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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
51 VENAXIS INC 11,502 26,000 0.00%
52 LOCAL CORP COM 12,662 26,000 0.00%
53 Novatel Wireless Inc 14,529 28,000 0.00%
54 DOCUMENT SEC SYS INC COM 20,758 28,000 0.00%
55 MAST THERAPEUTICS INC COM 44,580 28,000 0.00%
56 ANTARES PHARMA INC 10,492 28,000 0.00%
57 AVIAT NETWORKS INC COM 21,852 28,000 0.00%
58 QUANTUM CORP COM DSSG 22,603 28,000 0.00%
59 HUTCHISON PORT HOLDINGS TRUST 11,552 29,000 0.00%
60 CORONADO BIOSCIENCES INC 16,599 29,000 0.00%
61 ENTEROMEDICS INC 18,370 29,000 0.00%
62 MICROVISION INC DEL 14,226 29,000 0.00%
63 U.S. GEOTHERMAL INC 50,746 30,000 0.00%
64 Education Management Corporation 17,836 30,000 0.00%
65 ArQule Inc 19,969 31,000 0.00%
66 * LEXICON PHARMACEUTICALS INC COM 19,043 31,000 0.00%
67 Vical Inc 26,567 32,000 0.00%
68 VERMILLION INC 12,268 32,000 0.00%
69 ALASKA COMMUNICATIONS SYS GR 18,024 32,000 0.00%
70 CEL SCI CORP 25,647 32,000 0.00%
71 ZION OIL & GAS INC 15,399 32,000 0.00%
72 HANSEN MEDICAL INC 25,526 33,000 0.00%
73 Dendreon Corp 14,137 33,000 0.00%
74 ZIPREALTY INC 10,902 33,000 0.00%
75 Echelon Corp 13,797 34,000 0.00%
76 UROPLASTY INC 12,571 34,000 0.00%
77 Dynavax Techs Cp New 20,941 34,000 0.00%
78 Verso Corp 16,663 35,000 0.00%
79 Apricus Biosciences, Inc. 15,539 35,000 0.00%
80 BIOLASE INC 16,126 35,000 0.00%
81 GENERAL MOLY INC 30,396 35,000 0.00%
82 Ipass Inc 30,114 36,000 0.00%
83 SYNERGETICS USA INC 11,820 37,000 0.00%
84 BIOTA PHARMACEUTIALS INC COM 12,937 37,000 0.00%
85 JOES JEANS INC 34,840 37,000 0.00%
86 MIDWAY GOLD CORP 41,243 37,000 0.00%
87 API TECHNOLOGIES CORP 13,548 37,000 0.00%
88 GERON CORP 11,702 38,000 0.00%
89 ZAZA ENERGY CORP 44,362 39,000 0.00%
90 PHARMATHENE INC COM 27,507 39,000 0.00%
91 ULTRALIFE CORP 10,125 39,000 0.00%
92 AXT INC 18,507 40,000 0.00%
93 Innodata Inc 12,731 41,000 0.00%
94 THESTREET INC 17,009 41,000 0.00%
95 AVEO PHARMACEUTICALS INC 22,975 42,000 0.00%
96 STEMCELLS INC COM NEW 20,826 42,000 0.00%
97 U S GLOBAL INVS INC 12,041 42,000 0.00%
98 NANOSPHERE INC 26,544 42,000 0.00%
99 EMMIS COMMUNICTNS CORP CL A 14,321 43,000 0.00%
100 AMYRIS INC COM 11,408 43,000 0.00%
Page 2 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.