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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
IPXL
1701
DELISTED
Impax Laboratories, Inc.
IPXL
$1.93M 0.01%
145,928
+4,144
+3% +$70.8K
BTG icon
1702
B2Gold
BTG
$5.44B
$1.93M 0.01%
815,186
-372,248
-31% -$924K
GLOP
1703
DELISTED
GASLOG PARTNERS LP
GLOP
$1.93M 0.01%
94,013
+17,006
+22% +$350K
NTG
1704
DELISTED
Tortoise Midstream Energy Fund, Inc. Common Stock
NTG
$1.93M 0.01%
10,118
-10,967
-52% -$2.08M
HR icon
1705
Healthcare Realty
HR
$6.96B
$1.93M 0.01%
66,201
-65,884
-50% -$1.94M
PAGP icon
1706
Plains GP Holdings
PAGP
$5.01B
$1.93M 0.01%
55,613
+15,535
+39% +$533K
CRZO
1707
DELISTED
Carrizo Oil & Gas Inc
CRZO
$1.93M 0.01%
51,546
+35,994
+231% +$1.39M
KRA
1708
DELISTED
Kraton Corporation
KRA
$1.92M 0.01%
+67,525
New +$2.08M
EDI
1709
DELISTED
Virtus Stone Harbor Emerging Markets Total Income Fund
EDI
$1.92M 0.01%
139,836
+31,060
+29% +$432K
CATM
1710
DELISTED
Cardtronics plc Class A Ordinary Shares (UK)
CATM
$1.92M 0.01%
+35,230
New +$1.79M
CCEC
1711
Capital Clean Energy Carriers
CCEC
$1.39B
$1.92M 0.01%
86,266
-96,737
-53% -$2.08M
EVY
1712
DELISTED
Eaton Vance New York Municipal Income Trust
EVY
$1.92M 0.01%
147,304
-16,701
-10% -$230K
JJSF icon
1713
J&J Snack Foods
JJSF
$1.71B
$1.92M 0.01%
+14,375
New +$1.77M
SKM icon
1714
SK Telecom
SKM
$13.7B
$1.92M 0.01%
55,661
-7,230
-11% -$257K
DEX
1715
DELISTED
DELAWARE ENHANCED GLOBAL DIVIDEND & INCOME FUND
DEX
$1.91M 0.01%
188,938
+8,389
+5% +$81.8K
ZAYO
1716
DELISTED
Zayo Group Holdings, Inc.
ZAYO
$1.9M 0.01%
57,932
+6,026
+12% +$197K
ECOL
1717
DELISTED
US Ecology, Inc.
ECOL
$1.9M 0.01%
38,670
+7,162
+23% +$324K
STL
1718
DELISTED
Sterling Bancorp
STL
$1.9M 0.01%
81,177
+46,358
+133% +$960K
DBRG icon
1719
DigitalBridge
DBRG
$2.95B
$1.9M 0.01%
31,789
-29,818
-48% -$1.68M
HCI icon
1720
HCI Group
HCI
$2.27B
$1.9M 0.01%
+48,037
New +$1.53M
MBFI
1721
DELISTED
MB Financial Corp
MBFI
$1.9M 0.01%
40,138
+10,427
+35% +$432K
LEXEA
1722
DELISTED
Liberty Expedia Holdings, Inc. Class A Common Stock
LEXEA
$1.89M 0.01%
+47,669
New +$2.02M
LZB icon
1723
La-Z-Boy
LZB
$1.63B
$1.89M 0.01%
60,787
-118,276
-66% -$3.2M
MEI icon
1724
Methode Electronics
MEI
$591M
$1.89M 0.01%
45,578
-14,210
-24% -$521K
WUBA
1725
DELISTED
58.com Inc
WUBA
$1.89M 0.01%
67,310
-49,201
-42% -$1.83M
67 68
69
70 71

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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.