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GUGGENHEIM S&P MIDCAP 400 PURE VALUE ETF
GUGGENHEIM S&P MIDCAP 400 PURE VALUE ETF. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 26 Institutional holders with a total value of $27,776,720.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF STOCKTON 161,593 8,674,000 31.23%
2 MORGAN STANLEY 79,767 4,282,000 15.42%
3 Legacy Private Trust Co. 54,918 2,948,000 10.61%
4 LPL Financial LLC 33,262 1,786,000 6.43%
5 BANK OF AMERICA CORP /DE/ 29,887 1,604,000 5.77%
6 CIBC WORLD MARKET INC. 22,725 1,220,000 4.39%
7 WELLS FARGO & COMPANY/MN 22,355 1,200,000 4.32%
8 UBS AG 20,084 1,078,000 3.88%
9 Cetera Advisors LLC 15,150 813,000 2.93%
10 JANE STREET GROUP, LLC 14,620 785,000 2.83%
11 SUSQUEHANNA INTERNATIONAL GROUP, LLP 11,793 634,000 2.28%
12 Commonwealth Equity Services, Inc 11,371 610,000 2.20%
13 GOLDMAN SACHS GROUP INC 9,039 485,000 1.75%
14 First Allied Advisory Services, Inc. 8,164 439,000 1.58%
15 MARINER INDEPENDENT ADVISOR NETWORK, LLC 8,078 433,627 1.56%
16 IMS Capital Management 4,531 243,000 0.87%
17 ROYAL BANK OF CANADA 3,493 187,000 0.67%
18 MSI Financial Services Inc 2,532 136,000 0.49%
19 JNBA Financial Advisors 700 38,000 0.14%
20 AMERICAN INTERNATIONAL GROUP, INC. 691 37,093 0.13%
21 WFG Advisors, LP 650 35,000 0.13%
22 LADENBURG THALMANN FINANCIAL SERVICES INC. 556 30,000 0.11%
23 Avior Wealth Management, LLC 552 30,000 0.11%
24 Creative Planning 478 26,000 0.09%
25 AMERIPRISE FINANCIAL INC 357 19,000 0.07%
26 Ground Swell Capital, LLC 82 4,000 0.01%

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.