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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 (2016Q1)
Portfolio Summary: 28 Institutional holders with a total value of $21,309,000.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 BANK OF STOCKTON 123,598 6,296,000 29.55%
2 MORGAN STANLEY 68,884 3,509,000 16.47%
3 SUSQUEHANNA INTERNATIONAL GROUP, LLP 49,314 2,513,000 11.79%
4 GOLDMAN SACHS GROUP INC 31,089 1,584,000 7.43%
5 ProVise Management Group, LLC 19,989 1,018,000 4.78%
6 Cambridge Investment Research Advisors, Inc. 19,069 971,000 4.56%
7 SFMG, LLC 15,061 767,000 3.60%
8 CITADEL ADVISORS LLC 14,594 744,000 3.49%
9 LPL Financial LLC 12,388 617,000 2.90%
10 ROYAL BANK OF CANADA 11,442 583,000 2.74%
11 UBS Group AG 11,293 575,000 2.70%
12 JANE STREET GROUP, LLC 9,527 485,000 2.28%
13 BANK OF AMERICA CORP /DE/ 7,468 380,000 1.78%
14 Commonwealth Equity Services, Inc 6,976 355,000 1.67%
15 CIBC WORLD MARKET INC. 6,120 312,000 1.46%
16 WELLS FARGO & COMPANY/MN 4,970 254,000 1.19%
17 LADENBURG THALMANN FINANCIAL SERVICES INC. 2,194 112,000 0.53%
18 MSI Financial Services Inc 1,673 85,000 0.40%
19 Stanford Investment Group, Inc. 905 46,000 0.22%
20 JNBA Financial Advisors 700 36,000 0.17%
21 Avior Wealth Management, LLC 552 28,000 0.13%
22 AllSquare Wealth Management LLC 350 18,000 0.08%
23 Creative Planning 250 13,000 0.06%
24 INR ADVISORY SERVICES LLC 69 3,000 0.01%
25 Burt Wealth Advisors 55 3,000 0.01%
26 OGOREK ANTHONY JOSEPH /NY/ /ADV 40 2,000 0.01%
27 Parallax Volatility Advisers, L.P. 1 0 0.00%
28 CITIGROUP INC 9 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.