2,144% +$7.1M
TTE icon
752
TotalEnergies
TTE
$194B
$7.92M 0.02%
155,380
-40,447
-21% -$1.95M
JD icon
753
JD.com
JD
$44.6B
$7.89M 0.02%
310,005
+19,971
+7% +$520K
KEX icon
754
Kirby Corp
KEX
$6.98B
$7.88M 0.02%
118,544
+21,318
+22% +$1.35M
EVN
755
Eaton Vance Municipal Income Trust
EVN
$414M
$7.88M 0.02%
627,514
-162,500
-21% -$2.09M
MVF
756
DELISTED
BlackRock MuniVest Fund
MVF
$7.86M 0.02%
817,646
+193,716
+31% +$1.92M
PCI
757
DELISTED
PIMCO Dynamic Credit and Mortgage Income Fund
PCI
$7.85M 0.02%
388,266
-61,662
-14% -$1.24M
OC icon
758
Owens Corning
OC
$11.5B
$7.85M 0.02%
152,247
+1,596
+1% +$82.7K
BBDC icon
759
Barings BDC
BBDC
$881M
$7.85M 0.02%
427,831
+57,948
+16% +$1.09M
PGX icon
760
Invesco Preferred ETF
PGX
$3.8B
$7.84M 0.02%
551,120
+27,279
+5% +$397K
MAN icon
761
ManpowerGroup
MAN
$2.52B
$7.83M 0.02%
88,083
+12,504
+17% +$1.03M
WEN icon
762
Wendy's
WEN
$1.43B
$7.83M 0.02%
578,971
-188,016
-25% -$2.27M
TSLA icon
763
Tesla
TSLA
$1.27T
$7.82M 0.02%
548,550
+36,915
+7% +$485K
HASI icon
764
Hannon Armstrong Sustainable Infrastructure Capital
HASI
$4.93B
$7.79M 0.02%
+409,965
New +$8.44M
BOE icon
765
BlackRock Enhanced Global Dividend Trust
BOE
$676M
$7.78M 0.02%
672,477
-40,069
-6% -$467K
ODFL icon
766
Old Dominion Freight Line
ODFL
$44B
$7.77M 0.02%
271,755
+242,151
+818% +$6.49M
BYM
767
DELISTED
BlackRock Municipal Income Quality Trust
BYM
$7.76M 0.02%
559,055
+8,660
+2% +$124K
OZK icon
768
Bank OZK
OZK
$5.65B
$7.76M 0.02%
147,597
-106,392
-42% -$4.74M
JKS
769
JinkoSolar
JKS
$824M
$7.74M 0.02%
507,998
-65,953
-11% -$1.01M
DRE
770
DELISTED
Duke Realty Corp.
DRE
$7.72M 0.02%
290,627
+119,942
+70% +$3.06M
HSBC icon
771
HSBC
HSBC
$370B
$7.71M 0.02%
212,268
-38,926
-15% -$1.38M
MXWL
772
DELISTED
Maxwell Technologies Inc
MXWL
$7.68M 0.02%
1,500,367
-595,036
-28% -$2.98M
FCT
773
First Trust Senior Floating Rate Income Fund II
FCT
$250M
$7.68M 0.02%
555,210
-103,006
-16% -$1.4M
MIC
774
DELISTED
Macquarie Infrastructure Holdings, LLC
MIC
$7.63M 0.02%
93,434
+35,076
+60% +$2.87M
TIME
775
DELISTED
Time Inc.
TIME
$7.63M 0.02%
427,451
+265,909
+165% +$3.95M
29 30
31
32 33

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AIM
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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.