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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 (2015Q2)
Portfolio Summary: 36 Institutional holders with a total value of $82,958,688.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 228,617 24,185,000 29.15%
2 AMERICAN INTERNATIONAL GROUP, INC. 85,024 8,994,688 10.84%
3 ADVANTAGE INVESTMENT MANAGEMENT, LLC 60,934 6,446,000 7.77%
4 LPL Financial LLC 58,611 6,231,000 7.51%
5 GOLDMAN SACHS GROUP INC 50,221 5,313,000 6.40%
6 Financial Architects, Inc 47,440 5,019,000 6.05%
7 PRING TURNER CAPITAL GROUP INC 34,672 3,668,000 4.42%
8 Cambridge Investment Research Advisors, Inc. 32,660 3,455,000 4.16%
9 Commonwealth Equity Services, Inc 24,723 2,615,000 3.15%
10 CAHILL FINANCIAL ADVISORS INC 22,948 2,428,000 2.93%
11 SII INVESTMENTS INC/WI 16,579 1,750,000 2.11%
12 MORGAN STANLEY 16,407 1,736,000 2.09%
13 SUSQUEHANNA INTERNATIONAL GROUP, LLP 15,326 1,621,000 1.95%
14 COMERICA SECURITIES INC 14,431 1,527,000 1.84%
15 UBS Group AG 9,917 1,049,000 1.26%
16 WELLS FARGO & COMPANY/MN 9,320 985,000 1.19%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 9,035 956,000 1.15%
18 B. Riley Wealth Advisors, Inc. 7,720 817,000 0.98%
19 Friedenthal Financial 7,725 817,000 0.98%
20 BANK OF AMERICA CORP /DE/ 7,450 788,000 0.95%
21 HOWE & RUSLING INC 6,300 667,000 0.80%
22 CITADEL ADVISORS LLC 5,162 546,000 0.66%
23 Cetera Advisors LLC 3,133 331,000 0.40%
24 Private Advisor Group, LLC 2,776 294,000 0.35%
25 BANK OF MONTREAL /CAN/ 1,928 204,000 0.25%
26 WESTPORT RESOURCES MANAGEMENT INC 1,310 139,000 0.17%
27 FIFTH THIRD BANCORP 1,072 113,000 0.14%
28 CITIGROUP INC 583 62,000 0.07%
29 INTEGRATED WEALTH MANAGEMENT 540 57,000 0.07%
30 PNC FINANCIAL SERVICES GROUP, INC. 360 38,000 0.05%
31 GUPTA WEALTH MANAGEMENT LLC 273 29,000 0.03%
32 FARMERS & MERCHANTS INVESTMENTS INC 240 25,000 0.03%
33 ROYAL BANK OF CANADA 230 24,000 0.03%
34 DUBUQUE BANK & TRUST CO 139 15,000 0.02%
35 MSI Financial Services Inc 128 14,000 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.