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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
-0.72%
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
$16.7B
AUM Growth
-$332M
Cap. Flow
-$57.8M
Cap. Flow %
-0.35%
Top 10 Hldgs %
17.41%
Holding
2,287
New
114
Increased
795
Reduced
1,162
Closed
171

Top Buys

Rank Stock Value
1
AGG icon
iShares Core US Aggregate Bond ETF
AGG
+$50M
2
LITT
Logistics Innovation Technologies Corp. Class A Common Stock
LITT
+$38.8M
3
AFTR.U
AfterNext HealthTech Acquisition Corp Units
AFTR.U
+$37M
4
CPAAU
Conyers Park III Acquisition Corp. Unit
CPAAU
+$34.7M
5
HON icon
Honeywell
HON
+$32.1M

Top Sells

Rank Stock Value
1
ALXN
Alexion Pharmaceuticals
ALXN
+$41.8M
2
LITTU
Logistics Innovation Technologies Corp. Units
LITTU
+$39.8M
3
MTTR
Matterport, Inc. Class A Common Stock
MTTR
+$32.4M
4
SRNG
Soaring Eagle Acquisition Corp. Class A Ordinary Share
SRNG
+$20M
5
JNK icon
State Street SPDR Bloomberg High Yield Bond ETF
JNK
+$19.4M

Sector Composition

Rank Sector Weight
1 Technology 19.23%
2 Financials 13.81%
3 Healthcare 9.7%
4 Consumer Discretionary 8.79%
5 Communication Services 6.56%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
EPAM icon
1501
EPAM Systems
EPAM
$5.03B
$848K 0.01%
1,487
-2,990
-67% -$1.76M
THC icon
1502
Tenet Healthcare
THC
$21.1B
$847K 0.01%
12,745
-10,344
-45% -$734K
SYBT icon
1503
Stock Yards Bancorp
SYBT
$2.6B
$846K 0.01%
14,430
+56
+0.4% +$2.87K
ASR icon
1504
Grupo Aeroportuario del Sureste
ASR
$8.3B
$842K 0.01%
4,503
-224
-5% -$40.5K
ASG
1505
Liberty All-Star Growth Fund
ASG
$341M
$841K 0.01%
97,481
+25,475
+35% +$221K
TOWN icon
1506
Towne Bank
TOWN
$3.42B
$841K 0.01%
+27,027
New +$813K
BFH icon
1507
Bread Financial
BFH
$4.38B
$840K 0.01%
10,425
-10,263
-50% -$793K
MUR icon
1508
Murphy Oil
MUR
$4.78B
$840K 0.01%
33,640
-7,889
-19% -$170K
THQ
1509
abrdn Healthcare Opportunities Fund
THQ
$796M
$838K 0.01%
36,986
+40
+0.1% +$964
CASH icon
1510
Pathward Financial
CASH
$1.8B
$833K 0.01%
15,877
+216
+1% +$10.8K
CRI icon
1511
Carter's
CRI
$1.47B
$832K 0.01%
8,559
+1,718
+25% +$173K
RA
1512
Brookfield Real Assets Income Fund
RA
$708M
$832K 0.01%
39,804
-17,228
-30% -$380K
TCPC icon
1513
BlackRock TCP Capital
TCPC
$345M
$832K 0.01%
61,275
-70,620
-54% -$991K
BANR icon
1514
Banner Corp
BANR
$2.4B
$830K 0.01%
15,039
-4,206
-22% -$226K
HAIN icon
1515
Hain Celestial
HAIN
$53.7M
$829K 0.01%
19,386
-3,024
-13% -$120K
CADE
1516
DELISTED
Cadence Bank
CADE
$827K 0.01%
27,763
-14,081
-34% -$393K
AXIA
1517
AXIA Energia
AXIA
$825K 0.01%
146,800
+62
+0% +$376
EGF
1518
DELISTED
Blackrock Enhanced Government Fund, Inc.
EGF
$825K 0.01%
65,402
-7,908
-11% -$102K
HQY icon
1519
HealthEquity
HQY
$8.75B
$824K ﹤0.01%
12,717
-965
-7% -$67K
COLL icon
1520
Collegium Pharmaceutical
COLL
$956M
$823K ﹤0.01%
41,726
-7,797
-16% -$169K
SEIC icon
1521
SEI Investments
SEIC
$12.6B
$822K ﹤0.01%
13,855
+4,105
+42% +$251K
NBTB icon
1522
NBT Bancorp
NBTB
$2.74B
$818K ﹤0.01%
22,645
-17
-0.1% -$597
VLY icon
1523
Valley National Bancorp
VLY
$8.04B
$817K ﹤0.01%
61,399
-59,117
-49% -$764K
DISCK
1524
DELISTED
Discovery, Inc. Series C Common Stock
DISCK
$816K ﹤0.01%
33,613
-85,504
-72% -$2.28M
PLTR icon
1525
Palantir
PLTR
$413B
$814K ﹤0.01%
33,847
+12,104
+56% +$295K
59 60
61
62 63

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TRSOTSOK
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AIM
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Fundsmith LLP
Fundsmith LLP London, United Kingdom $12.8B AUM 6.9% 1-Year Est. Return
CII
Capital International Inc Los Angeles, California $13B AUM 31.88% 1-Year Est. Return
AAMU
APG Asset Management US New York $13B AUM 5.3% 1-Year Est. Return
WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
Aptus Capital Advisors Fairhope, Alabama $12.7B AUM 17.41% 1-Year Est. Return
ZIG
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Guggenheim Capital's Q3 2021 Portfolio in Review

As of Q3 2021, Guggenheim Capital held 2,287 positions worth $16.7B, down 2% from $17B the previous quarter. Its ten largest holdings account for 17% of the portfolio.

Guggenheim Capital's Q3 2021 filing shows 114 new, 795 increased, 1,162 reduced and 171 closed positions. Its largest new stake was Logistics Innovation Technologies Corp. Class A Common Stock: 4,000,000 shares worth $38.6M. The largest sale was Alexion Pharmaceuticals, an estimated $41.8M.

By sector, the portfolio is most concentrated in Technology at 19% of assets, up from 19% a quarter earlier, followed by Financials and Healthcare.

  • Guggenheim Capital's largest Q3 2021 buy was Logistics Innovation Technologies Corp. Class A Common Stock: 4,000,000 shares worth $38.6M.
  • Guggenheim Capital added most to iShares Core US Aggregate Bond ETF in Q3 2021, an estimated $50M increase.
  • Guggenheim Capital's biggest Q3 2021 reduction was Matterport, Inc. Class A Common Stock, cutting an estimated $32.4M.
  • Guggenheim Capital fully exited Alexion Pharmaceuticals in Q3 2021, selling an estimated $41.8M.
  • Guggenheim Capital's ten largest holdings make up 17% of its $16.7B portfolio in Q3 2021.
  • Guggenheim Capital opened 114 new positions and closed 171 in Q3 2021.
  • Guggenheim Capital's portfolio value fell 2% quarter-over-quarter to $16.7B.

Based on Guggenheim Capital's 13F filing for Q3 2021, filed 15 Nov 2021.