0001172661-14-001864.txt : 20141117 0001172661-14-001864.hdr.sgml : 20141117 20141117154829 ACCESSION NUMBER: 0001172661-14-001864 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141117 DATE AS OF CHANGE: 20141117 EFFECTIVENESS DATE: 20141117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GUGGENHEIM CAPITAL LLC CENTRAL INDEX KEY: 0001283072 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-12836 FILM NUMBER: 141227833 BUSINESS ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4900 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: (212) 401-0227 MAIL ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4900 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001283072 XXXXXXXX 09-30-2014 09-30-2014 true 1 NEW HOLDINGS false GUGGENHEIM CAPITAL LLC

227 West Monroe Suite 4900 Chicago IL 60606

13F HOLDINGS REPORT 028-12836 N Robert Saperstein 212-901-9402 /s/ Robert Saperstein New York NY 11-17-2014 6 1 258066 1 0001280782 028-11097 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 2 0001167303 028-12550 GUGGENHEIM FUNDS DISTRIBUTORS, LLC 3 0000791185 028-01689 SECURITY INVESTORS LLC 4 0001509907 028-14372 Guggenheim Investment Advisors (Hong Kong) Ltd 5 0001425852 028-12837 Guggenheim Partners Investment Management, LLC 6 0001569193 028-15268 Guggenheim Global Trading, LLC INFORMATION TABLE 2 infotable.xml DIAMOND RESORTS INTL INC COM 25272T104 258066 11338566 SH DFND 5 11338566 0 0