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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
151 Warren Resources Inc 11,175 69,000 0.00%
152 DISCOVERY LABORATORIES INC N 38,847 69,000 0.00%
153 RADIO ONE INC CL D NON VTG 14,145 70,000 0.00%
154 FEMALE HEALTH CO 12,955 71,000 0.00%
155 MACATAWA BK CORP 14,173 72,000 0.00%
156 RESEARCH FRONTIERS INC 11,964 73,000 0.00%
157 Kite Realty Group TRUS 11,851 73,000 0.00%
158 Cinedigm Corp 29,389 74,000 0.00%
159 CLIFFS NAT RES INC 5,000 75,000 0.00% Put
160 REVOLUTION LIGHTING TECHNOLO COM 32,657 75,000 0.00%
161 PARKER DRILLING COMPANY 11,575 75,000 0.00%
162 BIOTIME INC 25,252 77,000 0.00%
163 ALPHA NATURAL RESOURCES 21,129 78,000 0.00%
164 ParkerVision Inc. (PRKR) 53,214 79,000 0.00%
165 TeleCommunication Systems Inc. 24,070 79,000 0.00%
166 DURECT CORP 44,106 80,000 0.00%
167 CYTOKINETICS INC 17,607 84,000 0.00%
168 SFX ENTMT INC 10,398 85,000 0.00%
169 CYTORI THERAPEUTIC INC 35,826 86,000 0.00%
170 * XUEDA ED GROUP SPONSORED ADR 19,279 86,000 0.00%
171 PENDRELL CORP 48,802 86,000 0.00%
172 CONSUMER PORTFOLIO SVCS INC COM 11,349 87,000 0.00%
173 HACKETT GROUP INC 15,009 90,000 0.00%
174 SYNERGY PHARMACEUTICALS DEL 22,182 90,000 0.00%
175 CYTRX CORP 21,771 91,000 0.00%
176 CORENERGY INFRASTRUCTURE 12,230 91,000 0.00%
177 VITESSE SEMICONDUCTOR CORP 26,523 92,000 0.00%
178 Neostem Inc 14,350 93,000 0.00%
179 TOWER GROUP INTERN 52,999 95,000 0.00%
180 BLACKROCK INTL GRWTH & INC T 11,571 95,000 0.00%
181 SUCAMPO PHARMACEUTICALS INCORPORATED CLASS A 13,777 95,000 0.00%
182 OCLARO INC 43,527 96,000 0.00%
183 LIBERTY ALL STAR EQUITY FD 16,128 97,000 0.00%
184 ISHARES TR 1,547 98,000 0.00%
185 SPEED COMM INC 26,618 100,000 0.00%
186 ATLANTIC PWR CORP 24,486 100,000 0.00%
187 VONAGE HLDGS CORP 26,701 100,000 0.00%
188 UNITED CMNTY FINL CORP OHIO 24,317 100,000 0.00%
189 BioTelemetry Inc 14,057 101,000 0.00%
190 ARBOR REALTY TRUST INC 14,654 102,000 0.00%
191 Japan Smaller Capitalizationfd Inc Common 10,922 103,000 0.00%
192 IDERA PHARMACEUTICALS INCORPORATED COM NEW 35,461 103,000 0.00%
193 NEUBERGER BERMAN RE ES SEC FD 20,695 103,000 0.00%
194 Isoray Inc 33,617 105,000 0.00%
195 DATALINK ORD 10,553 106,000 0.00%
196 AGENUS INC 32,926 106,000 0.00%
197 SCORPIO TANKERS INC 10,602 108,000 0.00%
198 SEACOAST BKG CORP FLA 10,014 108,000 0.00%
199 ROUNDYS INC 19,812 109,000 0.00%
200 NEWBRIDGE BANCORP 13,527 109,000 0.00%
Page 4 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.