GUGGENHEIM CAPITAL LLC

Q1 2020 13F Holdings Report, Stock Holdings

Signature - Title
Robert A. Saperstein - Authorized Signatory
Location
Chicago, IL
Holdings as of
March 31, 2020
Value $
$9.84B
Num holdings
1,837
Date filed
6/2/2020, 05:06 PM
Description
All US holdings of this investor are reported in this report. The Form 13F report requires disclosure of the manager that files the report, the name and class of the security, the CUSIP code, the number of shares as of the end of the calendar quarter for which the report is filed, and the total market value. The market value column should not be used as a substitute for Assets Under Management (AUM), as it does not include cash held in accounts.
Previous filing
Q4 2019 - Feb 20, 2020
Options Holdings
Showing stock holdings, see here for options holdings
Sym Weight Trade Impact Company Class Shares Change Activity Value Change $ Value $ * Price $ Shares Principal
Filing 2020 Q1 compared to 2019 Q4 - 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 5/15/2020

Robert A. Saperstein is a Senior Managing Director of Guggenheim Partners, LLC. Guggenheim Capital timely filed its quarterly Form 13F-HR for Q1 2020 on May 15, 2020, but inadvertently submitted it as form type 13F-NT. Based on instructions from the SEC Division of Investment Management, Guggenheim Capital re-submitted the Form 13F-HR for Q1 2020 under the correct form type (13F-HR), and the submission on May 15, 2020 under the incorrect form type 13F-NT has been removed from EDGAR.

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