-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, FVI9IGPa5ZaoBmbnbKu+j3ywB1Hu2FtPKl9FfMV+D+YT5oMy2NW69JagzDMrDsUi UtodmbRVOM0bLgROv7Pw+g== 0001283072-09-000009.txt : 20091113 0001283072-09-000009.hdr.sgml : 20091113 20091112185732 ACCESSION NUMBER: 0001283072-09-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GUGGENHEIM CAPITAL LLC CENTRAL INDEX KEY: 0001283072 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12836 FILM NUMBER: 091178630 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: 135 EAST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 gugg3q09.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Guggenheim Capital, LLC Address: 227 West Monroe Suite 4900 Chicago, IL 60606 13F File Number: 28-12836 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Kenneth Nick Title: Managing Director and Senior Counsel Phone: 212-901-9402 Signature, Place, and Date of Signing: /s/ Kenneth Nick New York, NY/USA November 12, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form13F Information Table Entry Total: 189 Form13F Information Table Value Total: $383,729 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1 28-12838 Liberty Hampshire, LLC FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 963 13050 SH DEFINED 13050 0 0 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 224 6000 SH DEFINED 6000 0 0 ACE LTD SHS H0023R105 1149 21500 SH DEFINED 21500 0 0 AFLAC INC COM 001055102 1053 24634 SH DEFINED 24634 0 0 ALCOA INC COM 013817101 303 23071 SH DEFINED 23071 0 0 AMAZON COM INC COM 023135106 234 2504 SH DEFINED 2504 0 0 AMDOCS LTD ORD G02602103 1536 57145 SH DEFINED 57145 0 0 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 444 10123 SH DEFINED 10123 0 0 AMERICAN EXPRESS CO COM 025816109 931 27449 SH DEFINED 27449 0 0 AMERIPRISE FINL INC COM 03076C106 766 21902 SH DEFINED 21902 0 0 AMGEN INC COM 031162100 566 9395 SH DEFINED 9395 0 0 ANALOG DEVICES INC COM 032654105 418 15150 SH DEFINED 15150 0 0 AON CORP COM 037389103 806 19816 SH DEFINED 19816 0 0 APACHE CORP COM 037411105 237 2577 SH DEFINED 2577 0 0 APPLE INC COM 037833100 1256 6772 SH DEFINED 6772 0 0 AT&T INC COM 00206R102 2030 75169 SH DEFINED 75169 0 0 AVON PRODS INC COM 054303102 815 24000 SH DEFINED 24000 0 0 BAKER HUGHES INC COM 057224107 899 21077 SH DEFINED 21077 0 0 BANK OF AMERICA CORPORATION COM 060505104 2237 132202 SH DEFINED 132202 0 0 BANK OF NEW YORK MELLON CORP COM 064058100 1468 50651 SH DEFINED 50651 0 0 BARCLAYS BANK PLC DJUBS CMDT ETN36 06738C778 3382 87700 SH DEFINED 87700 0 0 BARD C R INC COM 067383109 682 8675 SH DEFINED 8675 0 0 BARRETT BILL CORP NOTE 5.000% 3/1 06846NAA2 1887 2000000 SH DEFINED 2000000 0 0 BB&T CORP COM 054937107 924 33921 SH DEFINED 33921 0 0 BCE INC COM NEW 05534B760 744 30150 SH