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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 (2014Q3)
Original 13F HR (0001172661-14-001833) filed in 2014.11.14
#
Name
Shares
Value ($)
%
Options
Notes
6001 EBIX INC 1,993 28 0.00%
6002 Dynavax Techs Cp New 19,325 28 0.00%
6003 DESTINATION XL GROUP INC COM 5,867 28 0.00%
6004 PEREGRINE PHARMACEUTICALS IN 20,743 28 0.00%
6005 NUVEEN GLOBAL EQUITY INCOME 2,070 28 0.00%
6006 DOT HILL SYS CORP 7,490 28 0.00%
6007 AVIV REIT INC 1,075 28 0.00%
6008 UNITED RENTALS INC 250 28 0.00%
6009 INVESTORS REAL 3,686 28 0.00%
6010 Acxiom Corp 1,676 28 0.00%
6011 UNITED CMNTY FINL CORP OHIO COM 5,905 28 0.00%
6012 ARENA PHARMACEUTICALS INC 6,581 28 0.00%
6013 FEDERAL MOGUL HOLDINGS ORD 1,857 28 0.00%
6014 PLANTRONICS INCORPORATED NEW 559 27 0.00%
6015 NETEASE INC 319 27 0.00%
6016 KRATOS DEFENSE & SECURITY SOLU COM 4,042 27 0.00%
6017 OMEGA PROTEIN CORP 2,186 27 0.00%
6018 NUVEEN S&P 500 BUY-WRITE INC 2,156 27 0.00%
6019 OI S.A. SPN ADR 39,100 27 0.00%
6020 VITESSE SEMICONDUCTOR CORP 7,378 27 0.00%
6021 FOREST OIL CORP 22,895 27 0.00%
6022 LEIDOS HLDGS INC 760 27 0.00%
6023 AXCELIS TECHNOLOGIES INC 13,478 27 0.00%
6024 DEL FRISCOS RESTAURANT GROUP COM 1,436 27 0.00%
6025 FIBRIA CELULOSE S A SP ADR REP COM 2,448 27 0.00%
6026 CHINA UNICOM HONG KONG 1,725 26 0.00%
6027 NATIONAL PRESTO INDS INC 432 26 0.00%
6028 OIL STS INTL INC 419 26 0.00%
6029 VAIL RESORTS INC 300 26 0.00%
6030 SCIENCE APPLICATNS INTL CP N 591 26 0.00%
6031 AIR METHODS CORP 473 26 0.00%
6032 Carriage Services Inc. 1,500 26 0.00%
6033 SILICON IMAGE INC 5,191 26 0.00%
6034 Neo Performance Materials 21,522 26 0.00%
6035 SESA STERLITE LTD 1,492 26 0.00%
6036 HARTE-HANKS INC 4,016 26 0.00%
6037 QUANTUM CORP-DLT & STORAGE SYS 21,254 25 0.00%
6038 CTI BIOPHARMA 10,204 25 0.00%
6039 DXP ENTERPRISES INC NEW COM NEW 344 25 0.00%
6040 FIVE STAR SENIOR LIVING INC 6,593 25 0.00%
6041 Teekay Tankers Ltd. 6,619 25 0.00%
6042 CERUS CORPORATION 6,359 25 0.00%
6043 CARROLS RESTAURANT GROUP INC 3,495 25 0.00%
6044 PMFG INC 5,000 25 0.00%
6045 HILLENBRAND INC 816 25 0.00%
6046 TERRAFORM PWR INC CL A COM 854 25 0.00%
6047 LIVEPERSON INC 1,963 25 0.00%
6048 DIODES INC COM 1,040 25 0.00%
6049 WATERSTONE FINL INC MD 2,146 25 0.00%
6050 GRUPO AEROPORTUARIO DEL SURE 196 25 0.00%
Page 121 of 128
New Holding filing (0001172661-14-001864) filed in 2014.11.17
#
Name
Shares
Value ($)
%
Options
Notes
1 DIAMOND RESORTS INTL INC COM 11,338,566 258,066 100.00%