GUGGENHEIM CAPITAL LLC

Q1 2014 13F Holdings Report, Options Holdings

Signature - Title
Robert Saperstein - Managing Director, Senior Regulatory Counsel
Location
Chicago, IL
Options holdings as of
31 Mar 2014
Notional value
$183,211,000
Number of holdings
58
Filing time
15 May 2014, 18:48:46 UTC
Description
All US holdings of this investor are reported in this report.
Previous filing
Q4 2013 - 14 Feb 2014
Next filing
Q2 2014 - 14 Aug 2014
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2014 Q1 compared to 2013 Q4 by default. Changes are calculated vs the previous SEC filing.
* 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 15 May 2014

Other Included Managers (6):

Num Name Location File Number
1 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC Chicago, IL 028-11097
2 GUGGENHEIM FUNDS DISTRIBUTORS, LLC Chicago, IL 028-12550
3 SECURITY INVESTORS LLC New York, NY 028-01689
4 Guggenheim Investment Advisors (Hong Kong) Ltd Central, Hong Kong 028-14372
5 Guggenheim Partners Investment Management, LLC Santa Monica, CA 028-12837
6 Guggenheim Global Trading, LLC Purchase, NY 028-15268