DEFINED 30150 0 0 BECTON DICKINSON & CO COM 075887109 3416 48985 SH DEFINED 48985 0 0 BLACKBAUD INC COM 09227Q100 582 25078 SH DEFINED 25078 0 0 BLOCK H & R INC COM 093671105 418 22750 SH DEFINED 22750 O 0 BP PLC SPONSORED SPONSORED ADR 055622104 362 6800 SH DEFINED 6800 0 0 BRIDGELINE SOFTWARE INC COM 10807Q205 24 20000 SH DEFINED 20000 0 0 BURLINGTON NORTHERN SANTA FE C COM 12189T104 1778 22279 SH DEFINED 22279 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 846 35602 SH DEFINED 35602 0 0 CAPITAL ONE FINL CORP COM 14040H105 722 20211 SH DEFINED 20211 0 0 CARNIVAL CORP DBCV 0.500% 4/2 143658AV4 25925 39132000 SH DEFINED 39132000 0 0 CATERPILLAR INC DEL COM 149123101 1218 23723 SH DEFINED 23723 0 0 CHEVRON CORP NEW COM 166764100 2952 41909 SH DEFINED 41909 0 0 CISCO SYS INC COM 17275R102 2039 86635 SH DEFINED 86635 0 0 CITIGROUP INC COM 172967101 526 108613 SH DEFINED 108613 0 0 CITRIX SYS INC COM 177376100 853 21734 SH DEFINED 21734 0 0 COMCAST CORP NEW CL A 20030N101 1918 113583 SH DEFINED 113583 0 0 COVIDIEN PLC SHS G2554F105 1785 41250 SH DEFINED 41250 0 0 CSX CORP COM 126408103 1361 32508 SH DEFINED 32508 0 0 CUMMINGS INC COM 231021106 495 11049 SH DEFINED 11049 0 0 CURRENCYSHARES MEXICAN PESO MEXICAN PES SH 23130H107 520 7000 SH DEFINED 7000 0 0 CURRENCYSHS BRIT POUND STER BRIT POUND STE 23129S106 1798 11270 SH DEFINED 11270 0 0 CVS CAREMARK CORPORATION COM 126650100 1571 43941 SH DEFINED 43941 0 0 DANA HOLDING CORP COM 235825205 1085 159301 SH DEFINED 159301 0 0 DAVITA INC COM 23918K108 300 5300 SH DEFINED 5300 0 0 DEERE & CO COM 244199105 813 18940 SH DEFINED 18940 0 0 DELL INC COM 24702R101 707 46350 SH DEFINED 46350 0 0 DELTA AIR LINES INC DEL COM NEW 247361702 843 94071 SH DEFINED 94071 0 0 DIAMONDS TR UNIT SER 1 252787106 6738 69400 SH DEFINED 69400 0 0 DU PONT E I DE NEMOURS & CO COM 263534109 1694 52691 SH DEFINED 52691 0 0 E TRADE FINANCIAL CORP NOTE 8/3 269246AZ7 624 345000 SH DEFINED 345000 0 0 EBAY INC COM 278642103 676 28655 SH DEFINED 28655 0 0 ECOLAB INC COM 278865100 231 5000 SH DEFINED 5000 0 0 ENTERGY CORP NEW COM 29364G103 813 10182 SH DEFINED 10182 0 0 EOG RES INC COM 26875P101 1692 20262 SH DEFINED 20262 0 0 EXXON MOBIL CORP COM 30231G102 4914 71616 SH DEFINED 71616 0 0 FEDERAL MOGUL CORP COM 313549404 898 74405 SH DEFINED 74405 0 0 FIFTH THIRD BANCORP COM 316773100 350 34573 SH DEFINED 34573 0 0 FORTUNE BRANDS INC COM 349631101 672 15633 SH DEFINED 15633 0 0 FRANKLIN RES INC COM 354613101 2656 26398 SH DEFINED 26398 0 0 GENERAL ELECTRIC CO COM 369604103 1601 97534 SH DEFINED 97534 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 165 12000 SH DEFINED 12000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 811 4399 SH DEFINED 4399 0 0 GREENHILL & CO INC COM 395259104 790 8817 SH DEFINED 