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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
6101 CASH AMER INTL 500 22 0.00%
6102 ELECTRO SCIENTIFIC INDS 3,182 22 0.00%
6103 SILICON LABORATORIES INC 541 22 0.00%
6104 CAPITAL SR LIVING CORP 1,022 22 0.00%
6105 BAR HARBOR BANKSHARES 767 22 0.00%
6106 ARES COML REAL ESTATE CORP 1,840 22 0.00%
6107 ARRAY BIOPHARMA INC 5,938 21 0.00%
6108 Miller Energy Resources, Inc. 4,719 21 0.00%
6109 WEBMD HEALTH CORPORATION 500 21 0.00%
6110 ILLINOIS TOOL WKS INC 250 21 0.00%
6111 AGENUS INC 6,736 21 0.00%
6112 MENS WEARHOUSE INC 435 21 0.00%
6113 FNB CORP PA 1,715 21 0.00%
6114 DOT HILL SYS CORP 5,635 21 0.00%
6115 LAYNE CHRISTENSEN CO 2,145 21 0.00%
6116 ORBITZ WORLDWIDE INC 2,673 21 0.00%
6117 WHITESTONE REIT 1,506 21 0.00%
6118 ADVISORY BRD CO 459 21 0.00%
6119 On Assignment Inc 785 21 0.00%
6120 MALIBU BOATS INCORPORATED COM CLASS A 1,116 21 0.00%
6121 GERON CORP 10,746 21 0.00%
6122 SYNAPTICS INC 289 21 0.00%
6123 R H 267 21 0.00%
6124 BIOTIME INC 6,797 21 0.00%
6125 SYNAGEVA BIOPHARMA CORP 310 21 0.00%
6126 PLEXUS CORP COM 574 21 0.00%
6127 ULTIMATE SOFTWARE GROUP INC COM 149 21 0.00%
6128 GLADSTONE COMMERCIAL CORP 1,222 21 0.00%
6129 INSPERITY INC COM 765 21 0.00%
6130 TRUSTCO BK CORP N Y 3,162 20 0.00%
6131 APPLIED OPTOELECTRONICS INC 1,212 20 0.00%
6132 MANITOWOC INC 850 20 0.00%
6133 UNITED CMNTY FINL CORP OHIO COM 4,345 20 0.00%
6134 ENERSYS 334 20 0.00%
6135 QUICKLOGIC CORP 6,650 20 0.00%
6136 NAVIDEA BIOPHARM INC 15,518 20 0.00%
6137 STATE AUTO FINL CORP COM 993 20 0.00%
6138 KVH INDS INC COM 1,765 20 0.00%
6139 PEREGRINE PHARMACEUTICALS IN 14,593 20 0.00%
6140 CPFL ENERGIA S A 1,260 20 0.00%
6141 DEALERTRACK TECHNOLOGIES INC 468 20 0.00%
6142 FIDELITY NATIONAL FINANCIAL IN FNFV GROUP COM 1,448 20 0.00%
6143 NEURALSTEM INC COM 6,019 20 0.00%
6144 COMPANHIA SIDERURGICA NACION 5,648 20 0.00%
6145 Magnum Hunter Resources Corp 3,552 20 0.00%
6146 Rex Energy Corp 1,604 20 0.00%
6147 DESTINATION XL GROUP INC COM 4,283 20 0.00%
6148 FBR AND CO COM NEW 713 20 0.00%
6149 LIGAND PHARMACEUTICALS INC 422 20 0.00%
6150 Unwired Planet, Inc. 10,537 20 0.00%
Page 123 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%