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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
+386.48%
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
GIFI
1451
DELISTED
Gulf Island Fabrication
GIFI
$2.64M 0.01%
222,120
+13,734
+7% +$149K
GLOG
1452
DELISTED
GASLOG LTD
GLOG
$2.64M 0.01%
164,128
+35,479
+28% +$564K
NBTB icon
1453
NBT Bancorp
NBTB
$2.77B
$2.64M 0.01%
63,028
+8,550
+16% +$318K
SF
1454
Stifel
SF
$12.8B
$2.64M 0.01%
118,847
+24,561
+26% +$493K
DST
1455
DELISTED
DST Systems Inc.
DST
$2.64M 0.01%
49,256
-86,624
-64% -$4.57M
ACV
1456
Virtus Diversified Income & Convertible Fund
ACV
$283M
$2.63M 0.01%
140,263
+42,304
+43% +$773K
MSEX icon
1457
Middlesex Water
MSEX
$1.08B
$2.62M 0.01%
61,022
-3,454
-5% -$132K
ARRS
1458
DELISTED
ARRIS International plc Ordinary Shares
ARRS
$2.62M 0.01%
87,003
-457,149
-84% -$13.3M
MGM icon
1459
MGM Resorts International
MGM
$11.4B
$2.62M 0.01%
90,721
+79,116
+682% +$2.19M
MTG icon
1460
MGIC Investment
MTG
$6.27B
$2.61M 0.01%
256,345
+197,547
+336% +$1.78M
LNCE
1461
DELISTED
Snyders-Lance, Inc.
LNCE
$2.61M 0.01%
68,070
-32,735
-32% -$1.2M
WLK icon
1462
Westlake Corp
WLK
$10.1B
$2.61M 0.01%
46,575
+6,462
+16% +$353K
KBR icon
1463
KBR
KBR
$4.58B
$2.6M 0.01%
155,818
+135,636
+672% +$2.16M
HYT icon
1464
BlackRock Corporate High Yield Fund
HYT
$1.37B
$2.6M 0.01%
239,872
-15,297
-6% -$161K
RPM icon
1465
RPM International
RPM
$14.9B
$2.6M 0.01%
48,225
-43,723
-48% -$2.24M
BSM icon
1466
Black Stone Minerals
BSM
$3.09B
$2.59M 0.01%
+138,090
New +$2.53M
HAIN icon
1467
Hain Celestial
HAIN
$50.3M
$2.59M 0.01%
66,454
-52,752
-44% -$1.98M
HNP
1468
DELISTED
Huaneng Power Intl, Inc.
HNP
$2.59M 0.01%
99,521
-3,834
-4% -$95.2K
BBF
1469
DELISTED
BlackRock Municipal Income Investment Trust
BBF
$2.58M 0.01%
183,917
+35,553
+24% +$506K
RWX icon
1470
State Street SPDR Dow Jones International Real Estate ETF
RWX
$269M
$2.58M 0.01%
71,378
+2,638
+4% +$101K
AUB icon
1471
Atlantic Union Bankshares
AUB
$6.11B
$2.57M 0.01%
71,903
+3,681
+5% +$116K
LAZ icon
1472
Lazard
LAZ
$4.26B
$2.56M 0.01%
62,442
-6,611
-10% -$257K
AXTA icon
1473
Axalta
AXTA
$8.15B
$2.56M 0.01%
94,185
+48,642
+107% +$1.28M
ABG icon
1474
Asbury Automotive
ABG
$3.94B
$2.56M 0.01%
+41,478
New +$2.37M
RH icon
1475
RH
RH
$3.7B
$2.56M 0.01%
83,336
-81,091
-49% -$2.62M
57 58
59
60 61

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AIM
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CII
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AAMU
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WANY
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ACA
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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.