13F-HR filed by GUGGENHEIM CAPITAL LLC
GUGGENHEIM CAPITAL LLC filed this 13F-HR for the quarter ended 2014-06-30, filed 2014-08-14, with 3,197 holding rows worth $39,524,633,000.
- Accession
- 0001172661-14-001455
- Filer
- CIK 1283072
- Filed
- 2014-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2014
A holdings report, 6,659 entries on the cover page, a total value of $39,524,633,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $39,524,633,000 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, LLC028-12550
- 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 |
|---|---|---|---|---|---|---|
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 10,602 | $108,000 | thousands by filing date | |
| DATALINK CORP | 237934104 | COMMON STOCK | 10,553 | $106,000 | thousands by filing date | |
| AGENUS INC | 00847G705 | COM NEW | 32,926 | $106,000 | thousands by filing date | |
| PERSPECTIVE THERAPEUTICS INC | 46489V104 | COM | 33,617 | $105,000 | thousands by filing date | |
| JAPAN SMALLER CAPITALIZATION | 47109U104 | COM | 10,922 | $103,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 20,695 | $103,000 | thousands by filing date | |
| IDERA PHARMACEUTICALS INC | 45168K306 | COM | 35,461 | $103,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923108 | COM | 14,654 | $102,000 | thousands by filing date | |
| BIOTELEMETRY INC | 090672106 | COM | 14,057 | $101,000 | thousands by filing date | |
| ATLANTIC PWR CORP | 04878Q863 | COM NEW | 24,486 | $100,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 26,701 | $100,000 | thousands by filing date | |
| UNITED COMMUNITY FINANCIAL | 909839102 | COM | 24,317 | $100,000 | thousands by filing date | |
| SPEED COMM INC COM NEW | 84764T106 | Stock | 26,618 | $100,000 | thousands by filing date | |
| ISHARES TR | 464287275 | GBL COMM SVC ETF | 1,547 | $98,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 16,128 | $97,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 43,527 | $96,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 11,571 | $95,000 | thousands by filing date | |
| TOWER GROUP INTERNATIONAL LT | G8988C105 | COM | 52,999 | $95,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 13,777 | $95,000 | thousands by filing date | |
| NEOSTEM INC | 640650404 | Common equity shares | 14,350 | $93,000 | thousands by filing date | |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 26,523 | $92,000 | thousands by filing date | |
| CYTRX CORP | 232828509 | COM PAR $.001 | 21,771 | $91,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870U205 | COM | 12,230 | $91,000 | thousands by filing date | |
| HACKETT GROUP INC | 404609109 | COM | 15,009 | $90,000 | thousands by filing date | |
| SYNERGY PHARMACEUTICALS DEL | 871639308 | COM NEW | 22,182 | $90,000 | thousands by filing date | |
| CONSUMER PORTFOLIO SERVICES | 210502100 | COMMON STOCK | 11,349 | $87,000 | thousands by filing date | |
| PENDRELL CORP | 70686R104 | COM | 48,802 | $86,000 | thousands by filing date | |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 19,279 | $86,000 | thousands by filing date | |
| CYTORI THERAPEUTICS INC | 23283K105 | COM | 35,826 | $86,000 | thousands by filing date | |
| SFX ENTMT INC | 784178303 | COM | 10,398 | $85,000 | thousands by filing date | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 17,607 | $84,000 | thousands by filing date | |
| DURECT CORP | 266605104 | COM | 44,106 | $80,000 | thousands by filing date | |
| TELECOMMUNICATION SYS INC | 87929J103 | COM | 24,070 | $79,000 | thousands by filing date | |
| PARKERVISION INC | 701354102 | COM | 53,214 | $79,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 21,129 | $78,000 | thousands by filing date | |
