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GUGGENHEIM 1:1 EXC 4/9/18 739371839
GUGGENHEIM 1:1 EXC 4/9/18 739371839. Institutional holdings reported to the SEC.

Institutional Holders (2014Q1)
Portfolio Summary: 26 Institutional holders with a total value of $40,753,648.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 AMERICAN INTERNATIONAL GROUP, INC. 70,189 6,527,648 16.02%
2 BANK OF AMERICA CORP /DE/ 69,720 6,484,000 15.91%
3 GOLDMAN SACHS GROUP INC 51,768 4,814,000 11.81%
4 SUSQUEHANNA INTERNATIONAL GROUP, LLP 39,344 3,666,000 9.00%
5 ROYAL BANK OF CANADA 39,360 3,660,000 8.98%
6 CAHILL FINANCIAL ADVISORS INC 28,147 2,618,000 6.42%
7 Virtu KCG Holdings LLC 23,896 2,226,000 5.46%
8 Cambridge Investment Research Advisors, Inc. 22,325 2,076,000 5.09%
9 SII INVESTMENTS INC/WI 16,550 1,544,000 3.79%
10 Financial Architects, Inc 14,363 1,336,000 3.28%
11 MORGAN STANLEY 12,515 1,164,000 2.86%
12 LPL Financial LLC 11,318 1,053,000 2.58%
13 WELLS FARGO & COMPANY/MN 10,413 969,000 2.38%
14 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 7,125 663,000 1.63%
15 UBS AG 4,947 460,000 1.13%
16 CITIGROUP INC 3,303 308,000 0.76%
17 Commonwealth Equity Services, Inc 2,898 270,000 0.66%
18 B. Riley Wealth Advisors, Inc. 2,493 232,000 0.57%
19 AMERIPRISE FINANCIAL INC 2,069 192,000 0.47%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,924 179,000 0.44%
21 WESTPORT RESOURCES MANAGEMENT INC 1,372 128,000 0.31%
22 Partnervest Advisory Services LLC 860 80,000 0.20%
23 BlackRock Institutional Trust Company, N.A. 700 65,000 0.16%
24 MSI Financial Services Inc 275 26,000 0.06%
25 FARMERS & MERCHANTS INVESTMENTS INC 145 13,000 0.03%
26 Private Ocean, LLC 6 0 0.00%

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.