GUGGENHEIM CAPITAL LLC

Q3 2019 13F-HR/A Detailed Holdings

Location
Chicago, IL
Holdings as of
9/30/2019
Date filed
2/20/2020
Form type
13F-HR/A - RESTATEMENT
Num holdings
4,184
Total value ($000)
$12,513,318
Net value change ($000)
—
New positions
2081
Sold out positions
0
Turnover %
100.0%
Sector allocation + QoQ delta (equities-only)

Holdings broken out by other managers reported in the original SEC filing. View aggregated holdings

Prev filing: 5/16/2014 Next filing: 2/20/2020 SEC filing
You are on the SEC detailed breakdown page. Rows are shown as reported in the filing (including other manager, discretion, and voting authority fields), and are not merged like the standard holdings view. Switch to aggregated holdings.

Snapshot: Change Analysis

Compared to previous filing: —
Methodology: sector metrics are equities-only; instrument mix chart is ex-options; options exposure is shown separately. Why this matters.
Top Adds (Value $000, Stocks/ETFs)
MSFT 283,556 —
AAPL 264,704 —
AMZN 203,128 —
META 130,407 —
GOOGL 111,580 —
LQD 100,401 —
PEP 100,007 —
GOOGL 97,899 —
CSCO 90,936 —
SLV 86,670 —
Top Reduces (Value $000, Stocks/ETFs)
—
Instrument mix + QoQ Δ (ex-options)
How this table is calculated: SEC VALUE ($000) is used as reported. For derivatives (PUT/CALL/WARRANT/RIGHT), SEC value represents reported underlying exposure, not premium cash paid/received. Column % is bucket-based: non-options share is calculated inside non-option total, options share is calculated inside options total. Details.
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Instrument:
Issuer Name Ticker Sector Industry Class History Value ($000) % Shares Shares Δ Shares Δ% Value Δ ($000) Value Δ% Principal Option Type Discretion Other Manager Sole Shared None

Other Managers

Num Name File Number
1 GUGGENHEIM FUNDS DISTRIBUTORS, LLC 28-12550
2 SECURITY INVESTORS LLC 28-01689
3 Guggenheim Partners Investment Management, LLC 28-12837
4 Guggenheim Life & Annuity Co 28-18657
5 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 28-11097