| Bowater Inc | 09066L105 | COMMON STOCKS | 25,252 | $77,000 | thousands by filing date | |
| PARKER DRILLING CO | 701081101 | COMMON STOCK | 11,575 | $75,000 | thousands by filing date | |
| CLIFFS NATURAL RESOURCES | 18683K101 | COMMON STOCK | 5,000 | $75,000 | thousands by filing date | put |
| REVOLUTION LIGHTING TECHNOLO | 76155G107 | COM | 32,657 | $75,000 | thousands by filing date | |
| CINEDIGM CORP COM | 172406100 | COM | 29,389 | $74,000 | thousands by filing date | |
| RESEARCH FRONTIERS INC | 760911107 | COM | 11,964 | $73,000 | thousands by filing date | |
| KITE REALTY GROUP TRUST | 49803T102 | COMMON STOCK | 11,851 | $73,000 | thousands by filing date | |
| MACATAWA BANK CORP | 554225102 | COMMON STOCK | 14,173 | $72,000 | thousands by filing date | |
| Female Health Company | 314462102 | COM | 12,955 | $71,000 | thousands by filing date | |
| RADIO ONE INC | 75040P405 | CL D NON VTG | 14,145 | $70,000 | thousands by filing date | |
| DISCOVERY LABORATORIES INC N | 254668403 | COM NEW | 38,847 | $69,000 | thousands by filing date | |
| WARREN RESOURCES INC | 93564A100 | COM | 11,175 | $69,000 | thousands by filing date | |
| LIFEVANTAGE CORP | 53222K106 | COM | 46,939 | $68,000 | thousands by filing date | |
| TRC COS INC | 872625108 | COM | 10,705 | $67,000 | thousands by filing date | |
| INFORMATION SVCS GROUP INC | 45675Y104 | COM | 13,806 | $66,000 | thousands by filing date | |
| MECHEL OAO | 583840103 | SPONSORED ADR | 29,997 | $66,000 | thousands by filing date | |
| MATTSON TECHNOLOGY INC | 577223100 | COM | 30,285 | $66,000 | thousands by filing date | |
| RENTECH INC COM | 760112102 | COM | 25,332 | $66,000 | thousands by filing date | |
| FUELCELL ENERGY INC COM | 35952H106 | COM | 27,296 | $66,000 | thousands by filing date | |
| GSI TECHNOLOGY INC | 36241U106 | COMMON STOCK | 10,752 | $64,000 | thousands by filing date | |
| CAPSTONE TURBINE CORP COM | 14067D102 | COM | 41,589 | $63,000 | thousands by filing date | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 12,154 | $61,000 | thousands by filing date | |
| MARIN SOFTWARE INC | 56804T106 | COM | 5,137 | $61,000 | thousands by filing date | |
| UQM TECHNOLOGIES INC | 903213106 | COM | 26,894 | $61,000 | thousands by filing date | |
| IGI LABORATORIES INC | 449575109 | COM | 11,631 | $61,000 | thousands by filing date | |
| CHINA MING YANG WIND ADR | 16951C108 | EQUITY | 17,837 | $61,000 | thousands by filing date | |
| ODYSSEY MARINE EXPLORATION I | 676118102 | COM | 34,896 | $59,000 | thousands by filing date | |
| SUPPORT COM INC | 86858W101 | COM | 21,894 | $59,000 | thousands by filing date | |
| ACTIVE POWER INC | 00504W308 | COM NEW | 21,291 | $59,000 | thousands by filing date | |
| BPZ RESOURCES INC | 055639108 | COMMON STOCK | 18,672 | $58,000 | thousands by filing date | |
| VANTAGE DRILLING COMPANY | G93205113 | ORD SHS | 30,406 | $58,000 | thousands by filing date | |
| MOSYS INC COM | 619718109 | COM | 18,534 | $58,000 | thousands by filing date | |
| REXAHN PHARMACEUTICALS INC | 761640101 | COM | 66,123 | $58,000 | thousands by filing date | |
| HARVARD BIOSCIENCE INC | 416906105 | COM | 12,451 | $57,000 | thousands by filing date | |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 21,256 | $57,000 | thousands by filing date | |
| DIGIRAD CORP | 253827109 | COM | 15,900 | $57,000 | thousands by filing date | |
| AMICUS THERAPEUTICS INC | 03152W109 | COM | 16,717 | $56,000 | thousands by filing date | |
| FOREST OIL CORP | 346091705 | COM PAR $0.01 | 23,917 | $55,000 | thousands by filing date | |
| NEOGENOMICS INC | 64049M209 | COM NEW | 16,343 | $54,000 | thousands by filing date | |
