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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
WLY icon
2051
John Wiley & Sons Class A
WLY
$2.7B
$1.17M ﹤0.01%
21,512
+1,947
+10% +$104K
HT
2052
DELISTED
Hersha Hospitality Trust Priority Class A Common Shares of Beneficial Interest
HT
$1.17M ﹤0.01%
54,427
-50,207
-48% -$979K
MACK
2053
DELISTED
Merrimack Pharmaceuticals, Inc.
MACK
$1.17M ﹤0.01%
+36,325
New +$1.55M
UGP icon
2054
Ultrapar
UGP
$6.55B
$1.16M ﹤0.01%
111,952
-182,252
-62% -$1.92M
ASTE icon
2055
Astec Industries
ASTE
$1.02B
$1.16M ﹤0.01%
17,165
+4,242
+33% +$265K
AIT icon
2056
Applied Industrial Technologies
AIT
$13.3B
$1.15M ﹤0.01%
19,437
-10,466
-35% -$568K
SNPS icon
2057
Synopsys
SNPS
$78.9B
$1.15M ﹤0.01%
19,568
-1,347
-6% -$80.2K
AF
2058
DELISTED
Astoria Financial Corporation
AF
$1.15M ﹤0.01%
+61,701
New +$983K
BKU icon
2059
Bankunited
BKU
$3.38B
$1.15M ﹤0.01%
30,497
+9,734
+47% +$324K
DEI icon
2060
Douglas Emmett
DEI
$1.97B
$1.15M ﹤0.01%
31,397
-43,878
-58% -$1.59M
SEVN
2061
Seven Hills Realty Trust
SEVN
$175M
$1.15M ﹤0.01%
58,260
+6,140
+12% +$119K
UMBF icon
2062
UMB Financial
UMBF
$11.1B
$1.14M ﹤0.01%
14,832
+8,822
+147% +$613K
WDAY icon
2063
Workday
WDAY
$44.2B
$1.14M ﹤0.01%
17,302
+5,969
+53% +$481K
AAON icon
2064
Aaon
AAON
$7.78B
$1.14M ﹤0.01%
51,774
-9,480
-15% -$198K
JOY
2065
DELISTED
Joy Global Inc
JOY
$1.14M ﹤0.01%
40,734
-274,196
-87% -$7.67M
LDR
2066
DELISTED
Landauer Inc
LDR
$1.14M ﹤0.01%
23,654
+15,192
+180% +$715K
BBOX
2067
DELISTED
Black Box Corp
BBOX
$1.14M ﹤0.01%
74,574
-4,890
-6% -$70.1K
HCSG icon
2068
Healthcare Services Group
HCSG
$1.55B
$1.14M ﹤0.01%
28,986
-24,099
-45% -$921K
EMHY icon
2069
iShares JPMorgan EM High Yield Bond ETF
EMHY
$627M
$1.13M ﹤0.01%
23,250
-1,595
-6% -$78.4K
WIT icon
2070
Wipro
WIT
$19.8B
$1.13M ﹤0.01%
621,531
-163,397
-21% -$293K
HPF
2071
John Hancock Preferred Income Fund II
HPF
$344M
$1.13M ﹤0.01%
55,674
-12,163
-18% -$250K
TCBK icon
2072
TriCo Bancshares
TCBK
$1.84B
$1.13M ﹤0.01%
32,929
-144
-0.4% -$4.28K
CPPL
2073
DELISTED
Columbia Pipeline Partners LP
CPPL
$1.13M ﹤0.01%
65,633
+37,420
+133% +$628K
CNX icon
2074
CNX Resources
CNX
$5.2B
$1.12M ﹤0.01%
73,795
-149,781
-67% -$2.36M
HLX icon
2075
Helix Energy Solutions
HLX
$1.42B
$1.12M ﹤0.01%
127,087
-192,569
-60% -$1.86M
81 82
83
84 85

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TRSOTSOK
Teachers Retirement System of the State of Kentucky Frankfort, Kentucky $12.9B AUM 31.03% 1-Year Est. Return
AIM
ARK Investment Management St. Petersburg, Florida $12.9B AUM 64.92% 1-Year Est. Return
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
Zurich Insurance Group Zurich, Switzerland $12.7B AUM 53.57% 1-Year Est. Return

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.