Guggenheim Capital Llc

Q3 2014 13F Holdings Report, New Holdings, Stock Holdings

Signature - Title
Robert Saperstein - Managing Director, Senior Regulatory Counsel
Location
Chicago, IL
Holdings as of
September 30, 2014
Value $
$258M
Num holdings
1
Date filed
11/17/2014, 03:48 PM
Form type
13F-HR/A-1 - New Holdings
Description
Top holdings included DRII.
Previous filing
Q2 2014 - Aug 14, 2014
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
* 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 11/17/2014

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