| MAGELLAN PETROLEUM CORP | 559091301 | com | 24,409 | $54,000 | thousands by filing date | |
| ORION ENERGY SYSTEMS INC | 686275108 | COM | 13,383 | $54,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 33,673 | $53,000 | thousands by filing date | |
| PLUG PWR INC | 72919P202 | COM NEW | 11,338 | $53,000 | thousands by filing date | |
| TOWERSTREAM CORP | 892000100 | COM | 27,255 | $53,000 | thousands by filing date | |
| WESTELL TECHNOLOGIES INC | 957541105 | CL A | 21,732 | $53,000 | thousands by filing date | |
| VIOLIN MEMORY I | 92763A101 | Common Stock | 12,124 | $53,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 10,825 | $52,000 | thousands by filing date | |
| HARRIS & HARRIS GROUP INC | 413833104 | COM | 16,270 | $52,000 | thousands by filing date | |
| U S ENERGY CORP - WYOMING | 911805109 | COM | 11,958 | $52,000 | thousands by filing date | |
| HARVEST NATURAL RESOURCES IN | 41754V103 | COM | 10,180 | $51,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 33,628 | $50,000 | thousands by filing date | |
| RADISYS CORP | 750459109 | COM | 14,253 | $50,000 | thousands by filing date | |
| HUDSON GLOBAL INC | 443787106 | COM | 12,771 | $50,000 | thousands by filing date | |
| FX ENERGY INC | 302695101 | COM | 13,736 | $50,000 | thousands by filing date | |
| CYAN INC | 23247W104 | COM | 11,841 | $48,000 | thousands by filing date | |
| WIDEPOINT CORP COMMON | 967590100 | COM | 26,489 | $47,000 | thousands by filing date | |
| NORANDA ALUMINIUM HOLDING CORP | 65542W107 | COMMON STOCK | 13,086 | $46,000 | thousands by filing date | |
| ALPHATEC HOLDINGS INC | 02081G102 | COM | 28,003 | $46,000 | thousands by filing date | |
| CATALYST PHARMACEUTICALS INC | 14888U101 | COM | 17,744 | $45,000 | thousands by filing date | |
| BLUELINX HOLDINGS INC | 09624H109 | COM | 31,289 | $44,000 | thousands by filing date | |
| USA TECHNOLOGIES INC | 90328S500 | COM NO PAR | 21,043 | $44,000 | thousands by filing date | |
| MEETME INC | 585141104 | COM | 16,188 | $44,000 | thousands by filing date | |
| AMYRIS INC | 03236M101 | COM | 11,408 | $43,000 | thousands by filing date | |
| EMMIS COMMUNICATIONS CORP | 291525103 | CL A | 14,321 | $43,000 | thousands by filing date | |
| U S GLOBAL INVS INC | 902952100 | CL A | 12,041 | $42,000 | thousands by filing date | |
| AVEO PHARMACEUTICALS INC | 053588109 | COM | 22,975 | $42,000 | thousands by filing date | |
| NANOSPHERE INC | 63009F105 | COM | 26,544 | $42,000 | thousands by filing date | |
| STEMCELLS INC | 85857R204 | COM NEW | 20,826 | $42,000 | thousands by filing date | |
| INNODATA INC | 457642205 | COM NEW | 12,731 | $41,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 17,009 | $41,000 | thousands by filing date | |
| AXT INC | 00246W103 | COM | 18,507 | $40,000 | thousands by filing date | |
| ULTRALIFE CORP | 903899102 | COM | 10,125 | $39,000 | thousands by filing date | |
| PHARMATHENE INC | 71714G102 | COM | 27,507 | $39,000 | thousands by filing date | |
| ZAZA ENERGY CORP | 98919T100 | COM | 44,362 | $39,000 | thousands by filing date | |
| GERON CORP | 374163103 | COM | 11,702 | $38,000 | thousands by filing date | |
| BIOTA PHARMACEUTIALS INC | 090694100 | COM | 12,937 | $37,000 | thousands by filing date | |
| MIDWAY GOLD CORP CAD COM | 598153104 | COM | 41,243 | $37,000 | thousands by filing date | |
| JOES JEANS INC | 47777N101 | COM | 34,840 | $37,000 | thousands by filing date | |
| API TECHNOLOGIES CORP | 00187E203 | COM NEW | 13,548 | $37,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 11,820 | $37,000 | thousands by filing date | |
| IPASS INC | 46261V108 | COM | 30,114 | $36,000 | thousands by filing date | |
