GUGGENHEIM CAPITAL LLC

Q4 2013 13F Holdings Report, Options Holdings

Signature - Title
Robert A. Saperstein - Authorized Signatory
Location
Chicago, IL
Options holdings as of
December 31, 2013
Options notional value $
$299M
Number of options holdings
65
Date filed
2/14/2014, 03:09 PM
Description
All US holdings of this investor are reported in this report.
Next filing
Q1 2014 - May 16, 2014
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.

Person Signing this Report on Behalf of Reporting Manager:

Name Title City, State Date
Robert Saperstein Managing Director, Senior Regulatory Counsel New York, New York 2/14/2014

Other Included Managers (6):

Num Name File Number
1 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 028-11097
2 GUGGENHEIM FUNDS DISTRIBUTORS, INC. 028-12550
3 SECURITY INVESTORS LLC 028-01689
4 Guggenheim Investment Advisors (Hong Kong) Ltd 028-14372
5 Guggenheim Partners Investment Management, LLC 028-12837
6 Guggenheim Global Trading, LLC 028-15268