8817 0 0 HALLIBURTON CO COM 406216101 2324 85701 SH DEFINED 85701 0 0 HESS CORP COM 42809H107 1351 25275 SH DEFINED 25275 0 0 HEWLETT PACKARD CO COM 428236103 3442 72904 SH DEFINED 72904 0 0 HOME DEPOT INC COM 437076102 1321 49597 SH DEFINED 49597 0 0 HONEYWELL INTL INC COM 438516106 3519 94720 SH DEFINED 94720 0 0 ILLINOIS TOOL WKS INC COM 452308109 969 22687 SH DEFINED 22687 0 0 INTEL CORP COM 458140100 1356 69287 SH DEFINED 69287 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 1209 10108 SH DEFINED 10108 0 0 INTERNATIONAL GAME TECHNOLOG DBCV 2.600%12/1 459902AP7 10979 10981000 SH DEFINED 10981000 0 0 INTL PAPER CO COM 460146103 714 32119 SH DEFINED 32119 0 0 ION GEOPHYSICAL CORP COM 462044108 71 20140 SH DEFINED 20140 0 0 ISHARES INC MSCI BRAZIL 464286400 2429 35915 SH DEFINED 35915 0 0 ISHARES INC MSCI UTD KINGD 464286699 5894 380000 SH DEFINED 380000 0 0 ISHARES INC MSCI JAPAN 464286848 4217 424235 SH DEFINED 424235 0 0 ISHARES TR US PFD STK IDX 464288687 1631 44972 SH DEFINED 44972 0 0 ISHARES TR MSCI VAL IDX 464288877 504 9853 SH DEFINED 9853 0 0 ISHARES TR INDEX BARCLYS TIPS BD 464287176 5730 55700 SH DEFINED 55700 0 0 ISHARES TR INDEX BARCLYS US AGG B 464287226 9365 89258 SH DEFINED 89258 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 690 17737 SH DEFINED 17737 0 0 ISHARES TR INDEX IBOXX INV CPBD 464287242 4630 43400 SH DEFINED 43400 0 0 ISHARES TR INDEX RUSSELL1000VAL 464287598 30732 553832 SH DEFINED 553832 0 0 ISHARES TR INDEX RUSSELL1000GRW 464287614 6576 142000 SH DEFINED 142000 0 0 ISHARES TR INDEX S&P EURO PLUS 464287861 721 18710 SH DEFINED 18710 0 0 JOHNSON & JOHNSON COM 478160104 3356 55104 SH DEFINED 55104 0 0 JOHNSON CTLS INC COM 478366107 1044 40842 SH DEFINED 40842 0 0 JONES LANG LASALLE INC COM 48020Q107 676 14278 SH DEFINED 14278 0 0 JPMORGAN CHASE & CO COM 46625H100 3889 88744 SH DEFINED 88744 0 0 KEYCORP NEW COM 493267108 360 55333 SH DEFINED 55333 0 0 KRAFT FOODS INC CL A 50075N104 497 18911 SH DEFINED 18911 0 0 LIONS GATE ENTMNT CORP NOTE 2.938%10/1 535919AF1 3565 3918000 SH DEFINED 3918000 0 0 LOCKHEED MARTIN CORP COM 539830109 1093 14000 SH DEFINED 14000 0 0 LOWES COS INC COM 548661107 1381 65974 SH DEFINED 65974 0 0 MARATHON OIL CORP COM 565849106 959 30075 SH DEFINED 30075 0 0 MARSH & MCLENNAN COS INC COM 571748102 932 37698 SH DEFINED 37698 0 0 MERCK & CO INC COM 589331107 1052 33251 SH DEFINED 33251 0 0 MASCO CORP COM 574599106 328 25413 SH DEFINED 25413 0 0 MICROSOFT CORP COM 594918104 1955 76010 SH DEFINED 76010 0 0 MIDCAP SPDR TR UNIT SER 1 595635103 4259 34000 SH DEFINED 34000 0 0 MILLIPORE CORP COM 601073109 757 10767 SH DEFINED 10767 0 0 MINDRAY MEDICAL INTL LTD SPON ADR 602675100 527 16140 SH DEFINED 16140 0 0 MINES MGMT INC COM 603432105 26 10000 SH DEFINED 10000 