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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
1151 ENPHASE ENERGY INC 545,629 8,179 0.02%
1152 MDU RES GROUP INC 293,690 8,168 0.02%
1153 BRITISH AMERN TOB PLC 72,215 8,166 0.02%
1154 COGNIZANT TECHNOLOGY SOLUTIO 182,299 8,161 0.02%
1155 NUVEEN CORE EQUITY ALPHA FD 474,533 8,148 0.02%
1156 MATTEL INC 264,788 8,116 0.02%
1157 UNION PAC CORP 74,767 8,106 0.02%
1158 CA INC 289,626 8,092 0.02%
1159 YPF SOCIEDAD ANONIMA 218,557 8,084 0.02%
1160 SCORPIO TANKERS INC 967,255 8,038 0.02%
1161 FACEBOOK INC 101,700 8,038 0.02% Call
1162 MSCI INC 170,739 8,028 0.02%
1163 GLAXOSMITHKLINE PLC 174,422 8,020 0.02%
1164 EPR PPTYS 157,817 8,000 0.02%
1165 PUMA BIOTECHNOLOGY 33,525 7,998 0.02%
1166 GEO GROUP INC NEW 208,515 7,971 0.02%
1167 PENGROWTH ENERGY CORP 1,527,246 7,942 0.02%
1168 ORACLE CORP 206,399 7,903 0.02%
1169 CLOUGH GLOBAL OPPORTUNITIES FD SH BEN INT 661,569 7,895 0.02%
1170 NEWCASTLE INVESTMENT CORP 622,248 7,890 0.02%
1171 CENOVUS ENERGY INC 293,448 7,888 0.02%
1172 HALLIBURTON CO 122,280 7,886 0.02%
1173 NUVEEN S P 500 DYNAMIC OVERW 558,518 7,852 0.02%
1174 On Assignment Inc 290,281 7,794 0.02%
1175 ALNYLAM PHARMACEUTICALS INC 99,576 7,777 0.02%
1176 GENERAL MLS INC 154,096 7,775 0.02%
1177 VOYA ASIA PAC DIVID EQUITY I 614,050 7,761 0.02%
1178 IPG PHOTONICS CORP 112,812 7,759 0.02%
1179 GUESS INC 352,750 7,750 0.02%
1180 Energy XXI LTD 682,220 7,743 0.02%
1181 BLACKROCK FLOATING RATE INCO 561,032 7,742 0.02%
1182 PRUDENTIAL GLB SHT DUR HG YLD COM 468,504 7,730 0.02%
1183 FORTUNE BRANDS HOME & SEC IN 188,013 7,729 0.02%
1184 BLACKROCK RES COMMODITIES 688,239 7,728 0.02%
1185 ISHARES TR 77,030 7,710 0.02%
1186 CYS INVTS INC COM 933,762 7,694 0.02%
1187 MEDTRONIC INC 124,124 7,691 0.02%
1188 CONCUR TECHNOLOGIE 60,160 7,630 0.02%
1189 KIMBERLY CLARK CORP 70,856 7,622 0.02%
1190 FIRST TR ABERDEEN GLBL OPP F 560,261 7,620 0.02%
1191 NUVEEN DIVERSIFIED DIVID I 650,716 7,575 0.02%
1192 INVESCO SR INCOME TR 1,594,005 7,571 0.02%
1193 BOSTON PROPERTIES 65,109 7,538 0.02%
1194 Chimera Investment Corp REIT 2,467,278 7,500 0.02%
1195 HANCOCK JOHN INVS TR 405,804 7,496 0.02%
1196 ACACIA RESH CORP 484,200 7,496 0.02%
1197 HNI Corp 207,682 7,474 0.02%
1198 CROWN CASTLE INTL CORP 92,404 7,441 0.02%
1199 VISA INC 34,793 7,424 0.02%
1200 DRESSER-RAND GROUP INC 90,240 7,424 0.02%
Page 24 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%