GUGGENHEIM CAPITAL LLC

Q4 2019 13F Holdings Report, Restatement, Options Holdings

Signature - Title
Robert A. Saperstein - Authorized Signatory
Location
Chicago, IL
Options holdings as of
December 31, 2019
Notional value $
$56.9M
Number of holdings
2
Date filed
2/19/2020, 07:58 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q3 2019 - Feb 20, 2020
Next filing
Q1 2020 - Jun 2, 2020
Stock holdings
Showing options holdings, see here for stock holdings
Sym Company Class Option Share Change Activity * Price $ Shares Notional Value
Filing 2019 Q4 - Restatement compared to 2019 Q3 - Restatement 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 2/14/2020

Robert A. Saperstein is a Senior Managing Director of Guggenheim Partners, LLC.

Other Included Managers (5):

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
5 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC Chicago, IL 028-11097