0 0 MOHAWK INDS INC COM 608190104 383 8040 SH DEFINED 8040 0 0 MOLSON COORS BREWING CO CL B 60871R209 923 18958 SH DEFINED 18958 0 0 MORGAN STANLEY COM NEW 617446448 462 14947 SH DEFINED 14947 0 0 MURPHY OIL CORP COM 626717102 2968 51553 SH DEFINED 51553 0 0 NALCO HOLDING COMPANY COM 62985Q101 472 23396 SH DEFINED 23396 0 0 NATIONAL CITY CORP NOTE 4.000% 2/0 635405AW3 4256 4230000 SH DEFINED 4230000 0 0 NEWELL RUBBERMAID INC COM 651229106 505 32169 SH DEFINED 32169 0 0 NEWMONT MINING CORP COM 651639106 990 22500 SH DEFINED 22500 0 0 NISOURCE INC COM 65473P105 362 26055 SH DEFINED 26055 0 0 NORTHERN TR CORP COM 665859104 1990 34220 SH DEFINED 34220 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 1078 13748 SH DEFINED 13748 0 0 OMNICOM GROUP INC NOTE 7/0 681919AT3 4963 5000000 SH DEFINED 5000000 0 0 ORACLE CORP COM 68389X105 216 10349 SH DEFINED 10349 0 0 PANTRY INC NOTE 3.000%11/1 698657AL7 2502 3000000 SH DEFINED 3000000 0 0 PEPSICO INC COM 713448108 1475 25150 SH DEFINED 25150 0 0 PFIZER INC COM 717081103 2008 121279 SH DEFINED 121279 0 0 PINNACLE WEST CAP CORP COM 723484101 449 13674 SH DEFINED 13674 0 0 PLUM CREEK TIMBER CO INC COM 729251108 956 39700 SH DEFINED 39700 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 5012 227191 SH DEFINED 227191 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 10551 249700 SH DEFINED 249700 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 1512 59400 SH DEFINED 59400 0 0 PRESSTEK INC COM 741113104 42 20000 SH DEFINED 20000 0 0 PROCTER & GAMBLE CO COM 742718109 807 13940 SH DEFINED 13940 0 0 PROSHARES TR PSHS ULT S&P 500 74347R107 8892 259100 SH DEFINED 259100 0 0 PROSHARES TR PSHS ULTRA QQQ 74347R206 4332 85000 SH DEFINED 85000 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 1620 36800 SH DEFINED 36800 0 0 PROSHARES TR PSHS ULTRA DOW30 74347R305 5303 140000 SH DEFINED 140000 0 0 QUALCOMM INC COM 747525103 225 5000 SH DEFINED 5000 0 0 QWEST COMMUNICATIONS INTL IN COM 749121109 205 53750 SH DEFINED 53750 0 0 RAYTHEON CO COM NEW 755111507 544 11335 SH DEFINED 11335 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 739 12925 SH DEFINED 12925 0 0 SANOFI AVENTIS SPONDORED ADR 80105N105 1218 32950 SH DEFINED 32950 0 0 SCHERING PLOUGH CORP COM 806605101 2205 78064 SH DEFINED 78064 0 0 SCHLUMBERGER LTD COM 806857108 442 7422 SH DEFINED 7422 0 0 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 880 42150 SH DEFINED 42150 0 0 SEPRACOR INC NOTE 10/1 817315AW4 4991 5000000 SH DEFINED 5000000 0 0 SLM CORP COM 78442P106 394 45224 SH DEFINED 45224 0 0 SOUTHWEST AIRLS CO COM 844741108 988 102929 SH DEFINED 102929 0 0 SPDR GOLD TRUST GOLD GOLD SHS 78463V107 4722 48124 SH DEFINED 48124 0 0 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 377 9800 SH DEFINED 9800 