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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
UL icon
1051
Unilever
UL
$138B
$4.57M 0.01%
99,748
-63,656
-39% -$2.97M
CDW icon
1052
CDW
CDW
$19.7B
$4.55M 0.01%
87,326
-6,239
-7% -$304K
RJF icon
1053
Raymond James Financial
RJF
$34.3B
$4.54M 0.01%
98,243
+76,073
+343% +$3.36M
KIO
1054
KKR Income Opportunities Fund
KIO
$452M
$4.53M 0.01%
282,341
+2,467
+0.9% +$38.6K
GPOR
1055
DELISTED
Gulfport Energy Corp.
GPOR
$4.52M 0.01%
209,032
+7,567
+4% +$194K
APLE icon
1056
Apple Hospitality REIT
APLE
$3.91B
$4.51M 0.01%
225,887
+3,201
+1% +$59.5K
QGENF
1057
DELISTED
QIAGEN NV
QGENF
$4.51M 0.01%
161,029
-64,264
-29% -$1.8M
MHO icon
1058
M/I Homes
MHO
$3.8B
$4.51M 0.01%
+179,100
New +$4.22M
IRBT
1059
DELISTED
iRobot
IRBT
$4.5M 0.01%
76,990
+31,379
+69% +$1.64M
BID
1060
DELISTED
Sotheby's
BID
$4.49M 0.01%
112,655
+99,789
+776% +$3.78M
BIG
1061
DELISTED
Big Lots, Inc.
BIG
$4.48M 0.01%
89,222
+33,555
+60% +$1.65M
MHI
1062
DELISTED
Pioneer Municipal High Income Fund
MHI
$4.48M 0.01%
377,222
+55,672
+17% +$686K
NAT icon
1063
Nordic American Tanker
NAT
$1.33B
$4.48M 0.01%
537,310
+111,053
+26% +$987K
SEP
1064
DELISTED
Spectra Engy Parters Lp
SEP
$4.48M 0.01%
97,651
+13,692
+16% +$595K
CVA
1065
DELISTED
Covanta Holding Corporation
CVA
$4.47M 0.01%
286,370
+40,876
+17% +$608K
VRN
1066
DELISTED
Veren
VRN
$4.46M 0.01%
328,070
-35,038
-10% -$449K
AVK
1067
Advent Convertible and Income Fund
AVK
$562M
$4.45M 0.01%
311,534
-11,565
-4% -$161K
RRTS
1068
DELISTED
RoadRunner Transportation Systems, Inc.
RRTS
$4.45M 0.01%
17,123
+6,377
+59% +$1.48M
PMM
1069
Franklin Managed Municipal Income Trust
PMM
$268M
$4.43M 0.01%
627,023
-45,561
-7% -$335K
CW icon
1070
Curtiss-Wright
CW
$28B
$4.43M 0.01%
45,044
+40,028
+798% +$3.81M
APU
1071
DELISTED
AmeriGas Partners, L.P.
APU
$4.43M 0.01%
92,398
-95,480
-51% -$4.37M
TEX icon
1072
Terex
TEX
$7.55B
$4.42M 0.01%
140,039
-51,540
-27% -$1.43M
PGF icon
1073
Invesco Financial Preferred ETF
PGF
$676M
$4.41M 0.01%
245,625
+7,010
+3% +$129K
BNED icon
1074
Barnes & Noble Education
BNED
$447M
$4.41M 0.01%
3,844
+1,445
+60% +$1.53M
TDAY
1075
USA Today Co
TDAY
$1.32B
$4.41M 0.01%
275,590
+232,494
+539% +$3.59M
41 42
43
44 45

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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.