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
5701 BLACKROCK ENHANCED EQT DIV T 1,500 13 0.00%
5702 BLACKROCK CR ALLOCATION INCO 978 13 0.00%
5703 BLACKROCK CORPOR HI YLD FD I 1,150 13 0.00%
5704 AVEO PHARMACEUTICALS INC 20,502 12 0.00%
5705 FEMALE HEALTH CO 11,982 12 0.00%
5706 UNITED CMNTY FINL CORP OHIO COM 1,549 12 0.00%
5707 GREIF INC 190 12 0.00%
5708 PDL BIOPHARMA INC 5,500 12 0.00%
5709 Ensync Inc Com 20,130 12 0.00%
5710 DOCUMENT SEC SYS INC 10,122 12 0.00%
5711 Alon USA Energy, Inc. 1,051 12 0.00%
5712 COHEN STEERS TOTAL RETURN 1,000 12 0.00%
5713 DUFF PHELPS UTLITY AND INF 750 12 0.00%
5714 NVE CORP 159 12 0.00%
5715 WESTERN ASSET GLOBAL CP DEFINE 674 12 0.00%
5716 FAIRPOINT COMMUNICATIONS INC COM NEW 706 11 0.00%
5717 PHARMATHENE INC COM 13,422 11 0.00%
5718 FIBRIA CELULOSE S A SP ADR REP COM 1,179 11 0.00%
5719 THESTREET INC 14,701 11 0.00%
5720 ADVENT CLAYMORE CV SECS & INCORPORATED 745 11 0.00%
5721 KRONOS WORLDWIDE INC 733 11 0.00%
5722 BioPharmX Corporation 22,718 11 0.00%
5723 GOLDEN MINERALS CO 17,674 11 0.00%
5724 CELLDEX THERAPEUTICS INC NEW 3,181 11 0.00%
5725 SURGERY PARTNERS INCORPORATED 620 11 0.00%
5726 GUGGENHEIM ENHANCED EQUITY I 1,283 11 0.00%
5727 EATON VANCE TAX MNGED BUY WRIT 700 11 0.00%
5728 WALGREENS BOOTS ALLIANCE INC 130 11 0.00%
5729 UQM TECHNOLOGIES INC COM 22,966 11 0.00%
5730 CVR ENERGY INC COM 527 10 0.00%
5731 SUNRUN INC 2,106 10 0.00%
5732 ENZO BIOCHEM INC 1,322 10 0.00%
5733 AMERICAN RAILCAR INDS INC 258 10 0.00%
5734 CRYSTAL ROCK HLDGS INC 11,469 10 0.00%
5735 VARONIS SYS INC 356 10 0.00%
5736 EMBRAER S A 471 10 0.00%
5737 INTERMOLECULAR INC 10,806 10 0.00%
5738 AKEBIA THERAPEUTICS INC COM 1,196 10 0.00%
5739 TELIGENT INC NEW 1,379 10 0.00%
5740 Onebeacon Insurance 664 10 0.00%
5741 ONE LIBERTY PPTYS INC COM 440 10 0.00%
5742 GERDAU S A 3,022 10 0.00%
5743 MEDALLION FINL CORP 4,413 9 0.00%
5744 SYNTHETIC BIOLOGICS INCORPORATED 14,248 9 0.00%
5745 SK TELECOM LTD 348 9 0.00%
5746 STRATA SKIN SCIENCES INC 15,265 9 0.00%
5747 GENERAL MOLY INC 18,108 9 0.00%
5748 COMPUTER SCIENCES CORP. 128 9 0.00%
5749 LUMEN TECHNOLOGIES INC 354 8 0.00%
5750 ZIX CORP COM 1,772 8 0.00%
Page 115 of 118