13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2013-09-30, filed 2013-11-14, with 3,058 holding rows worth $27,852,187,000.
- Accession
- 0001172661-13-001498
- Filer
- CIK 1283072
- Filed
- 2013-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2013
A holdings report, 6,162 entries on the cover page, a total value of $27,852,187,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $27,852,187,000 with VALUE read as thousands by filing date, 13F file number 028-12836. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerGUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC028-11097
- included managerGUGGENHEIM FUNDS DISTRIBUTORS, INC.028-12550
- included managerSECURITY INVESTORS LLC028-01689
- included managerGuggenheim Investment Advisors (Hong Kong) Ltd028-14372
- included managerGuggenheim Partners Investment Management, LLC028-12837
- included managerGuggenheim Global Trading, LLC028-15268
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 12,422 | $26,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 230 | $25,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 21,493 | $25,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 15,080 | $25,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 35,936 | $25,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 14,192 | $24,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 16,925 | $23,000 | thousands by filing date | |
| CELSION CORPORATION | 15117N305 | COM NEW | 20,309 | $23,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 12,940 | $23,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 11,360 | $22,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 18,955 | $22,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 12,308 | $21,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 10,182 | $21,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 14,235 | $20,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 11,377 | $20,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 10,319 | $20,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 19,520 | $20,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 10,122 | $20,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 11,343 | $20,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 34,253 | $19,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 10,758 | $19,000 | thousands by filing date | |
| SAVIENT PHARMACEUTICALS INC | 80517Q100 | COM | 28,310 | $18,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 13,510 | $18,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 40,581 | $18,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 39,286 | $18,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 10,655 | $18,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 26,875 | $17,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 35,639 | $16,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 11,354 | $16,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 13,026 | $16,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 17,744 | $16,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 64,381 | $15,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 21,110 | $15,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 30,512 | $14,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 10,838 | $14,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 16,951 | $13,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 10,365 | $13,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 10,508 | $13,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 13,027 | $12,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 10,444 | $12,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 18,153 | $11,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 10,831 | $10,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 13,321 | $10,000 | thousands by filing date | |
| OVERLAND STORAGE INC | 690310206 | COM NEW | 10,315 | $10,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 463 | $9,000 | thousands by filing date | |
| Delcath Systems Inc | 24661p104 | COM | 27,330 | $9,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 23,698 | $9,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 19,952 | $9,000 | thousands by filing date | |
| PERMA-FIX ENVIRONMENTAL SVCS | 714157104 | COM | 12,229 | $9,000 | thousands by filing date | |
| AASTROM BIOSCIENCES INC | 00253U305 | COM NEW | 34,079 | $9,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 14,389 | $8,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P205 | COM NEW | 14,450 | $7,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 15,071 | $7,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 20,091 | $6,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 3,198 | $6,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 2 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| MECHEL PREF SPON ADR | 583840509 | COM | 374 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| SMITHFIELD FOODS INC | 832248108 | COM | 857,500 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-13-001498 | this filing | 2013-11-14 | acceptance time not in the bulk data set |