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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 (2015Q4)
Portfolio Summary: 67 Institutional holders with a total value of $266,210,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 WILBANKS SMITH & THOMAS ASSET MANAGEMENT LLC 1,122,912 130,280,000 48.94%
2 BANK OF AMERICA CORP /DE/ 256,334 29,740,000 11.17%
3 AMERICAN INTERNATIONAL GROUP, INC. 80,862 9,382,000 3.52%
4 LPL Financial LLC 59,361 6,835,000 2.57%
5 Financial Architects, Inc 56,419 6,546,000 2.46%
6 ADVANTAGE INVESTMENT MANAGEMENT, LLC 55,649 6,456,000 2.43%
7 WealthTrust Fairport, LLC 53,190 6,171,000 2.32%
8 GOLDMAN SACHS GROUP INC 50,348 5,841,000 2.19%
9 MIGDAL INSURANCE & FINANCIAL HOLDINGS LTD. 50,000 5,801,000 2.18%
10 NIEMANN CAPITAL MANAGEMENT INC 37,877 4,394,000 1.65%
11 Commonwealth Equity Services, Inc 36,426 4,226,000 1.59%
12 PRING TURNER CAPITAL GROUP INC 33,557 3,893,000 1.46%
13 MORGAN STANLEY 29,499 3,423,000 1.29%
14 ROYAL BANK OF CANADA 28,373 3,291,000 1.24%
15 WELLS FARGO & COMPANY/MN 28,226 3,275,000 1.23%
16 Cambridge Investment Research Advisors, Inc. 27,946 3,242,000 1.22%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 22,617 2,623,000 0.99%
18 CAHILL FINANCIAL ADVISORS INC 20,849 2,419,000 0.91%
19 UBS Group AG 19,147 2,221,000 0.83%
20 BAROMETER CAPITAL MANAGEMENT INC. 18,000 2,088,000 0.78%
21 Argentus Capital Management, LLC 17,678 2,051,000 0.77%
22 COMERICA SECURITIES INC 14,613 1,695,000 0.64%
23 LINCOLN NATIONAL CORP 13,602 1,530,000 0.57%
24 Somerset Group LLC 12,575 1,459,000 0.55%
25 ENVESTNET ASSET MANAGEMENT INC 11,457 1,329,000 0.50%
26 SCOTIA CAPITAL INC. 11,112 1,295,000 0.49%
27 Bison Wealth, LLC 11,121 1,290,000 0.48%
28 B. Riley Wealth Advisors, Inc. 10,217 1,186,000 0.45%
29 AMERIPRISE FINANCIAL INC 9,800 1,137,000 0.43%
30 Friedenthal Financial 9,476 1,099,000 0.41%
31 WESPAC Advisors, LLC 9,443 1,096,000 0.41%
32 VOYA FINANCIAL ADVISORS, INC. 8,283 971,000 0.36%
33 UNITED CAPITAL FINANCIAL ADVISORS, LLC 6,937 805,000 0.30%
34 HOWE & RUSLING INC 6,386 741,000 0.28%
35 VSR Financial Services, Inc. 4,787 555,000 0.21%
36 Advisory Services Network, LLC 4,578 531,000 0.20%
37 Brown Advisory Securities, LLC 4,235 491,000 0.18%
38 Cetera Advisors LLC 4,155 483,000 0.18%
39 LifePlan Financial Group, Inc 3,442 399,000 0.15%
40 BAIRD FINANCIAL GROUP, INC. 3,376 392,000 0.15%
41 Noven Financial Group, Inc. 3,097 359,000 0.13%
42 OPPENHEIMER & CO INC 2,971 345,000 0.13%
43 Private Advisor Group, LLC 2,557 297,000 0.11%
44 HighTower Advisors, LLC 2,495 290,000 0.11%
45 GW HENSSLER & ASSOCIATES LTD 2,237 260,000 0.10%
46 Partnervest Advisory Services LLC 2,161 251,000 0.09%
47 WELL DONE, LLC 2,137 248,000 0.09%
48 BANK OF MONTREAL /CAN/ 2,128 247,000 0.09%
49 Affiance Financial, LLC 1,910 222,000 0.08%
50 Concert Wealth Management Inc. 1,763 203,000 0.08%
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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.