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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 (2015Q3)
Portfolio Summary: 45 Institutional holders with a total value of $99,279,721.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF AMERICA CORP /DE/ 298,767 31,747,000 31.98%
2 AMERICAN INTERNATIONAL GROUP, INC. 82,801 8,799,000 8.86%
3 ADVANTAGE INVESTMENT MANAGEMENT, LLC 53,663 5,702,000 5.74%
4 Financial Architects, Inc 52,684 5,598,000 5.64%
5 WealthTrust Fairport, LLC 51,382 5,460,000 5.50%
6 GOLDMAN SACHS GROUP INC 50,348 5,350,000 5.39%
7 PRING TURNER CAPITAL GROUP INC 35,727 3,796,000 3.82%
8 Commonwealth Equity Services, Inc 28,920 3,073,000 3.10%
9 WELLS FARGO & COMPANY/MN 27,835 2,958,000 2.98%
10 MORGAN STANLEY 25,683 2,729,000 2.75%
11 LPL Financial LLC 23,580 2,588,000 2.61%
12 CAHILL FINANCIAL ADVISORS INC 22,608 2,403,000 2.42%
13 JANE STREET GROUP, LLC 19,126 2,032,000 2.05%
14 Cambridge Investment Research Advisors, Inc. 16,659 1,770,000 1.78%
15 SII INVESTMENTS INC/WI 16,582 1,768,000 1.78%
16 LADENBURG THALMANN FINANCIAL SERVICES INC. 15,251 1,621,000 1.63%
17 SCOTIA CAPITAL INC. 11,112 1,182,000 1.19%
18 UBS Group AG 11,029 1,172,000 1.18%
19 Bison Wealth, LLC 10,827 1,150,000 1.16%
20 B. Riley Wealth Advisors, Inc. 9,020 959,000 0.97%
21 BAROMETER CAPITAL MANAGEMENT INC. 9,000 956,000 0.96%
22 ROYAL BANK OF CANADA 8,325 885,000 0.89%
23 Friedenthal Financial 8,014 852,000 0.86%
24 HOWE & RUSLING INC 6,326 672,000 0.68%
25 AMERIPRISE FINANCIAL INC 5,423 576,000 0.58%
26 Advisory Services Network, LLC 4,633 492,000 0.50%
27 LifePlan Financial Group, Inc 4,296 456,000 0.46%
28 BAIRD FINANCIAL GROUP, INC. 4,080 434,000 0.44%
29 GW HENSSLER & ASSOCIATES LTD 3,696 393,000 0.40%
30 CITADEL ADVISORS LLC 3,351 356,000 0.36%
31 Cetera Advisors LLC 2,780 295,000 0.30%
32 BANK OF MONTREAL /CAN/ 1,928 205,000 0.21%
33 ENVESTNET ASSET MANAGEMENT INC 1,710 182,000 0.18%
34 WESTPORT RESOURCES MANAGEMENT INC 1,310 139,000 0.14%
35 Advisors Preferred, LLC 1,245 132,000 0.13%
36 CITIGROUP INC 1,075 114,000 0.11%
37 D'Orazio & Associates, Inc. 840 95,000 0.10%
38 INTEGRATED WEALTH MANAGEMENT 540 57,000 0.06%
39 PNC FINANCIAL SERVICES GROUP, INC. 360 38,000 0.04%
40 FARMERS & MERCHANTS INVESTMENTS INC 240 26,000 0.03%
41 Creative Planning 200 21,000 0.02%
42 Carnick & Kubik, LLC 195 20,721 0.02%
43 DUBUQUE BANK & TRUST CO 139 15,000 0.02%
44 MSI Financial Services Inc 100 11,000 0.01%
45 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.