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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
WFC.PRL icon
1101
Wells Fargo 7.5% Non Cumv Perp Conv
WFC.PRL
$4.69B
$4.17M 0.01%
3,508
+206
+6% +$255K
HW
1102
DELISTED
Headwaters Inc
HW
$4.17M 0.01%
177,533
-1,499
-0.8% -$30.5K
VOD icon
1103
Vodafone
VOD
$36.3B
$4.17M 0.01%
170,853
-31,952
-16% -$841K
SR icon
1104
Spire
SR
$4.7B
$4.17M 0.01%
64,594
-10,852
-14% -$683K
CNA icon
1105
CNA Financial
CNA
$14.3B
$4.17M 0.01%
100,391
+16,979
+20% +$646K
HE icon
1106
Hawaiian Electric Industries
HE
$2.2B
$4.16M 0.01%
125,635
-14,238
-10% -$434K
HMN icon
1107
Horace Mann Educators
HMN
$2.1B
$4.14M 0.01%
96,803
+10,039
+12% +$392K
NGG icon
1108
National Grid
NGG
$80.9B
$4.14M 0.01%
73,587
-38,042
-34% -$2.25M
PSEC icon
1109
Prospect Capital
PSEC
$1.13B
$4.12M 0.01%
492,815
+58,105
+13% +$466K
ENS icon
1110
EnerSys
ENS
$7.06B
$4.11M 0.01%
52,651
+47,167
+860% +$3.46M
ING icon
1111
ING
ING
$101B
$4.11M 0.01%
291,581
+165,360
+131% +$2.23M
ATO icon
1112
Atmos Energy
ATO
$28.8B
$4.09M 0.01%
55,219
-29,960
-35% -$2.16M
BRS
1113
DELISTED
Bristow Group, Inc.
BRS
$4.09M 0.01%
199,747
+112,243
+128% +$1.69M
DAN icon
1114
Dana Inc
DAN
$2.97B
$4.09M 0.01%
215,324
+6,634
+3% +$111K
SAGE
1115
DELISTED
Sage Therapeutics
SAGE
$4.08M 0.01%
80,010
+19,501
+32% +$919K
HOMB icon
1116
Home BancShares
HOMB
$6.3B
$4.08M 0.01%
146,981
+15,451
+12% +$375K
KS
1117
DELISTED
KapStone Paper and Pack Corp.
KS
$4.07M 0.01%
184,486
+56,051
+44% +$1.14M
LSXMK
1118
DELISTED
Liberty Media Corporation Series C Liberty SiriusXM Common Stock
LSXMK
$4.07M 0.01%
157,338
-5,650
-3% -$146K
GES
1119
DELISTED
Guess Inc
GES
$4.06M 0.01%
335,597
+157,423
+88% +$2.21M
CLMS
1120
DELISTED
Calamos Asset Management, Inc.
CLMS
$4.06M 0.01%
474,671
+281,523
+146% +$1.95M
AKR icon
1121
Acadia Realty Trust
AKR
$2.97B
$4.05M 0.01%
124,113
-34,791
-22% -$1.16M
MFIC icon
1122
MidCap Financial Investment
MFIC
$799M
$4.05M 0.01%
230,442
+33,284
+17% +$596K
DBD
1123
DELISTED
Diebold Nixdorf Incorporated
DBD
$4.05M 0.01%
161,090
+68,625
+74% +$1.62M
MSA icon
1124
Mine Safety
MSA
$7.45B
$4.04M 0.01%
58,336
+10,646
+22% +$658K
NBR icon
1125
Nabors Industries
NBR
$1.24B
$4.02M 0.01%
4,908
-32
-0.6% -$22.5K
43 44
45
46 47

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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.