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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 (2016Q4)
Portfolio Summary: 2,902 holdings with a total value of $34,959,504,000.
#
Name
Shares
Value ($)
%
Options
Notes
2851 CAS MED SYS INC 12,517 20,000 0.00%
2852 ALASKA COMMUNICATIONS SYS GR 11,998 20,000 0.00%
2853 LUNA INNOVATIONS 13,151 19,000 0.00%
2854 PEREGRINE PHARMACEUTICALS IN 60,640 19,000 0.00%
2855 BIOLASE INC 12,606 18,000 0.00%
2856 ArQule Inc 14,661 18,000 0.00%
2857 LANTRONIX INC 10,496 18,000 0.00%
2858 VANGUARD NAT RES LLC COM UNIT 27,159 18,000 0.00%
2859 MEI PHARMA INC 12,407 18,000 0.00%
2860 PROTALIX BIOTHERAPEUTICS INC 40,398 18,000 0.00%
2861 COBALT INTL ENERGY INC 14,236 17,000 0.00%
2862 Support.Com Inc 18,263 16,000 0.00%
2863 PACIFIC COAST OIL TR 13,896 15,000 0.00%
2864 MICROVISION INC DEL 12,232 15,000 0.00%
2865 WESTELL TECHNOLOGIES INC 23,623 15,000 0.00%
2866 U S GLOBAL INVS INC 10,731 15,000 0.00%
2867 INSTITUTIONAL FINL MKTS INC 12,183 14,000 0.00%
2868 VAALCO ENERGY INC 13,634 14,000 0.00%
2869 NEURALSTEM INC COM 51,217 14,000 0.00%
2870 ENSYNC INC 20,010 14,000 0.00%
2871 NETLIST INC 14,095 14,000 0.00%
2872 IVY HIGH INC OPPORTUNITIES F 890 13,000 0.00% PRN
2873 SYNTHETIC BIOLOGICS INCORPORATED 16,803 13,000 0.00%
2874 GREIF INC 199 13,000 0.00%
2875 GUGGENHEIM ENHANCED EQUITY S 749 12,000 0.00%
2876 VISTA GOLD CORP 12,840 12,000 0.00%
2877 Urstadt Biddle PPTYS 626 12,000 0.00%
2878 EMERSON RADIO CORP NEW 3/94 10,918 11,000 0.00%
2879 GALECTIN THERAPEUTICS INC COM 11,639 11,000 0.00%
2880 FEMALE HEALTH CO 11,911 11,000 0.00%
2881 ORAGENICS INC COM NEW 17,866 10,000 0.00%
2882 REXAHN PHARMACEUTICALS INC 68,500 10,000 0.00%
2883 THRESHOLD PHARMACEUTICAL INC 22,631 10,000 0.00%
2884 UQM TECHNOLOGIES INC COM 22,829 10,000 0.00%
2885 GOLDEN MINERALS CO 17,569 10,000 0.00%
2886 AVEO PHARMACEUTICALS INC 18,454 10,000 0.00%
2887 THESTREET INC 11,712 10,000 0.00%
2888 CRYSTAL ROCK HLDGS INC 11,401 9,000 0.00%
2889 CARTESIAN INC 10,025 9,000 0.00%
2890 STRATA SKIN SCIENCES INC 15,174 7,000 0.00%
2891 DOCUMENT SEC SYS INC 10,062 7,000 0.00%
2892 TRANSGENOMIC INC COM NEW 24,814 7,000 0.00%
2893 MANNKIND CORP. 11,311 7,000 0.00%
2894 CYTRX CORP 15,792 6,000 0.00%
2895 UNITED STATES ANTIMONY CORP 23,425 6,000 0.00%
2896 OncoGenex Pharmaceuticals Inc 11,935 6,000 0.00%
2897 MOSYS INC 22,157 5,000 0.00%
2898 CELSION CORPORATION COM PAR 15,286 5,000 0.00%
2899 MAST THERAPEUTICS INC COM 46,353 4,000 0.00%
2900 GEVO INC 13,896 2,000 0.00%
Page 58 of 59

Portfolio data is normalized using SEC Form 13F filings, including the Original 13F-HR (0001172661-17-000783, filed 2017.02.14).

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.