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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 (2015Q3)
Portfolio Summary: 2,958 holdings with a total value of $32,496,957,000.
#
Name
Shares
Value ($)
%
Options
Notes
101 MATTSON TECHNOLOGY INC 20,843 48,000 0.00%
102 QUANTUM CORP COM DSSG 70,583 49,000 0.00%
103 XENOPORT INC 14,684 51,000 0.00%
104 SOLAZYME INC 19,804 51,000 0.00%
105 FUELCELL ENERGY INC COM 71,058 52,000 0.00%
106 BIOTIME INC 17,562 52,000 0.00%
107 TeleCommunication Systems Inc. 15,532 53,000 0.00%
108 UNITED CMNTY FINL CORP OHIO 10,783 54,000 0.00%
109 FIVE STAR SENIOR LIVING INC 17,276 54,000 0.00%
110 PARKER DRILLING COMPANY 21,021 55,000 0.00%
111 ATLANTIC PWR CORP 30,059 56,000 0.00%
112 GALENA BIOPHARMA INC 35,588 56,000 0.00%
113 DURECT CORP 28,717 56,000 0.00%
114 EXTREME NETWORKS INC 17,049 57,000 0.00%
115 BANCO SANTANDER BRASIL S A 18,189 57,000 0.00%
116 ORASURE TECHNOLOGIES INC 13,458 59,000 0.00%
117 CTI BIOPHARMA 40,362 59,000 0.00%
118 A H BELO CORP 11,942 59,000 0.00%
119 CATALYST PHARMACEUTICALS INC 19,479 59,000 0.00%
120 OCLARO INC 26,735 61,000 0.00%
121 GAMCO NATL RES GOLDINCM 10,823 63,000 0.00%
122 ZIX CORP 14,937 63,000 0.00%
123 SYNERGY PHARMACEUTICALS DEL 11,920 63,000 0.00%
124 AU OPTRONICS CORP 21,932 65,000 0.00%
125 LIBERTY GLOBAL PLC 1,928 65,000 0.00%
126 YINGLI GREEN ENERGY HLDG CO 162,267 66,000 0.00%
127 AXCELIS TECHNOLOGIES INC 24,827 66,000 0.00%
128 Casella Waste SYS 11,665 67,000 0.00%
129 NEOGENOMICS INC 11,940 68,000 0.00%
130 BONANZA CREEK ENERGY INC 17,512 71,000 0.00%
131 NORTHWEST BIOTHERAPEUTICS 11,606 73,000 0.00%
132 DESTINATION XL GROUP INC COM 12,667 73,000 0.00%
133 GLOBALSTAR INC 47,535 75,000 0.00%
134 AGENUS INC 16,636 76,000 0.00%
135 Senomyx Inc 17,292 77,000 0.00%
136 EVOLUTION PETE CORP 14,607 81,000 0.00%
137 ROCKWELL MED INC 10,613 82,000 0.00%
138 Cincinnati Bell Inc 26,409 82,000 0.00%
139 IDERA PHARMACEUTICALS INCORPORATED COM NEW 25,044 84,000 0.00%
140 CHEGG INC COM 11,646 84,000 0.00%
141 INDEPENDENCE RLTY TR INC COM 11,796 85,000 0.00%
142 PENGROWTH ENERGY CORP 99,675 86,000 0.00%
143 ADVENT CLAYMORE ENH GRW & IN 10,520 86,000 0.00%
144 BILL BARRETT CP 26,414 87,000 0.00%
145 BOINGO WIRELESS INC COM 10,565 87,000 0.00%
146 MEDALLION FINL CORP 11,849 90,000 0.00%
147 ENTRAVISION COMMUNICATIONS C 13,927 92,000 0.00%
148 CERUS CORP 20,662 94,000 0.00%
149 EXAR CORPORATION 15,771 94,000 0.00%
150 XINYUAN REAL ESTATE CO LTD SPONS ADR 33,220 94,000 0.00%
Page 3 of 60

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001172661-15-002098, filed 2015.11.16).

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.