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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
2851 THRESHOLD PHARMACEUTICAL INC 22,631 15,000 0.00%
2852 LANTRONIX INC 10,496 15,000 0.00%
2853 NORTHWEST BIOTHERAPEUTICS 27,644 15,000 0.00%
2854 REXAHN PHARMACEUTICALS INC 68,500 14,000 0.00%
2855 DGSE COMPANIES INC 16,561 14,000 0.00%
2856 VISTA GOLD CORP 12,840 14,000 0.00%
2857 UQM TECHNOLOGIES INC COM 22,829 14,000 0.00%
2858 THESTREET INC 11,712 13,000 0.00%
2859 GALECTIN THERAPEUTICS INC COM 11,639 13,000 0.00%
2860 VAALCO ENERGY INC 13,634 13,000 0.00%
2861 GOLDEN MINERALS CO 17,569 13,000 0.00%
2862 INSTITUTIONAL FINL MKTS INC 12,183 13,000 0.00%
2863 IVY HIGH INC OPPORTUNITIES F 890 13,000 0.00% PRN
2864 WESTELL TECHNOLOGIES INC 23,623 12,000 0.00%
2865 GREIF INC 195 12,000 0.00%
2866 EMERSON RADIO CORP NEW 3/94 10,918 11,000 0.00%
2867 UNITED STATES ANTIMONY CORP 23,425 11,000 0.00%
2868 CRYSTAL ROCK HLDGS INC 11,401 10,000 0.00%
2869 Apricus Biosciences, Inc. 29,480 10,000 0.00%
2870 ImmunoCellular Therapeutics Lt 79,366 9,000 0.00%
2871 CYTRX CORP 15,428 9,000 0.00%
2872 ORAGENICS INC COM NEW 17,866 8,000 0.00%
2873 STRATA SKIN SCIENCES INC 15,174 8,000 0.00%
2874 SKYLINE MED INC 45,460 8,000 0.00%
2875 GEVO INC 13,896 7,000 0.00%
2876 DOCUMENT SEC SYS INC 10,061 7,000 0.00%
2877 TRANSGENOMIC INC COM NEW 24,814 7,000 0.00%
2878 MANNKIND CORP. 11,003 7,000 0.00%
2879 OncoGenex Pharmaceuticals Inc 11,935 6,000 0.00%
2880 CARTESIAN INC 10,025 6,000 0.00%
2881 MAST THERAPEUTICS INC COM 46,353 5,000 0.00%
2882 ENTEROMEDICS INC 39,306 5,000 0.00%
2883 INTERPACE DIAGNOSTICS GROUP 31,365 5,000 0.00%
2884 AG&E HOLDINGS INC 19,899 5,000 0.00%
2885 TETRALOGIC PHARMA CO 21,405 3,000 0.00%
2886 Cosi Inc. 17,675 1,000 0.00%
2887 ISHARES TR 2 0 0.00%
Page 58 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.