| BIOLASE INC | 090911108 | COMMON STOCK | 16,126 | $35,000 | thousands by filing date | |
| GENERAL MOLY INC COM | 370373102 | Common Stock | 30,396 | $35,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 16,663 | $35,000 | thousands by filing date | |
| APRICUS BIOSCIENCES INC | 03832V109 | COM | 15,539 | $35,000 | thousands by filing date | |
| DYNAVAX TECHNOLOGIES CORP | 268158102 | COM | 20,941 | $34,000 | thousands by filing date | |
| UROPLASTY INC | 917277204 | COM NEW | 12,571 | $34,000 | thousands by filing date | |
| ECHELON CORP | 27874N105 | COM | 13,797 | $34,000 | thousands by filing date | |
| DENDREON CORP | 24823Q107 | COM | 14,137 | $33,000 | thousands by filing date | |
| HANSEN MEDICAL INC | 411307101 | COM | 25,526 | $33,000 | thousands by filing date | |
| ZIPREALTY INC | 98974V107 | COM | 10,902 | $33,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 15,399 | $32,000 | thousands by filing date | |
| VICAL INC | 925602104 | COM | 26,567 | $32,000 | thousands by filing date | |
| ALASKA COMMUNICATIONS SYS GR | 01167P101 | COM | 18,024 | $32,000 | thousands by filing date | |
| VERMILLION INC | 92407M206 | COM NEW | 12,268 | $32,000 | thousands by filing date | |
| CEL SCI CORP | 150837508 | COM PAR $0.01 | 25,647 | $32,000 | thousands by filing date | |
| LEXICON PHARMACEUTICALS INC | 528872104 | COM | 19,043 | $31,000 | thousands by filing date | |
| ARQULE INC | 04269E107 | COM | 19,969 | $31,000 | thousands by filing date | |
| U S GEOTHERMAL INC | 90338S102 | COM | 50,746 | $30,000 | thousands by filing date | |
| EDUCATION MANAGEMENT CORP | 28140M103 | COM | 17,836 | $30,000 | thousands by filing date | |
| MICROVISION INC DEL | 594960304 | COM NEW | 14,226 | $29,000 | thousands by filing date | |
| CORONADO BIOSCIENCES INC | 21976U109 | COM | 16,599 | $29,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 11,552 | $29,000 | thousands by filing date | |
| ENTEROMEDICS INC | 29365M208 | COM NEW | 18,370 | $29,000 | thousands by filing date | |
| AVIAT NETWORKS INC | 05366Y102 | COMMON STOCK | 21,852 | $28,000 | thousands by filing date | |
| QUANTUM CORP | 747906204 | COM DSSG | 22,603 | $28,000 | thousands by filing date | |
| MAST THERAPEUTICS INC | 576314108 | COM | 44,580 | $28,000 | thousands by filing date | |
| ANTARES PHARMA INC | 036642106 | COM | 10,492 | $28,000 | thousands by filing date | |
| NOVATEL WIRELESS INC | 66987M604 | COM NEW | 14,529 | $28,000 | thousands by filing date | |
| DOCUMENT SECURITY SYSTEMS | 25614T101 | COM | 20,758 | $28,000 | thousands by filing date | |
| LOCAL CORP | 53954W104 | COM | 12,662 | $26,000 | thousands by filing date | |
| VENAXIS INC | 92262A107 | COM | 11,502 | $26,000 | thousands by filing date | |
| GENVEC INC NEW | 37246C307 | cs | 10,268 | $26,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 17,806 | $25,000 | thousands by filing date | |
| UNWIRED PLANET INC NEW | 91531F103 | COM | 11,267 | $25,000 | thousands by filing date | |
| HEMISPHERX BIOPHARMA INC | 42366C103 | COM | 80,521 | $25,000 | thousands by filing date | |
| IMMUNOCELLULAR THERAPEUTICS | 452536105 | COM | 22,764 | $25,000 | thousands by filing date | |
| SYNTHESIS ENERGY SYS INC | 871628103 | COM | 13,199 | $25,000 | thousands by filing date | |
| SYNTHETIC BIOLOGICS INC | 87164U102 | COM | 14,796 | $25,000 | thousands by filing date | |
| NAVIDEA BIOPHARMACEUTICALS I | 63937X103 | COM | 16,454 | $24,000 | thousands by filing date | |
| RARE ELEMENT RES LTD | 75381M102 | COM | 17,604 | $23,000 | thousands by filing date | |
| GOLDFIELD CORP | 381370105 | COM | 13,328 | $23,000 | thousands by filing date | |
