GUGGENHEIM CAPITAL LLC

Q2 2018 13F Holdings Report, Options Holdings

Signature - Title
Robert A. Saperstein - Authorized Signatory
Location
Chicago, IL
Options holdings as of
June 30, 2018
Notional value $
$976M
Number of holdings
2
Date filed
8/14/2018, 04:55 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q1 2018 - May 15, 2018
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2018 Q2 compared to 2018 Q1 by default.
* 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 A. Saperstein Senior Managing Director, Authorized Signatory New York, New York 8/14/2018

On April 9, 2018, Guggenheim Investments' exchange-traded funds business was acquired by Invesco Ltd., resulting in a decrease in the total "Shares or PRN Amount" and the total "Value" of securities reported on Guggenheim Capital's 2nd quarter 2018 13F filing. In addition, the "List of Other Included Managers" on the cover page of this filing has been adjusted to reflect consecutive numbering.

Other Included Managers (4):

Num Name Location File Number
1 GUGGENHEIM FUNDS DISTRIBUTORS, LLC Chicago, IL 028-12550
2 SECURITY INVESTORS LLC New York, NY 028-01689
3 Guggenheim Partners Investment Management, LLC Santa Monica, CA 028-12837
4 Guggenheim Life & Annuity Co 028-18657