GUGGENHEIM CAPITAL LLC

Q3 2019 13F Holdings Report, Restatement, Stock Holdings

Signature - Title
Robert A. Saperstein - Authorized Signatory
Location
Chicago, IL
Holdings as of
September 30, 2019
Value $
$12.5B
Num holdings
2,088
Date filed
2/19/2020, 08:03 PM
Description
All US holdings of this investor are reported in this report.
Previous filing
Q2 2019 - Aug 14, 2019
Next filing
Q4 2019 - Feb 20, 2020
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2019 Q3 - Restatement compared to 2019 Q2 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 11/14/2019

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

Other Included Managers (5):

Num Name File Number
1 GUGGENHEIM FUNDS DISTRIBUTORS, LLC 028-12550
2 SECURITY INVESTORS LLC 028-01689
3 Guggenheim Partners Investment Management, LLC 028-12837
4 Guggenheim Life & Annuity Co 028-18657
5 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 028-11097