| APPLOVIN CORP CLASS A | 023850100 | COM | 24,222 | $22,000 | thousands by filing date | |
| Castle Brands Inc | 148435100 | COM | 24,810 | $22,000 | thousands by filing date | |
| GENERAL STEEL HOLDINGS INC | 370853103 | COM | 22,195 | $21,000 | thousands by filing date | |
| MINES MGMT INC | 603432105 | COM | 18,000 | $20,000 | thousands by filing date | |
| FALCONSTOR SOFTWARE INC | 306137100 | COM | 11,532 | $20,000 | thousands by filing date | |
| VISTA GOLD CORP | 927926303 | COMMON STOCK | 38,145 | $19,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 16,289 | $19,000 | thousands by filing date | |
| CARDICA INC | 14141R101 | COM | 16,900 | $19,000 | thousands by filing date | |
| PREMIER EXIBITIONS INC | 74051E102 | COM | 23,918 | $19,000 | thousands by filing date | |
| HOOPER HOLMES INC | 439104100 | COM | 25,635 | $19,000 | thousands by filing date | |
| ZALICUS INC | 98887C204 | COM | 15,727 | $19,000 | thousands by filing date | |
| Gevo Inc | 374396109 | COMMON | 21,359 | $18,000 | thousands by filing date | |
| METALICO INC | 591176102 | COM | 14,193 | $18,000 | thousands by filing date | |
| WAVE SYSTEMS CORP-CL A | 943526400 | COMMON | 12,064 | $17,000 | thousands by filing date | |
| OPEXA THERAPEUTICS INC | 68372T202 | CMN | 10,208 | $17,000 | thousands by filing date | |
| ENZON PHARMACEUTICALS INC | 293904108 | COM | 15,794 | $16,000 | thousands by filing date | |
| CESCA THERAPEUTICS INC | 157131103 | COM | 11,355 | $16,000 | thousands by filing date | |
| FULL HSE RESORTS INC | 359678109 | COM | 10,419 | $15,000 | thousands by filing date | |
| STR HOLDINGS INC | 78478V100 | COMMON STOCK | 11,269 | $15,000 | thousands by filing date | |
| NOVABAY PHARMACEUTICALS INC | 66987P102 | COM | 17,743 | $14,000 | thousands by filing date | |
| SMITH MICRO SOFTWARE INC | 832154108 | COM | 13,832 | $14,000 | thousands by filing date | |
| PALATIN TECHNOLOGIES INC | 696077403 | COM PAR $ .01 | 12,642 | $13,000 | thousands by filing date | |
| SILVER BULL RES INC | 827458100 | COM | 41,506 | $13,000 | thousands by filing date | |
| VISION-SCIENCES INC | 927912105 | COM | 11,176 | $13,000 | thousands by filing date | |
| METABOLIX INC | 591018809 | COM | 13,549 | $12,000 | thousands by filing date | |
| HOUSTON AMERN ENERGY CORP | 44183U100 | COM | 25,131 | $12,000 | thousands by filing date | |
| BSD MEDICAL CORP | 055662100 | COM | 11,636 | $12,000 | thousands by filing date | |
| IKANOS COMMUNICATIONS INC | 45173E105 | COM | 27,263 | $12,000 | thousands by filing date | |
| CLEVELAND BIOLABS INC | 185860103 | COM | 23,549 | $11,000 | thousands by filing date | |
| TENGASCO INC | 88033R205 | COM NEW | 24,950 | $11,000 | thousands by filing date | |
| CERES INC | 156773103 | COM | 17,252 | $11,000 | thousands by filing date | |
| RESPONSE GENETICS INC | 76123U105 | COM | 11,616 | $11,000 | thousands by filing date | |
| GABELLI HLTHCARE & WELLNESS TRUST | 36246K137 | RTS | 27,720 | $11,000 | thousands by filing date | |
| CORINTHIAN COLLEGES INC | 218868107 | COMMON STOCK | 30,739 | $9,000 | thousands by filing date | |
| AUTHENTIDATE HLDG CORP | 052666203 | COM | 13,060 | $9,000 | thousands by filing date | |
| LUCAS ENERGY INC | 549333201 | COM NEW | 12,964 | $8,000 | thousands by filing date | |
| MELA SCIENCES INC | 55277R100 | COM | 26,391 | $8,000 | thousands by filing date | |
| OI S.A. | 670851104 | SPONSORED ADR | 1,781 | $2,000 | 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. |
| CUBIST PHARMACEUTICALS INC | 229678123 | RIGHT 99/99/9999 ADDED | 3,694 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001172661-14-001455 | this filing | 2014-08-14 | acceptance time not in the bulk data set |