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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 (2014Q3)
Portfolio Summary: 29 Institutional holders with a total value of $31,352,096.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF STOCKTON 171,947 8,787,000 28.03%
2 MORGAN STANLEY 111,500 5,697,000 18.17%
3 SUSQUEHANNA INTERNATIONAL GROUP, LLP 71,988 3,679,000 11.73%
4 Legacy Private Trust Co. 50,272 2,569,000 8.19%
5 WELLS FARGO & COMPANY/MN 41,669 2,129,000 6.79%
6 LPL Financial LLC 29,561 1,483,000 4.73%
7 BANK OF AMERICA CORP /DE/ 29,027 1,483,000 4.73%
8 UBS AG 15,803 808,000 2.58%
9 CIBC WORLD MARKET INC. 15,257 780,000 2.49%
10 Commonwealth Equity Services, Inc 11,428 584,000 1.86%
11 Cetera Advisors LLC 11,210 571,000 1.82%
12 First Allied Advisory Services, Inc. 10,082 515,000 1.64%
13 GOLDMAN SACHS GROUP INC 9,042 462,000 1.47%
14 MARINER INDEPENDENT ADVISOR NETWORK, LLC 8,078 412,786 1.32%
15 JANE STREET GROUP, LLC 8,017 410,000 1.31%
16 IMS Capital Management 4,319 221,000 0.70%
17 Acropolis Investment Management, LLC 3,430 175,000 0.56%
18 ROYAL BANK OF CANADA 2,724 140,000 0.45%
19 MSI Financial Services Inc 2,553 130,000 0.41%
20 AMERIPRISE FINANCIAL INC 1,223 62,000 0.20%
21 NEXT Financial Group, Inc 934 48,000 0.15%
22 JNBA Financial Advisors 700 36,000 0.11%
23 AMERICAN INTERNATIONAL GROUP, INC. 691 35,310 0.11%
24 WFG Advisors, LP 651 33,000 0.11%
25 Private Advisor Group, LLC 630 32,000 0.10%
26 LADENBURG THALMANN FINANCIAL SERVICES INC. 556 28,000 0.09%
27 Avior Wealth Management, LLC 552 28,000 0.09%
28 Creative Planning 250 13,000 0.04%
29 BANK OF MONTREAL /CAN/ 23 1,000 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.