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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
6151 COMPANHIA SIDERURGICA NACION 5,648 20 0.00%
6152 TRUSTCO BK CORP N Y 3,162 20 0.00%
6153 MANITOWOC INC 850 20 0.00%
6154 STATE AUTO FINL CORP COM 993 20 0.00%
6155 FBR AND CO COM NEW 713 20 0.00%
6156 LIGAND PHARMACEUTICALS INC 422 20 0.00%
6157 DEALERTRACK TECHNOLOGIES INC 468 20 0.00%
6158 KVH INDS INC COM 1,765 20 0.00%
6159 CUMULUS MEDIA INC 4,986 20 0.00%
6160 NAVIDEA BIOPHARM INC 15,518 20 0.00%
6161 NEURALSTEM INC COM 6,019 20 0.00%
6162 PDL BIOPHARMA INC 2,732 20 0.00%
6163 CPFL ENERGIA S A 1,260 20 0.00%
6164 Inland Real Estate Corp 1,920 19 0.00%
6165 KT CORP 1,184 19 0.00%
6166 LEE ENTERPRISES INC 5,625 19 0.00%
6167 EVERCORE PARTNERS INC 410 19 0.00%
6168 TALMER BANCORP INC 1,385 19 0.00%
6169 Rcs Capital Corp 838 19 0.00%
6170 GALENA BIOPHARMA INC 9,345 19 0.00%
6171 IDERA PHARMACEUTICALS INCORPORATED COM NEW 8,376 19 0.00%
6172 KORN FERRY COM NEW 764 19 0.00%
6173 TeleCommunication Systems Inc. 6,665 19 0.00%
6174 ENTRAVISION COMMUNICATIONS C CL A 4,912 19 0.00%
6175 MONMOUTH REAL ESTATE INVT CO 1,886 19 0.00%
6176 DESTINATION MATERNITY CORP COM 1,211 19 0.00%
6177 LMI Aerospace, Inc. 1,490 19 0.00%
6178 Energizer Holding Inc 155 19 0.00%
6179 DSW INC CL A 640 19 0.00%
6180 PEOPLES BANCORP INC 782 19 0.00%
6181 VISTEON CORP COM NEW 200 19 0.00%
6182 COMPANHIA PARANAENSE ENERG C SPON ADR PFD 1,408 19 0.00%
6183 Durect Corp Com 13,248 19 0.00%
6184 Mavenir Systems, Inc. 1,483 19 0.00%
6185 W T OFFSHORE INC 1,687 19 0.00%
6186 MOBILE MINI INC 554 19 0.00%
6187 WILLIAMS CLAYTON ENERGY INC 199 19 0.00%
6188 GOL LINHAS AEREAS INTELIGENTES SA 3,896 19 0.00%
6189 INDEPENDENT BK CORP MICH 1,606 19 0.00%
6190 BANCORPSOUTH INC 940 19 0.00%
6191 ISHARES TR 160 18 0.00%
6192 MANNING & NAPIER INC CL A 1,093 18 0.00%
6193 FIVE STAR SENIOR LIVING INC 4,662 18 0.00%
6194 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 6,572 18 0.00%
6195 APPLIED MICRO CIRCUITS ORD 2,637 18 0.00%
6196 DUPONT FABROS TECHNOLOGY INC 670 18 0.00%
6197 STARZ SERIES A 547 18 0.00%
6198 TCF FINL CORP 1,170 18 0.00%
6199 DR REDDYS LABS LTD 348 18 0.00%
6200 SUCAMPO PHARMACEUTICALS INC 2,767 18 0.00%
Page 124 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%