Dark
Light
System
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 (2015Q4)
Portfolio Summary: 2,989 holdings with a total value of $34,367,184,000.
#
Name
Shares
Value ($)
%
Options
Notes
2901 EVINE LIVE INC 20,673 37,000 0.00%
2902 VIVUS INC 34,955 36,000 0.00%
2903 PLUG POWER INC 15,423 33,000 0.00%
2904 GSE SYS INC 13,800 33,000 0.00%
2905 Arena Pharmaceuticals, Inc 15,965 30,000 0.00%
2906 SYNTHETIC BIOLOGICS INCORPORATED 12,685 29,000 0.00%
2907 CHRISTOPHER & BANKS CORP 17,010 28,000 0.00%
2908 NEW YORK & CO 12,086 28,000 0.00%
2909 ArQule Inc 13,131 28,000 0.00%
2910 WHEELER REAL ESTATE INVT TR 14,000 27,000 0.00%
2911 MANNKIND CORP. 17,812 26,000 0.00%
2912 GOLDEN OCEAN GRP LTD 22,012 24,000 0.00%
2913 PENN WEST PETE LTD NEW 29,121 24,000 0.00%
2914 PHARMATHENE INC COM 11,950 23,000 0.00%
2915 SEQUENOM INC 13,127 22,000 0.00%
2916 HOVNANIAN ENTERPRISES INC 12,421 22,000 0.00%
2917 Key Energy Services, Inc. 45,197 22,000 0.00%
2918 DIGITAL TURBINE INC 15,462 21,000 0.00%
2919 Violin Memory, Inc. 22,237 20,000 0.00%
2920 Navidea Biopharm Inc 14,901 20,000 0.00%
2921 CAS MED SYS INC 11,300 20,000 0.00%
2922 VAALCO ENERGY INC 12,300 20,000 0.00%
2923 GUGGENHEIM ENHANCED EQUITY S 1,174 19,000 0.00%
2924 ACCURIDE CORP NEW 11,469 19,000 0.00%
2925 ANTARES PHARMA INC 15,635 19,000 0.00%
2926 ALASKA COMMUNICATIONS SYS GR 10,746 19,000 0.00%
2927 Novatel Wireless Inc 11,215 19,000 0.00%
2928 XOMA CORP DEL 13,561 18,000 0.00%
2929 LIMELIGHT NETWORKS INC COM 12,656 18,000 0.00%
2930 BIOSCRIP INC 10,412 18,000 0.00%
2931 LEE ENTERPRISES INC 10,476 18,000 0.00%
2932 AVEO PHARMACEUTICALS INC 13,239 17,000 0.00%
2933 ACTIVE POWER INC COM NEW 11,500 15,000 0.00%
2934 RESOLUTE ENERGY CORP 17,729 15,000 0.00%
2935 UNILIFE CORP 27,753 14,000 0.00%
2936 ION GEOPHYSICAL CORP 27,542 14,000 0.00%
2937 U.S. GEOTHERMAL INC 22,982 14,000 0.00%
2938 SYNTHESIS ENERGY SYS INC 13,125 13,000 0.00%
2939 MOSYS INC 12,111 13,000 0.00%
2940 PALATIN TECHNOLOGIES INC COM 19,400 13,000 0.00%
2941 INSTITUTIONAL FINL MKTS INC 11,000 13,000 0.00%
2942 REXAHN PHARMACEUTICALS INC 31,748 12,000 0.00%
2943 BANCO BRADESCO S A 2,359 12,000 0.00%
2944 LEAPFROG ENTERPRISES INC 15,600 11,000 0.00%
2945 AMERICAN INTL GROUP INC 463 11,000 0.00%
2946 LUNA INNOVATIONS 10,000 11,000 0.00%
2947 Sunesis Pharmaceuticals I 11,298 10,000 0.00%
2948 OXIGENE INC 12,400 9,000 0.00%
2949 AG&E HOLDINGS INC 18,000 9,000 0.00%
2950 ROYAL BK SCOTLAND GROUP PLC 869 8,000 0.00%
Page 59 of 60

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001172661-16-002897, filed 2016.02.16).

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.