13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-14, with 3,177 holding rows worth $32,909,948,000.
- Accession
- 0001172661-14-000710
- Filer
- CIK 1283072
- Filed
- 2014-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 6,749 entries on the cover page, a total value of $32,909,948,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $32,909,948,000 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 |
|---|---|---|---|---|---|---|
| VITRAN CORP | 92850E107 | COMMON STOCK | 12,954 | $84,000 | thousands by filing date | |
| Lee Enterprises Inc | 523768109 | COM | 24,145 | $84,000 | thousands by filing date | |
| SUNESIS PHARMACEUTICALS INC | 867328601 | COM NEW | 17,624 | $84,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 32,702 | $84,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 13,455 | $83,000 | thousands by filing date | |
| NORTHRIM BANCORP INC | 666762109 | COMMON STOCK | 3,170 | $83,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 12,526 | $83,000 | thousands by filing date | |
| LUBYS CAFETERIAS INC COM | 549282101 | COM | 10,796 | $83,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 41,308 | $83,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 12,635 | $82,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 17,743 | $82,000 | thousands by filing date | |
| ISHARES TR | 464288182 | MSCI AC ASIA ETF | 1,310 | $79,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 11,857 | $79,000 | thousands by filing date | |
| NEURALSTEM INC | 64127R302 | COM | 27,090 | $79,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 1,994 | $78,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 12,441 | $78,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 11,374 | $77,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 21,398 | $76,000 | thousands by filing date | |
| MITEK SYS INC | 606710200 | COM NEW | 12,401 | $73,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 14,985 | $71,000 | thousands by filing date | |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 10,777 | $71,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 25,740 | $71,000 | thousands by filing date | |
| STAR SCIENTIFIC INC COM | 85517P101 | COM | 61,275 | $71,000 | thousands by filing date | |
| SENOMYX INC | 81724Q107 | COM | 13,766 | $70,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 30,067 | $69,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 21,765 | $67,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 18,215 | $66,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 37,491 | $65,000 | thousands by filing date | |
| SONUS NETWORKS INC | 835916107 | COM | 20,313 | $64,000 | thousands by filing date | |
| RESOURCE CAP CORP REIT | 76120W302 | COM | 10,873 | $64,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 17,300 | $63,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 22,254 | $63,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 49,011 | $63,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 78,019 | $63,000 | thousands by filing date | |
| QUICKLOGIC CORP | 74837P108 | COM | 15,864 | $63,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 18,224 | $62,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 32,980 | $61,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 18,098 | $61,000 | thousands by filing date | |
| LATTICE SEMICONDUCTOR CORP COM | 518415104 | Stock | 10,932 | $60,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 34,085 | $60,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 12,470 | $59,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 10,169 | $59,000 | thousands by filing date | |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 22,645 | $59,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 29,184 | $57,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 22,544 | $56,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 10,903 | $55,000 | thousands by filing date | |
| PETROQUEST ENERGY INC | 716748108 | COMMON STOCK | 12,711 | $55,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 28,931 | $53,000 | thousands by filing date | |
| CAL DIVE INTL INC DEL | 12802T101 | COM | 26,243 | $53,000 | thousands by filing date | |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 12,661 | $53,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 14,480 | $53,000 | thousands by filing date | |
| ENDEAVOUR INTERNATIONAL CORP | 29259G200 | COM | 10,050 | $53,000 | thousands by filing date | |
| AVANIR PHARMACEUTICALS INC | 05348P401 | CL A NEW | 15,457 | $52,000 | thousands by filing date | |
| EARTHLINK INC | 270321102 | COM | 10,135 | $51,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 11,481 | $51,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 13,513 | $50,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 34,732 | $49,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 15,458 | $49,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 22,858 | $49,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 15,512 | $49,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 20,264 | $47,000 | thousands by filing date | |
| ACORN ENERGY INC | 004848107 | COMMON STOCK | 11,636 | $47,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 15,622 | $47,000 | thousands by filing date | |
| UR-ENERGY INC | 91688R108 | COM | 33,145 | $46,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 17,498 | $46,000 | thousands by filing date | |
| UNILIFE CORP NEW | 90478E103 | COM | 10,177 | $45,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 22,887 | $45,000 | thousands by filing date | |
| HARRIS INTERACTIVE INC | 414549105 | COM | 22,256 | $45,000 | thousands by filing date | |
| Enzo Biochem Inc | 294100102 | Common Stock | 15,099 | $44,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 18,898 | $44,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 10,855 | $44,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 35,538 | $43,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 23,379 | $43,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 23,875 | $43,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 14,810 | $43,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 26,840 | $42,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 15,734 | $41,000 | thousands by filing date | |
| NW Biotherapeutics | 66737P600 | USD | 10,760 | $41,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 13,832 | $41,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 25,595 | $40,000 | thousands by filing date | |
| Vanguard Real Estate | 922908553 | SHS | 600 | $39,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 21,694 | $38,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 10,163 | $38,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 28,580 | $37,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 39,704 | $37,000 | thousands by filing date | |
