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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
FCRD
1351
DELISTED
First Eagle Alternative Capital BDC, Inc. Common Stock
FCRD
$3.02M 0.01%
301,614
+77,804
+35% +$758K
BBVA icon
1352
Banco Bilbao Vizcaya Argentaria
BBVA
$155B
$3.02M 0.01%
453,891
+381,866
+530% +$2.46M
BGFV
1353
DELISTED
Big 5 Sporting Goods
BGFV
$3.02M 0.01%
173,883
-102,013
-37% -$1.79M
SNEX icon
1354
StoneX
SNEX
$9.2B
$3.01M 0.01%
385,160
+135,766
+54% +$1.05M
CYS
1355
DELISTED
CYS Investments Inc.
CYS
$3.01M 0.01%
389,656
+65,251
+20% +$532K
PPLT
1356
abrdn Physical Platinum Shares ETF
PPLT
$2B
$3.01M 0.01%
348,480
-2,910
-0.8% -$26.3K
MYI icon
1357
BlackRock MuniYield Quality Fund III
MYI
$717M
$3.01M 0.01%
220,264
+102,311
+87% +$1.43M
AEIS icon
1358
Advanced Energy
AEIS
$13.2B
$3.01M 0.01%
54,893
+40,910
+293% +$2.1M
MCY icon
1359
Mercury Insurance
MCY
$6.07B
$3M 0.01%
49,864
+25,539
+105% +$1.45M
SPLK
1360
DELISTED
Splunk Inc
SPLK
$3M 0.01%
58,701
-2,306
-4% -$133K
CVLG icon
1361
Covenant Logistics
CVLG
$900M
$2.98M 0.01%
+308,600
New +$2.89M
PNF
1362
DELISTED
PIMCO New York Municipal Income Fund
PNF
$2.98M 0.01%
250,236
+4,615
+2% +$56.8K
JCE icon
1363
Nuveen Core Equity Alpha Fund
JCE
$285M
$2.98M 0.01%
227,672
-8,196
-3% -$109K
SNCR
1364
DELISTED
Synchronoss Technologies
SNCR
$2.98M 0.01%
8,631
+1,793
+26% +$675K
TLP
1365
DELISTED
Transmontaigne
TLP
$2.97M 0.01%
67,172
-8,876
-12% -$369K
AKP
1366
DELISTED
Alliance Californa Muni Fd
AKP
$2.97M 0.01%
224,414
-10,091
-4% -$142K
ZLTQ
1367
DELISTED
ZELTIQ Aesthetics, Inc.
ZLTQ
$2.97M 0.01%
68,322
-963
-1% -$38.8K
HDB icon
1368
HDFC Bank
HDB
$122B
$2.97M 0.01%
195,800
+35,312
+22% +$591K
RSP icon
1369
Invesco S&P 500 Equal Weight ETF
RSP
$99.3B
$2.97M 0.01%
34,257
– –
PGEN icon
1370
Precigen
PGEN
$2.46B
$2.97M 0.01%
123,169
-22,167
-15% -$617K
ALNY icon
1371
Alnylam Pharmaceuticals
ALNY
$30.6B
$2.96M 0.01%
79,083
+4,565
+6% +$191K
AVNS
1372
DELISTED
Avanos Medical
AVNS
$2.96M 0.01%
80,039
+38,127
+91% +$1.36M
DPLO
1373
DELISTED
DIPLOMAT PHARMACY, INC.
DPLO
$2.95M 0.01%
+234,195
New +$4.36M
CVSA
1374
Covista Inc
CVSA
$4.39B
$2.95M 0.01%
94,523
-4,602
-5% -$124K
SAIA icon
1375
Saia
SAIA
$9.52B
$2.95M 0.01%
66,786
-62,993
-49% -$2.44M
53 54
55
56 57

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AIM
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CII
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AAMU
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WANY
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ZIG
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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.