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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 (2014Q2)
Portfolio Summary: 3,197 holdings with a total value of $39,524,633,000.
#
Name
Shares
Value ($)
%
Options
Notes
1 ISHARES TR 2 0 0.00%
2 CUBIST PHARMACEUTICALS INC 3,694 0 0.00%
3 OI S A SPONSORED ADR 1,781 2,000 0.00%
4 LUCAS ENERGY INC 12,964 8,000 0.00%
5 Mela Sciences Inc Com 26,391 8,000 0.00%
6 Corinthian Colleges, Inc. 30,739 9,000 0.00%
7 AUTHENTIDATE HLDG CORP 13,060 9,000 0.00%
8 CLEVELAND BIOLABS INC 23,549 11,000 0.00%
9 Response Genetics, Inc. 11,616 11,000 0.00%
10 GABELLI HLTHCARE & WELLNESS 27,720 11,000 0.00%
11 CERES, INC. 17,252 11,000 0.00%
12 Tenga Inc 24,950 11,000 0.00%
13 IKANOS COMMUNICATIONS INC 27,263 12,000 0.00%
14 HOUSTON AMERN ENERGY CORP 25,131 12,000 0.00%
15 METABOLIX INC RESTRICTED 13,549 12,000 0.00%
16 BSD MEDICAL CORP 11,636 12,000 0.00%
17 SILVER BULL RES INC 41,506 13,000 0.00%
18 PALATIN TECHNOLOGIES INC COM 12,642 13,000 0.00%
19 VISION-SCIENCES INC DEL 11,176 13,000 0.00%
20 NOVABAY PHARMACEUTICALS INC 17,743 14,000 0.00%
21 Smith Micro Software 13,832 14,000 0.00%
22 FULL HOUSE RESORTS INC 10,419 15,000 0.00%
23 STR HOLDINGS INC 11,269 15,000 0.00%
24 CESCA THERAPEUTICS INC 11,355 16,000 0.00%
25 ENZON PHARMACEUTICALS INC 15,794 16,000 0.00%
26 WAVE SYSTEMS CORP 12,064 17,000 0.00%
27 OPEXA THERAPEUTICS EQUITY WARRANTS 03/13/201 10,208 17,000 0.00%
28 METALICO INC 14,193 18,000 0.00%
29 Gevo Inc 21,359 18,000 0.00%
30 Epirus Biopharma 15,727 19,000 0.00%
31 VISTA GOLD CORP 38,145 19,000 0.00%
32 CARDICA INC 16,900 19,000 0.00%
33 PREMIER EXHIBITIONS INC 23,918 19,000 0.00%
34 GOLDEN MINERALS CO 16,289 19,000 0.00%
35 HOOPER HOLMES INC 25,635 19,000 0.00%
36 FALCONSTOR SOFTWARE INC 11,532 20,000 0.00%
37 MINES MGMT INC 18,000 20,000 0.00%
38 GENERAL STEEL HOLDINGS INC 22,195 21,000 0.00%
39 AMERICAN APPAREL INC COM 24,222 22,000 0.00%
40 CASTLE BRANDS INC COM 24,810 22,000 0.00%
41 GOLDFIELD CORP COM 13,328 23,000 0.00%
42 RARE ELEMENT RES LTD 17,604 23,000 0.00%
43 Navidea Biopharm Inc 16,454 24,000 0.00%
44 HEMISPHERX BIOPHARMA INC 80,521 25,000 0.00%
45 SYNTHESIS ENERGY SYS INC 13,199 25,000 0.00%
46 UNITED STATES ANTIMONY CORP 17,806 25,000 0.00%
47 SYNTHETIC BIOLOGICS INCORPORATED 14,796 25,000 0.00%
48 Unwired Planet, Inc. 11,267 25,000 0.00%
49 ImmunoCellular Therapeutics Lt 22,764 25,000 0.00%
50 GENVEC INC 10,268 26,000 0.00%
Page 1 of 64

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001172661-14-001455, filed 2014.08.14).

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.