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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
HTH icon
2226
Hilltop Holdings
HTH
$2.25B
$828K ﹤0.01%
27,800
+14,353
+107% +$381K
HOPE icon
2227
Hope Bancorp
HOPE
$1.78B
$823K ﹤0.01%
37,602
-48,949
-57% -$925K
MGA icon
2228
Magna International
MGA
$18.1B
$822K ﹤0.01%
18,939
+9,936
+110% +$418K
QUNR
2229
DELISTED
Qunar Cayman Islands Limited
QUNR
$821K ﹤0.01%
27,248
-3,686
-12% -$110K
CPL
2230
DELISTED
CPFL Energia S.A.
CPL
$815K ﹤0.01%
52,933
-16,425
-24% -$243K
EFF
2231
DELISTED
EATON VANCE FLOATING-RATE INCOME PLUS FUND
EFF
$814K ﹤0.01%
47,511
+32,716
+221% +$527K
RENX
2232
DELISTED
RELX N.V.
RENX
$813K ﹤0.01%
48,528
-8,090
-14% -$133K
BGY icon
2233
BlackRock Enhanced International Dividend Trust
BGY
$526M
$811K ﹤0.01%
147,217
-554
-0.4% -$3.08K
SIMO icon
2234
Silicon Motion
SIMO
$9.07B
$811K ﹤0.01%
19,109
+7,580
+66% +$346K
NBO
2235
DELISTED
Neuberger Berman New York Municipal Fund Inc.
NBO
$811K ﹤0.01%
64,754
-38,636
-37% -$505K
ABDC
2236
DELISTED
Alcentra Capital Corp
ABDC
$810K ﹤0.01%
67,654
+24,637
+57% +$305K
PAG icon
2237
Penske Automotive Group
PAG
$14.2B
$809K ﹤0.01%
15,615
+3,766
+32% +$184K
ACIA
2238
DELISTED
Acacia Communications Inc
ACIA
$805K ﹤0.01%
13,038
+5,200
+66% +$396K
GGM
2239
DELISTED
GUGGENHEIM CREDIT ALLOCATION FUND
GGM
– –
0
– –
FUL icon
2240
H.B. Fuller
FUL
$3.18B
$803K ﹤0.01%
16,607
-2,358
-12% -$109K
SCU
2241
DELISTED
Sculptor Capital Management, Inc. Class A Common Stock
SCU
$803K ﹤0.01%
24,257
-2,099
-8% -$67K
GPM
2242
DELISTED
Guggenheim Enhanced Equity Income Fund
GPM
$802K ﹤0.01%
100,312
-28,988
-22% -$226K
PBH icon
2243
Prestige Consumer Healthcare
PBH
$2.58B
$799K ﹤0.01%
15,340
-144,207
-90% -$6.96M
AAXJ icon
2244
iShares MSCI All Country Asia ex Japan ETF
AAXJ
$3.74B
$798K ﹤0.01%
+14,526
New +$837K
SA
2245
Seabridge Gold
SA
$3.12B
$795K ﹤0.01%
97,560
-42,437
-30% -$418K
PDCE
2246
DELISTED
PDC Energy, Inc.
PDCE
$792K ﹤0.01%
10,924
+1,748
+19% +$120K
BLJ
2247
DELISTED
BlackRock New Jersey Municipal Bond Trust
BLJ
$790K ﹤0.01%
53,718
-4,701
-8% -$73.7K
EXK
2248
Endeavour Silver
EXK
$2.61B
$787K ﹤0.01%
223,282
-9,849
-4% -$39.7K
YPF icon
2249
YPF Sociedad Anonima American Depositary Shares (Each representing ten (10) Class D shares of Capital Stock)
YPF
$19.5B
$786K ﹤0.01%
47,656
-34,172
-42% -$585K
PAC icon
2250
Grupo Aeroportuario del Pacifico
PAC
$13.2B
$782K ﹤0.01%
9,477
+1,964
+26% +$177K
88 89
90
91 92

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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.