0 0 SPDR TR UNIT SER 1 78462F103 27505 261540 SH DEFINED 261540 0 0 SPECTRA ENERGY CORP COM 847560109 721 38046 SH DEFINED 38046 0 0 SPRINT NEXTEL CORP COM SER 1 852061100 461 116602 SH DEFINED 116602 0 0 STAPLES INC COM 855030102 2347 101081 SH DEFINED 101081 0 0 STATE STR CORP COM 857477103 844 16047 SH DEFINED 16047 0 0 STEWART ENTERPRISES INC CL A 860370105 62 11835 SH DEFINED 11835 0 0 SUNOCO INC COM 86764P109 278 9757 SH DEFINED 9757 0 0 SWEDISH EXPT CR CORP ROG TTL ETN 22 870297801 159 22700 SH DEFINED 22700 0 0 SYNOVUS FINL CORP COM 87161C105 102 27365 SH DEFINED 27365 0 0 TEXAS INSTRS INC COM 882508104 1115 47050 SH DEFINED 47050 0 0 TEXTRON INC COM 883203101 286 15087 SH DEFINED 15087 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 1926 44093 SH DEFINED 44093 0 0 TIME WARNER CABLE INC COM 88732J207 617 14319 SH DEFINED 14319 0 0 TIME WARNER INC COM NEW 887317303 1024 35586 SH DEFINED 35586 0 0 TOTAL S A SPONSORED ADR 89151E109 1522 25675 SH DEFINED 25675 0 0 TRAVELERS COMPANIES INC COM 89417E109 2141 43488 SH DEFINED 43488 0 0 TYCO ELECTRONICS LTD SWITZER SHS G9144P105 647 29050 SH DEFINED 29050 0 0 TYCO INTERNATIONAL LTD SHS H89128104 614 17800 SH DEFINED 17800 0 0 UNION PAC CORP COM 907818108 688 11791 SH DEFINED 11791 0 0 UNISYS CORP COM 909214108 184 69112 SH DEFINED 69112 0 0 UNITED PARCEL SERVICE INC CL B 911312106 3084 54613 SH DEFINED 54613 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 869 24000 SH DEFINED 24000 0 0 UNITED TECHNOLOGIES CORP COM 913017109 205 3362 SH DEFINED 3362 0 0 US BANCORP DEL COM NEW 902973304 716 32731 SH DEFINED 32731 0 0 VARIAN MED SYS INC COM 92220P105 840 19940 SH DEFINED 19940 0 0 VCA ANTECH INC COM 918194101 403 15000 SH DEFINED 15000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 497 16415 SH DEFINED 16415 0 0 VIACOM INC NEW CL B 92553P201 1300 46362 SH DEFINED 46362 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 1292 57400 SH DEFINED 57400 0 0 WAL MART STORES INC COM 931142103 2154 43880 SH DEFINED 43880 0 0 WASTE MGMT INC DEL COM 94106L109 2057 68967 SH DEFINED 68967 0 0 WATERS CORP COM 941848103 734 13144 SH DEFINED 13144 0 0 WEBMD CORP NOTE 1.750% 6/1 94769MAE5 1411 1352000 SH DEFINED 1352000 0 0 WELLPOINT INC COM 94973V107 1695 35778 SH DEFINED 35778 0 0 WELLS FARGO & CO NEW COM 949746101 1679 59580 SH DEFINED 59580 0 0 WESTERN UN CO COM 959802109 628 33200 SH DEFINED 33200 0 0 WEYERHAEUSER CO COM 962166104 656 17892 SH DEFINED 17892 0 0 WINN DIXIE STORES INC COM NEW 974280307 136 10311 SH DEFINED 10311 0 0 WISDOMTREE TRUST BRAZILN RL ETF 97717W240 1081 41500 SH DEFINED 45100 0 0 WYETH COM 983024100 2448 50387 SH DEFINED 50387 0 0 XTO ENERGY INC COM 98385X106 209 5056 SH DEFINED 5056 0 0
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