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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
LDP icon
2351
Cohen & Steers Duration Preferred & Income Fund
LDP
$598M
$593K ﹤0.01%
24,171
-2,568
-10% -$61.9K
VC icon
2352
Visteon
VC
$2.75B
$592K ﹤0.01%
7,376
+3,135
+74% +$236K
MXL icon
2353
MaxLinear
MXL
$6.37B
$591K ﹤0.01%
27,090
+4,880
+22% +$101K
AYR
2354
DELISTED
Aircastle Ltd
AYR
$591K ﹤0.01%
28,346
+6,405
+29% +$135K
DUC
2355
DELISTED
Duff & Phelps Utility & Corporate Bond Trust
DUC
$590K ﹤0.01%
62,534
-4,082
-6% -$38.1K
FCE.A
2356
DELISTED
Forest City Realty Trust, Inc.
FCE.A
$590K ﹤0.01%
28,287
-2,216
-7% -$44.9K
CPE
2357
DELISTED
Callon Petroleum Company
CPE
$587K ﹤0.01%
3,817
+982
+35% +$150K
NXGN
2358
DELISTED
NextGen Healthcare, Inc. Common Stock
NXGN
$587K ﹤0.01%
44,548
-18,619
-29% -$239K
NXC
2359
DELISTED
Nuveen CA Select Tax-Free Income Portfolio
NXC
$585K ﹤0.01%
39,750
-6,403
-14% -$100K
MMT
2360
Aberdeen Multi-Market Income Fund
MMT
$239M
$583K ﹤0.01%
96,188
-1,567
-2% -$9.3K
MTDR icon
2361
Matador Resources
MTDR
$6.04B
$581K ﹤0.01%
22,546
+4,454
+25% +$108K
TRI icon
2362
Thomson Reuters
TRI
$43.4B
$579K ﹤0.01%
11,393
-74,094
-87% -$3.61M
LII icon
2363
Lennox International
LII
$15.1B
$576K ﹤0.01%
3,762
-57,660
-94% -$8.81M
OFIX icon
2364
Orthofix Medical
OFIX
$432M
$576K ﹤0.01%
15,930
-3,350
-17% -$127K
OCLR
2365
DELISTED
Oclaro Inc.
OCLR
$576K ﹤0.01%
64,354
+33,437
+108% +$289K
XPRO icon
2366
Expro Ltd
XPRO
$1.91B
$572K ﹤0.01%
7,740
-2,059
-21% -$151K
BW icon
2367
Babcock & Wilcox
BW
$1.4B
$570K ﹤0.01%
3,436
-246
-7% -$39.2K
WIA
2368
Western Asset Inflation-Linked Income Fund
WIA
$186M
$569K ﹤0.01%
49,537
– –
GHL
2369
DELISTED
Greenhill & Co., Inc.
GHL
$564K ﹤0.01%
20,353
+11,561
+131% +$298K
ADTN icon
2370
Adtran
ADTN
$611M
$563K ﹤0.01%
25,220
+13,959
+124% +$282K
DWSN icon
2371
Dawson Geophysical
DWSN
$148M
$563K ﹤0.01%
73,449
-102,783
-58% -$740K
CEMP
2372
DELISTED
Cempra, Inc.
CEMP
$560K ﹤0.01%
+200,057
New +$2.43M
JONE
2373
DELISTED
Jones Energy, Inc.
JONE
$558K ﹤0.01%
6,066
+23
+0.4% +$1.86K
LECO icon
2374
Lincoln Electric
LECO
$15.2B
$557K ﹤0.01%
7,270
-813
-10% -$58.2K
SPXX icon
2375
Nuveen S&P 500 Dynamic Overwrite Fund
SPXX
$339M
$556K ﹤0.01%
38,619
-127,788
-77% -$1.77M
93 94
95
96 97

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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
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WANY
Wealthspire Advisors (New York) New York $12.7B AUM 17.31% 1-Year Est. Return
ACA
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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.