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Institutional Investment Manager
GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC (CIK: 0001283072) incorporated in Delaware, located at 227 West Monroe, Chicago, IL. Institutional holdings reported to the SEC.

Institutional Holdings (2014Q1)
Original 13F HR (0001172661-14-001129) filed in 2014.05.16
#
Name
Shares
Value ($)
%
Options
Notes
201 BIOLASE INC 8,863 21 0.00%
202 SPEED COMM INC 5,802 21 0.00%
203 EVINE LIVE INC 4,264 21 0.00%
204 SILVER BAY RLTY TR CORP 1,366 21 0.00%
205 PC-TEL INC 2,412 21 0.00%
206 GLADSTONE CAPITAL CORP 2,034 21 0.00%
207 OPEXA THERAPEUTICS EQUITY WARRANTS 03/13/201 11,228 21 0.00%
208 VISTA GOLD CORP 41,957 21 0.00%
209 TRINA SOLAR ADR REPTG 50 ORD 1,583 21 0.00%
210 Karyopharm 682 21 0.00%
211 Epirus Biopharma 17,299 21 0.00%
212 READING INTERNATIONAL INC 2,849 21 0.00%
213 KALOBIOS PHARMACEUTICALS INC 7,912 21 0.00%
214 ADDUS HOMECARE CORP 890 21 0.00%
215 GLADSTONE INVT CORP 2,534 21 0.00%
216 TRC COS INC 3,157 21 0.00%
217 ARQULE INC 10,249 21 0.00%
218 IKANOS COMMUNICATIONS INC 23,906 21 0.00%
219 CESCA THERAPEUTICS INC 12,491 21 0.00%
220 INTERMOLECULAR INC 7,326 21 0.00%
221 KULICKE & SOFFA INDS INC 1,671 21 0.00%
222 Amern Superconductor Cp 13,711 22 0.00%
223 GERON CORP 10,408 22 0.00%
224 WESTELL TECHNOLOGIES INC 5,987 22 0.00%
225 MINES MGMT INC 19,800 22 0.00%
226 PC CONNECTION INC 1,078 22 0.00%
227 MEDALLION FINL CORP 1,692 22 0.00%
228 CODEXIS INC 10,764 22 0.00%
229 LIMELIGHT NETWORKS INC 10,114 22 0.00%
230 HOUGHTON MIFFLIN HARCOURT CO 1,081 22 0.00%
231 NEW YORK & CO INC 4,942 22 0.00%
232 WCI COMMUNITIES ORD 1,096 22 0.00%
233 Vical Inc 17,493 23 0.00%
234 LRAD CORP 10,765 23 0.00%
235 DOCUMENT SEC SYS INC COM 18,216 23 0.00%
236 AMERICAN RESIDENTIAL PPTYS I 1,271 23 0.00%
237 TRUSTMARK CORP 910 23 0.00%
238 GALENA BIOPHARMA INC 9,267 23 0.00%
239 GLADSTONE COMMERCIAL CORP 1,323 23 0.00%
240 APPLIED OPTOELECTRONICS INC 932 23 0.00%
241 FIRST CONN BANCORP INC MD 1,484 23 0.00%
242 GSI TECHNOLOGY 3,279 23 0.00%
243 NOVABAY PHARMACEUTICALS INC 19,517 23 0.00%
244 Kite Realty Group TRUS 4,020 24 0.00%
245 WASHINGTON BKG CO OAK HBR WA 1,338 24 0.00%
246 PEOPLES BANCORP INC 986 24 0.00%
247 ARES COML REAL ESTATE CORP 1,818 24 0.00%
248 MANPOWERGROUP INC 300 24 0.00%
249 NAVIDEA BIOPHARM INC 13,094 24 0.00%
250 HACKETT GROUP INC 4,059 24 0.00%
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