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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 (2014Q4)
Portfolio Summary: 36 Institutional holders with a total value of $81,309,447.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 176,929 18,486,000 22.74%
2 WELLS FARGO & COMPANY/MN 119,735 12,510,000 15.39%
3 AMERICAN INTERNATIONAL GROUP, INC. 68,247 7,130,447 8.77%
4 GOLDMAN SACHS GROUP INC 50,421 5,268,000 6.48%
5 LPL Financial LLC 40,599 4,242,000 5.22%
6 Financial Architects, Inc 37,396 3,907,000 4.81%
7 PRING TURNER CAPITAL GROUP INC 36,915 3,857,000 4.74%
8 SUSQUEHANNA INTERNATIONAL GROUP, LLP 36,395 3,803,000 4.68%
9 BANK OF AMERICA CORP /DE/ 28,371 2,964,000 3.65%
10 Cambridge Investment Research Advisors, Inc. 25,447 2,659,000 3.27%
11 CAHILL FINANCIAL ADVISORS INC 25,173 2,631,000 3.24%
12 ROYAL BANK OF CANADA 22,080 2,307,000 2.84%
13 MORGAN STANLEY 18,654 1,949,000 2.40%
14 ProVise Management Group, LLC 18,643 1,948,000 2.40%
15 SII INVESTMENTS INC/WI 16,467 1,725,000 2.12%
16 JANE STREET GROUP, LLC 9,263 968,000 1.19%
17 HOWE & RUSLING INC 6,732 703,000 0.86%
18 UBS Group AG 6,077 635,000 0.78%
19 B. Riley Wealth Advisors, Inc. 5,320 556,000 0.68%
20 Commonwealth Equity Services, Inc 3,496 365,000 0.45%
21 First Allied Advisory Services, Inc. 3,081 321,000 0.39%
22 VSR Financial Services, Inc. 2,690 281,000 0.35%
23 AMERIPRISE FINANCIAL INC 2,614 273,000 0.34%
24 ENVESTNET ASSET MANAGEMENT INC 2,408 252,000 0.31%
25 Prospera Financial Services Inc 2,280 238,000 0.29%
26 Cetera Advisors LLC 2,041 213,000 0.26%
27 OLD NATIONAL BANCORP /IN/ 2,035 213,000 0.26%
28 GW HENSSLER & ASSOCIATES LTD 2,040 213,000 0.26%
29 LADENBURG THALMANN FINANCIAL SERVICES INC. 1,735 181,000 0.22%
30 BANK OF MONTREAL /CAN/ 1,600 167,000 0.21%
31 WESTPORT RESOURCES MANAGEMENT INC 1,472 154,000 0.19%
32 MSI Financial Services Inc 800 84,000 0.10%
33 CITIGROUP INC 600 63,000 0.08%
34 FARMERS & MERCHANTS INVESTMENTS INC 240 25,000 0.03%
35 Karp Capital Management Corp 175 18,000 0.02%
36 Parallax Volatility Advisers, L.P. 1 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.