Dark
Light
System
Security
GUGGENHEIM 1:1 EXC 4/9/18 739371839
GUGGENHEIM 1:1 EXC 4/9/18 739371839. Institutional holdings reported to the SEC.

Institutional Holders (2016Q2)
Portfolio Summary: 77 Institutional holders with a total value of $283,651,127.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Parallax Volatility Advisers, L.P. 1 0 0.00%
2 WOLVERINE TRADING LP /BD 9 1,127 0.00%
3 US BANCORP \DE\ 100 13,000 0.00%
4 NEXT Financial Group, Inc 119 15,000 0.01%
5 FARMERS & MERCHANTS INVESTMENTS INC 240 31,000 0.01%
6 HAREL INSURANCE INVESTMENTS & FINANCIAL SERVICES LTD. 310 40,000 0.01%
7 PNC FINANCIAL SERVICES GROUP, INC. 360 46,000 0.02%
8 Creative Planning 515 66,000 0.02%
9 TCI Wealth Advisors, Inc. 600 77,000 0.03%
10 Advisors Preferred, LLC 776 100,000 0.04%
11 WESTPORT RESOURCES MANAGEMENT INC 904 117,000 0.04%
12 MANUFACTURERS LIFE INSURANCE COMPANY, THE 1,302 168,000 0.06%
13 CITIGROUP INC 1,393 180,000 0.06%
14 IFP ADVISORS, INC 1,472 190,000 0.07%
15 Tower Research Capital LLC (TRC) 1,706 220,000 0.08%
16 SCOTIA CAPITAL INC. 1,732 224,000 0.08%
17 D'Orazio & Associates, Inc. 1,734 224,000 0.08%
18 MIGDAL INSURANCE & FINANCIAL HOLDINGS LTD. 1,750 226,000 0.08%
19 Cetera Advisor Networks LLC 1,962 252,000 0.09%
20 Argentus Capital Management, LLC 2,120 273,000 0.10%
21 LifePlan Financial Group, Inc 2,392 309,000 0.11%
22 First Heartland Consultants, Inc. 2,474 319,000 0.11%
23 WELL DONE, LLC 3,020 390,000 0.14%
24 OPPENHEIMER & CO INC 3,178 410,000 0.14%
25 BANK OF MONTREAL /CAN/ 3,298 425,000 0.15%
26 Partnervest Advisory Services LLC 3,323 429,000 0.15%
27 Private Advisor Group, LLC 3,571 450,000 0.16%
28 STIFEL FINANCIAL CORP 3,681 476,000 0.17%
29 Affiance Financial, LLC 3,858 498,000 0.18%
30 Eagle Capital Management, LLC 3,937 508,000 0.18%
31 Cetera Advisors LLC 4,345 559,000 0.20%
32 Advisory Services Network, LLC 4,796 619,000 0.22%
33 Raymond James Financial Services Advisors, Inc. 5,079 655,000 0.23%
34 WESPAC Advisors, LLC 8,053 1,039,000 0.37%
35 BAROMETER CAPITAL MANAGEMENT INC. 8,500 1,097,000 0.39%
36 Friedenthal Financial 10,987 1,417,000 0.50%
37 Bison Wealth, LLC 11,463 1,479,000 0.52%
38 B. Riley Wealth Advisors, Inc. 12,022 1,551,000 0.55%
39 Somerset Group LLC 12,055 1,555,000 0.55%
40 CAVALIER INVESTMENTS, LLC 12,054 1,555,000 0.55%
41 VOYA FINANCIAL ADVISORS, INC. 14,176 1,775,000 0.63%
42 HOWE & RUSLING INC 14,254 1,839,000 0.65%
43 Concert Wealth Management Inc. 15,627 2,019,000 0.71%
44 ROYAL BANK OF CANADA 15,951 2,057,000 0.73%
45 NATIONAL PLANNING CORP 16,404 2,087,000 0.74%
46 SII INVESTMENTS INC/WI 16,516 2,129,000 0.75%
47 Commonwealth Equity Services, Inc 18,256 2,355,000 0.83%
48 EDMOND DE ROTHSCHILD HOLDING S.A. 19,575 2,525,000 0.89%
49 EDMOND DE ROTHSCHILD (SUISSE) S.A. 19,575 2,525,000 0.89%
50 MSI Financial Services Inc 21,135 2,726,000 0.96%
Page 1 of 2

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.