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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 (2016Q3)
Portfolio Summary: 2,887 holdings with a total value of $32,145,749,000.
#
Name
Shares
Value ($)
%
Options
Notes
51 Gastar Exploration, Ltd. 22,432 19,000 0.00%
52 LUNA INNOVATIONS 13,151 19,000 0.00%
53 ENSYNC INC 20,010 19,000 0.00%
54 U.S. GEOTHERMAL INC 25,561 19,000 0.00%
55 GUGGENHEIM ENHANCED EQUITY S 1,174 19,000 0.00%
56 GTX INC 24,318 19,000 0.00%
57 INTERSECTIONS INC COM 10,446 19,000 0.00%
58 WIDEPOINT CORP 45,063 19,000 0.00%
59 CELSION CORPORATION COM PAR 15,286 19,000 0.00%
60 XOMA CORP DEL 43,276 20,000 0.00%
61 U S GLOBAL INVS INC 10,731 20,000 0.00%
62 PRIMERO MNG CORP 11,957 20,000 0.00%
63 CAS MED SYS INC 12,517 21,000 0.00%
64 ALASKA COMMUNICATIONS SYS GR 11,998 21,000 0.00%
65 ZION OIL & GAS INC 15,071 21,000 0.00%
66 MEI PHARMA INC 12,407 22,000 0.00%
67 BIOLASE INC 12,606 22,000 0.00%
68 VIVUS INC 20,556 23,000 0.00%
69 UTSTARCOM HOLDINGS CORP SHS NEW 10,918 23,000 0.00%
70 PROTALIX BIOTHERAPEUTICS INC 40,398 23,000 0.00%
71 CATALYST PHARMACEUTICALS INC 21,335 23,000 0.00%
72 BANCO BRADESCO S A 2,594 23,000 0.00%
73 HARRIS & HARRIS GROUP INC 17,271 24,000 0.00%
74 HUGOTON RTY TR TEX 10,124 24,000 0.00%
75 CTI BIOPHARMA 63,017 24,000 0.00%
76 NAVIOS MARITIME PARTNERS L P 18,158 25,000 0.00%
77 GIGPEAK INC 10,258 25,000 0.00%
78 SYNTHESIS ENERGY SYS INC 20,610 25,000 0.00%
79 PACIFIC COAST OIL TR 13,896 25,000 0.00%
80 ArQule Inc 14,661 26,000 0.00%
81 PEREGRINE PHARMACEUTICALS IN 60,640 26,000 0.00%
82 LIBERTY GLOBAL PLC 942 26,000 0.00%
83 LRAD CORP 14,095 26,000 0.00%
84 INFINITY PHARMACEUTICALS INC 16,655 26,000 0.00%
85 TREMOR VIDEO INC 15,322 26,000 0.00%
86 WILLBROS GROUP INC DEL COM 13,775 26,000 0.00%
87 WHEELER REAL ESTATE INVT TR 15,631 27,000 0.00%
88 FIVE STAR SENIOR LIVING INC 14,357 27,000 0.00%
89 Ipass Inc 17,569 28,000 0.00%
90 SYNTHETIC BIOLOGICS INCORPORATED 16,729 28,000 0.00%
91 ALIMERA SCIENCES INC 18,553 28,000 0.00%
92 URANIUM ENERGY CORP 29,069 29,000 0.00%
93 Innodata Inc 11,613 29,000 0.00%
94 EMCORE CORP 5,203 30,000 0.00%
95 AEGERION PHARMACEUTICALS INC 10,124 30,000 0.00%
96 NEW YORK & CO 13,693 31,000 0.00%
97 APTEVO THERAPEUTICS INC 12,352 32,000 0.00%
98 CASTLE BRANDS INC COM 39,008 34,000 0.00%
99 DURECT CORP 26,064 36,000 0.00%
100 AVIRAGEN THERAPEUTICS INC 19,355 37,000 0.00%
Page 2 of 58

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001172661-16-004345, filed 2016.11.15).

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.