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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
ETO
1001
Eaton Vance Tax-Advantaged Global Dividend Opportunities Fund
ETO
$518M
$5M 0.01%
240,018
+47,374
+25% +$978K
OKS
1002
DELISTED
Oneok Partners LP
OKS
$4.99M 0.01%
116,073
+59,478
+105% +$2.47M
VGI
1003
Virtus Global Multi-Sector Income Fund
VGI
$82.2M
$4.98M 0.01%
324,787
-2,757
-0.8% -$42.1K
VSLR
1004
DELISTED
VIVINT SOLAR, INC.
VSLR
$4.98M 0.01%
1,952,684
-14,693
-0.7% -$43.8K
PCK
1005
DELISTED
Pimco California Municipal Income Fund II
PCK
$4.96M 0.01%
538,533
-45,335
-8% -$436K
SGEN
1006
DELISTED
Seagen Inc. Common Stock
SGEN
$4.95M 0.01%
93,878
-22,059
-19% -$1.33M
SEIC icon
1007
SEI Investments
SEIC
$12.6B
$4.95M 0.01%
100,281
-165,896
-62% -$7.75M
ISD
1008
PGIM High Yield Bond Fund
ISD
$419M
$4.95M 0.01%
319,643
-74,518
-19% -$1.15M
ESND
1009
DELISTED
Essendant Inc.
ESND
$4.95M 0.01%
236,677
-173,657
-42% -$3.3M
TPH
1010
DELISTED
Tri Pointe Homes
TPH
$4.94M 0.01%
429,942
+403,362
+1,518% +$4.82M
CHY
1011
Calamos Convertible and High Income Fund
CHY
$1.04B
$4.93M 0.01%
467,335
-16,650
-3% -$176K
CVI icon
1012
CVR Energy
CVI
$3.35B
$4.92M 0.01%
193,979
+35,163
+22% +$609K
HWC icon
1013
Hancock Whitney
HWC
$6.32B
$4.92M 0.01%
114,172
-41,051
-26% -$1.56M
TUES
1014
DELISTED
Tuesday Morning Corp
TUES
$4.89M 0.01%
906,261
+536,934
+145% +$2.89M
WPM icon
1015
Wheaton Precious Metals
WPM
$52.4B
$4.88M 0.01%
252,716
-62,472
-20% -$1.3M
AXS icon
1016
AXIS Capital
AXS
$7.57B
$4.88M 0.01%
74,744
-39,920
-35% -$2.4M
RRD
1017
DELISTED
RR Donnelley & Sons Co.
RRD
$4.88M 0.01%
+298,854
New +$5.36M
LKSD
1018
DELISTED
LSC Communications, Inc.
LKSD
$4.88M 0.01%
+164,305
New +$3.9M
LYV icon
1019
Live Nation Entertainment
LYV
$42.8B
$4.87M 0.01%
183,152
+15,224
+9% +$419K
BIO icon
1020
Bio-Rad Laboratories Class A
BIO
$8.91B
$4.85M 0.01%
26,600
-5,535
-17% -$944K
NHI icon
1021
National Health Investors
NHI
$3.61B
$4.83M 0.01%
65,111
+36,885
+131% +$2.71M
MMP
1022
DELISTED
Magellan Midstream Partners, L.P.
MMP
$4.82M 0.01%
63,794
+17,726
+38% +$1.24M
CAKE icon
1023
Cheesecake Factory
CAKE
$5.26B
$4.8M 0.01%
80,215
+70,602
+734% +$3.99M
LTXB
1024
DELISTED
LegacyTexas Financial Group Inc
LTXB
$4.78M 0.01%
110,906
+52,706
+91% +$1.97M
CBA
1025
DELISTED
ClearBridge American Energy MLP
CBA
$4.78M 0.01%
520,131
+122,154
+31% +$1.07M
39 40
41
42 43

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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.