| ACHILLION PHARMACEUTICALS IN | 00448Q201 | COM | 11,237 | $37,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 10,046 | $36,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 13,206 | $35,000 | thousands by filing date | |
| PERNIX THERAPEUTICS HOLDINGS | 71426V108 | COM | 13,799 | $35,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 11,528 | $33,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 29,616 | $33,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 12,171 | $33,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 14,458 | $33,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 15,323 | $32,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 17,886 | $32,000 | thousands by filing date | |
| CURIS INC | 231269101 | COM | 11,018 | $31,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 25,945 | $31,000 | thousands by filing date | |
| WET SEAL INC/THE-CLASS A | 961840105 | CL A | 11,325 | $31,000 | thousands by filing date | |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 10,030 | $31,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 15,134 | $30,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 14,528 | $30,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 15,082 | $29,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 12,349 | $29,000 | thousands by filing date | |
| UROPLASTY INC | 917277204 | COM NEW | 10,685 | $29,000 | thousands by filing date | |
| GTX INC | 40052B108 | COM | 17,269 | $29,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 23,955 | $28,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 13,849 | $28,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 230 | $27,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 10,821 | $27,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 10,233 | $26,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 12,067 | $25,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 13,758 | $25,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 25,452 | $25,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 20,330 | $24,000 | thousands by filing date | |
| FIRST SECURITY GROUP INC/TN | 336312202 | COM | 10,224 | $24,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 13,109 | $23,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 14,963 | $23,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 10,479 | $23,000 | thousands by filing date | |
| ANADIGICS INC | 032515108 | COM | 12,569 | $23,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 20,020 | $23,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 10,091 | $23,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 11,103 | $23,000 | thousands by filing date | |
| AMERICAN SUPERCONDUCTOR CORP | 030111108 | COM | 13,237 | $22,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 16,228 | $22,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 20,749 | $22,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 17,700 | $22,000 | thousands by filing date | |
| IDENTIVE GROUP INC | 45170X106 | COM | 38,197 | $22,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 11,328 | $22,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 10,875 | $22,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 11,210 | $21,000 | thousands by filing date | |
| MAJESCO ENTERTAINMENT CO | 560690208 | COM NEW | 36,405 | $21,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 41,755 | $21,000 | thousands by filing date | |
| RADNET INC | 750491102 | COM | 11,970 | $20,000 | thousands by filing date | |
| SWISHER HYGIENE INC | 870808102 | COMMON STOCK | 38,467 | $20,000 | thousands by filing date | |
| EDGIO INC | 53261M104 | COM | 10,228 | $20,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 17,241 | $20,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 11,520 | $19,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 15,084 | $19,000 | thousands by filing date | |
| CENTRAIS ELETRICAS BRASILEIR | 15234Q108 | SPON ADR PFD B | 4,018 | $18,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 13,086 | $18,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 37,890 | $18,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 68,441 | $18,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 19,352 | $18,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 10,761 | $17,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 18,865 | $17,000 | thousands by filing date | |
| ENTREMED INC | 29382F202 | COM | 10,010 | $17,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 12,093 | $16,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 43,137 | $16,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 12,076 | $16,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 10,180 | $16,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 11,519 | $15,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 13,369 | $15,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 28,572 | $14,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 18,020 | $14,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 14,363 | $14,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 22,436 | $14,000 | thousands by filing date | |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 120 | $13,000 | thousands by filing date | call |
| Delcath Systems Inc | 24661p104 | COM | 50,514 | $13,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 32,429 | $12,000 | thousands by filing date | |
| OVERLAND STORAGE INC | 690310206 | COM NEW | 10,966 | $11,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 11,019 | $11,000 | thousands by filing date | |
| AMERICAN INTL GROUP INC | 026874156 | *W EXP 01/19/202 | 463 | $9,000 | thousands by filing date | |
| FOSTER WHEELER AG | H27178104 | COM | 270 | $9,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 15,298 | $9,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 14,162 | $9,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 25,193 | $9,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 10,215 | $9,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 21,209 | $8,000 | thousands by filing date | |
| DARA BIOSCIENCES INC | 23703P205 | COM NEW | 15,358 | $8,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 16,022 | $8,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 13,847 | $7,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 12,534 | $7,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 21,360 | $5,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 2,927 | $5,000 | thousands by filing date | |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 782 | $1,000 | 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 | 326 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-14-000710 | this filing | 2014-02-14 | acceptance time not in the bulk data set |