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GUGGENHEIM ENHANCED EQUITY S
GUGGENHEIM ENHANCED EQUITY S. Institutional holdings reported to the SEC.

Institutional Holders (2015Q3)
Portfolio Summary: 25 Institutional holders with a total value of $12,078,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 155,777 2,321,000 19.22%
2 MORGAN STANLEY 154,316 2,300,000 19.04%
3 GUGGENHEIM CAPITAL LLC 152,323 2,270,000 18.79% PRN
4 Thomas J. Herzfeld Advisors, Inc. 70,973 1,057,000 8.75%
5 BAIRD FINANCIAL GROUP, INC. 65,177 971,000 8.04%
6 CSS LLC/IL 46,211 689,000 5.70%
7 Curi Capital, LLC 31,963 476,000 3.94%
8 CORNERSTONE ADVISORS INC 28,369 423,000 3.50%
9 WELLS FARGO & COMPANY/MN 17,235 257,000 2.13%
10 UBS Group AG 15,678 233,000 1.93%
11 First Allied Advisory Services, Inc. 12,500 187,000 1.55%
12 AMERICAN INTERNATIONAL GROUP, INC. 12,011 179,000 1.48%
13 LPL Financial LLC 10,846 167,000 1.38%
14 ROYAL BANK OF CANADA 10,865 162,000 1.34%
15 LADENBURG THALMANN FINANCIAL SERVICES INC. 8,000 119,000 0.99%
16 BRUDERMAN ASSET MANAGEMENT, LLC 5,100 76,000 0.63%
17 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 4,422 66,000 0.55%
18 CITIGROUP INC 2,898 43,000 0.36%
19 SIGNATUREFD, LLC 2,548 38,000 0.31%
20 WFG Advisors, LP 1,000 15,000 0.12%
21 GUGGENHEIM CAPITAL LLC 939 14,000 0.12%
22 DEUTSCHE BANK AG\ 500 7,000 0.06%
23 Windsor Capital Management, LLC 300 4,000 0.03%
24 CAPTRUST FINANCIAL ADVISORS 231 3,000 0.02%
25 Tower Research Capital LLC (TRC) 38 1,000 0.01%

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.