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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
MC icon
2176
Moelis & Co
MC
$4.99B
$925K ﹤0.01%
27,287
+11,993
+78% +$339K
DEL
2177
DELISTED
Deltic Timber
DEL
$923K ﹤0.01%
11,983
-12,019
-50% -$821K
IRR
2178
DELISTED
VOYA NATURAL RESOURCES EQUITY INCOME FUND
IRR
$922K ﹤0.01%
144,126
+20,738
+17% +$137K
AKS
2179
DELISTED
AK Steel Holding Corp
AKS
$920K ﹤0.01%
90,067
+67,136
+293% +$511K
CEQP
2180
DELISTED
Crestwood Equity Partners LP
CEQP
$917K ﹤0.01%
35,899
-181,374
-83% -$3.96M
CROX icon
2181
Crocs
CROX
$6.47B
$914K ﹤0.01%
+133,316
New +$1.03M
AEPI
2182
DELISTED
AEP Industries Inc
AEPI
$914K ﹤0.01%
7,869
+1,949
+33% +$221K
DFP
2183
Flaherty & Crumrine Dynamic Preferred and Income Fund
DFP
$427M
$913K ﹤0.01%
38,395
-3,691
-9% -$87.2K
SSYS icon
2184
Stratasys
SSYS
$774M
$912K ﹤0.01%
55,180
+4,364
+9% +$85.5K
TMP icon
2185
Tompkins Financial
TMP
$1.43B
$910K ﹤0.01%
+9,623
New +$806K
COR
2186
DELISTED
Coresite Realty Corporation
COR
$908K ﹤0.01%
11,441
-28,729
-72% -$2.11M
CADE
2187
DELISTED
Cadence Bank
CADE
$906K ﹤0.01%
29,174
+8,255
+39% +$221K
WIN
2188
DELISTED
Windstream Holdings Inc
WIN
$906K ﹤0.01%
24,707
-24,270
-50% -$945K
JPS
2189
DELISTED
Nuveen Preferred & Income Securities Fund
JPS
$904K ﹤0.01%
97,140
-16,163
-14% -$146K
AGX icon
2190
Argan
AGX
$8.48B
$898K ﹤0.01%
12,727
-51
-0.4% -$3.18K
MRTN icon
2191
Marten Transport
MRTN
$1.23B
$897K ﹤0.01%
96,263
-176,675
-65% -$1.59M
ATI icon
2192
ATI
ATI
$31B
$895K ﹤0.01%
56,232
-238,402
-81% -$3.96M
DXCM icon
2193
DexCom
DXCM
$31.2B
$894K ﹤0.01%
59,936
-140
-0.2% -$2.48K
NJV
2194
DELISTED
Nuveen New Jersey Municipal Value Fund Common shares of beneficial interest
NJV
$891K ﹤0.01%
53,810
-4,895
-8% -$77.3K
TROX icon
2195
Tronox
TROX
$1.04B
$890K ﹤0.01%
86,342
-24,887
-22% -$248K
IRT icon
2196
Independence Realty Trust
IRT
$4.02B
$887K ﹤0.01%
99,471
-1,652
-2% -$14.3K
SMC
2197
Summit Midstream
SMC
$420M
$887K ﹤0.01%
2,351
-176
-7% -$60.1K
CBRL icon
2198
Cracker Barrel
CBRL
$1.3B
$885K ﹤0.01%
5,301
+1,720
+48% +$260K
DDD icon
2199
3D Systems Corp
DDD
$595M
$883K ﹤0.01%
66,432
-110,347
-62% -$1.62M
DELL icon
2200
Dell
DELL
$278B
$883K ﹤0.01%
57,268
-32,608
-36% -$467K
86 87
88
89 90

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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.