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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 (2014Q3)
Portfolio Summary: 26 Institutional holders with a total value of $50,083,756.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 124,970 12,182,000 24.32%
2 AMERICAN INTERNATIONAL GROUP, INC. 77,203 7,525,756 15.03%
3 WELLS FARGO & COMPANY/MN 65,179 6,353,000 12.68%
4 GOLDMAN SACHS GROUP INC 50,200 4,894,000 9.77%
5 SG Americas Securities, LLC 30,700 2,993,000 5.98%
6 CAHILL FINANCIAL ADVISORS INC 25,004 2,438,000 4.87%
7 Cambridge Investment Research Advisors, Inc. 23,608 2,301,000 4.59%
8 Financial Architects, Inc 22,144 2,159,000 4.31%
9 MORGAN STANLEY 19,224 1,874,000 3.74%
10 SII INVESTMENTS INC/WI 16,155 1,568,000 3.13%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 12,111 1,181,000 2.36%
12 LPL Financial LLC 12,190 1,177,000 2.35%
13 HOWE & RUSLING INC 6,337 618,000 1.23%
14 UBS AG 5,508 537,000 1.07%
15 B. Riley Wealth Advisors, Inc. 4,190 408,000 0.81%
16 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 4,175 407,000 0.81%
17 Commonwealth Equity Services, Inc 3,036 296,000 0.59%
18 VSR Financial Services, Inc. 2,940 287,000 0.57%
19 AMERIPRISE FINANCIAL INC 2,169 211,000 0.42%
20 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,732 169,000 0.34%
21 BANK OF MONTREAL /CAN/ 1,600 156,000 0.31%
22 WESTPORT RESOURCES MANAGEMENT INC 1,472 143,000 0.29%
23 Private Advisor Group, LLC 684 67,000 0.13%
24 CITIGROUP INC 600 58,000 0.12%
25 MSI Financial Services Inc 575 56,000 0.11%
26 NORTHWESTERN MUTUAL WEALTH MANAGEMENT CO 260 25,000 0.05%

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.