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 (2017Q1)
Original 13F HR (0001172661-17-001209) filed in 2017.05.15
#
Name
Shares
Value ($)
%
Options
Notes
5601 BIOLASE INC 12,682 17 0.00%
5602 VINCE HLDG CORP 10,965 17 0.00%
5603 COMPANHIA DE SANEAMENTO BASI 1,680 17 0.00%
5604 CARROLS RESTAURANT GROUP INC 1,162 16 0.00%
5605 ALLERGAN PLC 68 16 0.00%
5606 Grupo Aeroportuario Del Pacifi 160 16 0.00%
5607 NEUBERGER BERMAN HIGH YIELD 1,346 16 0.00%
5608 CENTERPOINT ENERGY INC 582 16 0.00%
5609 AG MTG INVT TR INC 936 16 0.00%
5610 ACHILLION PHARMACEUTICALS IN 3,902 16 0.00%
5611 AVENUE INCOME CR STRATEGIES 1,134 16 0.00%
5612 COACH INC 379 16 0.00%
5613 BERKSHIRE HATHAWAY INC DEL 97 16 0.00%
5614 FIRST TR ENHANCED EQTY INC F 1,100 16 0.00%
5615 VAALCO ENERGY INC 17,237 16 0.00%
5616 ARQULE INC 14,749 16 0.00%
5617 SENOMYX INC 15,099 15 0.00%
5618 KRATOS DEFENSE & SECURITY SOLU COM 2,013 15 0.00%
5619 GLADSTONE COMMERCIAL CORP 744 15 0.00%
5620 Rex Energy Corp 32,896 15 0.00%
5621 CEDAR REALTY TRUST INC COM NEW 2,902 15 0.00%
5622 WESTERN ASSET HIGH INCM FD I 2,108 15 0.00%
5623 TEEKAY CORPORATION 1,676 15 0.00%
5624 CATCHMARK TIMBER TR INC 1,293 15 0.00%
5625 PVH CORPORATION 146 15 0.00%
5626 YORK WTR CO 428 15 0.00%
5627 FRONTIER COMMUNICATIONS CORP 6,901 15 0.00%
5628 ENNIS INC COM 852 15 0.00%
5629 HALYARD HEALTH INC 399 15 0.00%
5630 CENTRAIS ELETRICAS BRASILEIRAS SPONSORED ADR 2,700 15 0.00%
5631 ARMADA HOFFLER PPTYS INC 1,109 15 0.00%
5632 BLACKROCK ENHANCED CAP INC 1,076 15 0.00%
5633 SILVER SPRING NETWORKS INC COM 1,261 14 0.00%
5634 CALAMOS CONV & HIGH INCOME F 1,206 14 0.00%
5635 CLEARBRIDGE AMERN ENERG MLP FD 1,400 14 0.00%
5636 MALIBU BOATS INCORPORATED COM CLASS A 600 14 0.00%
5637 IVY HIGH INC OPPORTUNITIES F 890 14 0.00%
5638 ALLIANZGI CONV & INCOME FD 2,064 14 0.00%
5639 INVESCO DYNAMIC CR OPPORTUNI 1,120 14 0.00%
5640 VARIAN MED SYS INC 151 14 0.00%
5641 SUNPOWER CORP 2,346 14 0.00%
5642 CORENERGY INFRASTRUCTURE TR 399 14 0.00%
5643 VERTEX PHARMACEUTICALS INC 132 14 0.00%
5644 PERKINELMER INC 241 14 0.00%
5645 BLACKSTONE GSO STRATEGIC CR FD COM SHS BEN IN 868 14 0.00%
5646 PIMCO INCOME OPPORTUNITY FD 551 14 0.00%
5647 HANCOCK JOHN PREMUIM DIV FD 907 14 0.00%
5648 HANCOCK JOHN INVS TR 798 14 0.00%
5649 PIMCO INCOME STRATEGY FD II 1,364 14 0.00%
5650 TG THERAPEUTICS INC 1,226 14 0.00%
Page 113 of 118