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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
BRX icon
1051
Brixmor Property Group
BRX
$9.68B
$4.63M 0.01%
166,418
-51,226
-24% -$1.42M
CEQP
1052
DELISTED
Crestwood Equity Partners LP
CEQP
$4.62M 0.01%
217,273
-27,022
-11% -$564K
LYV icon
1053
Live Nation Entertainment
LYV
$42.3B
$4.62M 0.01%
167,928
+143,671
+592% +$3.75M
PTEN icon
1054
Patterson-UTI
PTEN
$3.9B
$4.61M 0.01%
206,249
+520
+0.3% +$10.4K
ICPT
1055
DELISTED
Intercept Pharmaceuticals, Inc.
ICPT
$4.6M 0.01%
27,926
-1,210
-4% -$191K
AVK
1056
Advent Convertible and Income Fund
AVK
$556M
$4.59M 0.01%
323,099
+21,776
+7% +$310K
MATV icon
1057
Mativ Holdings
MATV
$500M
$4.58M 0.01%
118,824
+44,497
+60% +$1.69M
PNRA
1058
DELISTED
Panera Bread Co
PNRA
$4.57M 0.01%
23,478
-2,715
-10% -$574K
PNI
1059
PIMCO New York Municipal Income Fund II
PNI
$76.2M
$4.57M 0.01%
340,317
+37,485
+12% +$525K
TCPC icon
1060
BlackRock TCP Capital
TCPC
$283M
$4.56M 0.01%
278,634
+66,566
+31% +$1.07M
NSL
1061
DELISTED
NUVEEN SENIOR INCM FD
NSL
$4.56M 0.01%
696,687
+24,872
+4% +$155K
PGF icon
1062
Invesco Financial Preferred ETF
PGF
$676M
$4.55M 0.01%
238,615
-104,292
-30% -$2.01M
SUPN icon
1063
Supernus Pharmaceuticals
SUPN
$2.67B
$4.54M 0.01%
183,780
-28,614
-13% -$648K
ISIL
1064
DELISTED
Intersil Corp
ISIL
$4.54M 0.01%
207,197
+9,347
+5% +$162K
IVH
1065
DELISTED
Delaware Ivy High Income Opportunities Fund
IVH
$4.52M 0.01%
313,530
+31,366
+11% +$445K
DCM
1066
DELISTED
NTT DOCOMO, Inc.
DCM
$4.52M 0.01%
177,923
+79,667
+81% +$2.1M
ETP
1067
DELISTED
Energy Transfer Partners L.p.
ETP
$4.51M 0.01%
121,810
+3,170
+3% +$125K
HZNP
1068
DELISTED
Horizon Therapeutics Public Limited Company Ordinary Shares
HZNP
$4.5M 0.01%
248,122
-20,578
-8% -$402K
CMC icon
1069
Commercial Metals
CMC
$7.77B
$4.5M 0.01%
277,705
-20,905
-7% -$340K
CHW
1070
Calamos Global Dynamic Income Fund
CHW
$533M
$4.5M 0.01%
598,468
-36,686
-6% -$270K
WPZ
1071
DELISTED
Williams Partners L.P.
WPZ
$4.5M 0.01%
120,873
-34,328
-22% -$1.26M
RPAI
1072
DELISTED
RETAIL PROPERTIES OF AMERICA, INC.
RPAI
$4.49M 0.01%
267,502
+45,444
+20% +$773K
BAC.PRL icon
1073
Bank of America Series L
BAC.PRL
$3.97B
$4.49M 0.01%
3,677
+671
+22% +$822K
NBIX icon
1074
Neurocrine Biosciences
NBIX
$16.9B
$4.49M 0.01%
88,565
-10,442
-11% -$520K
KIO
1075
KKR Income Opportunities Fund
KIO
$451M
$4.48M 0.01%
279,874
+39,923
+17% +$628K
41 42
43
44 45

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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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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.