-----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, H1ZD15oQxANuIhNPIbUSRcs3Kl+6wES2Q4N4ojjODgSjZTISADdILkgEiA5RTstw k6UrcBemLF0WE/n/tu/7Xw== 0001172661-09-000461.txt : 20090225 0001172661-09-000461.hdr.sgml : 20090225 20090225132946 ACCESSION NUMBER: 0001172661-09-000461 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090225 DATE AS OF CHANGE: 20090225 EFFECTIVENESS DATE: 20090225 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GUGGENHEIM CAPITAL LLC CENTRAL INDEX KEY: 0001283072 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-12836 FILM NUMBER: 09633199 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/A 1 gug4q08.txt FORM 13F HOLDINGS REPORT AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2008 Check here if Amendment [ X]; Amendment Number: 1 This Amendment (Check only one.): [ X] 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/s Kenneth Nick Chicago, IL/USA February 25, 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: 62 Form13F Information Table Value Total: $184,924 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMERICAN INTL GROUP INC COM 026874107 27 17350 SH DEFINED 17350 0 0 APPLE INC COM 037833100 562 6586 SH DEFINED 6586 0 0 AT&T INC COM 00206R102 264 9276 SH DEFINED 9276 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 787 19995 SH DEFINED 19995 0 0 BARCLAYS BK PLC DJAIG CMDT ETN 06738C778 1493 42437 SH DEFINED 42437 0 0 BECTON DICKINSON & CO COM 075887109 1132 16555 SH DEFINED 16555 0 0 BURLINGTON NORTHN SANTA FE C COM 12189T104 1200 15850 SH DEFINED 15850 0 0 CISCO SYS INC COM 17275R102 868 53290 SH DEFINED 53290 0 0 CITIGROUP INC COM 172967101 113 16900 SH DEFINED 16900 0 0 DIAMONDS TR UNIT SER 1 252787106 5544 63350 SH DEFINED 63350 0 0 DISNEY WALT CO COM DISNEY 254687106 1000 44090 SH DEFINED 44090 0 0 EAGLE ROCK ENERGY PARTNERS L UNIT 26985R104 1841 390919 SH DEFINED 390919 0 0 EOG RES INC COM 26875P101 962 14453 SH DEFINED 14453 0 0 EXXON MOBIL CORP COM 30231G102 3765 47166 SH DEFINED 47166 0 0 GENERAL ELECTRIC CO COM 369604103 186 11498 SH DEFINED 11498 0 0 HESS CORP COM 42809H107 784 14610 SH DEFINED 14610 0 0 HEWLETT PACKARD CO COM 428236103 646 17800 SH DEFINED 17800 0 0 ION GEOPHYSICAL CORP COM 462044108 35 10070 SH DEFINED 10070 0 0 ISHARES INC MSCI BRAZIL 464286400 1257 35915 SH DEFINED 35915 0 0 ISHARES INC MSCI JAPAN 464286848 2207 230230 SH DEFINED 230230 0 0 ISHARES INC MSCI PAC J IDX 464286665 440 16700 SH DEFINED 16700 0 0 ISHARES TR BARCLYS TIPS BD 464287176 4535 45700 SH DEFINED 45700 0 0 ISHARES TR US PFD STK IDX 464288687 1671 56983 SH DEFINED 56983 0 0 ISHARES TR RUSSELL1000VAL 464287598 10844 218940 SH DEFINED 218940 0 0 ISHARES TR RUSL 2000 VALU 464287630 6421 130603 SH DEFINED 130603 0 0 ISHARES TR RUSL 2000 GROW 464287648 5178 101800 SH DEFINED 101800 0 0 ISHARES TR MSCI EMERG MKT 464287234 483 19325 SH DEFINED 19325 0 0 ISHARES TR BARCLYS US AGG B 464287226 10493 100704 SH DEFINED 100704 0 0 ISHARES TR BARCLYS 7-10 YR 464287440 1005 10200 SH DEFINED 10200 0 0 ISHARES TR S&P EURO PLUS 464287861 744 23900 SH DEFINED 23900 0 0 ISHARES TR MSCI EAFE IDX 464287465 3128 69725 SH DEFINED 69725 0 0 JOHNSON & JOHNSON COM 478160104 1612 26932 SH DEFINED 26932 0 0 JOHNSON CTLS INC COM 478366107 799 43993 SH DEFINED 43993 0 0 KIMBERLY CLARK CORP COM 494368103 1121 21248 SH DEFINED 21248 0 0 LOCKHEED MARTIN CORP COM 539830109 1573 18715 SH DEFINED 18715 0 0 MCGRAW HILL COS INC COM 580645109 947 40843 SH DEFINED 40843 0 0 MIDCAP SPDR TR UNIT SER 1 595635103 4537 46700 SH DEFINED 46700 0 0 MURPHY OIL CORP COM 626717102 1683 37950 SH DEFINED 37950 0 0 NATIONAL CITY CORP NOTE 4.000% 2/0 635405AW3 4480 4480000 PRN DEFINED 4480000 0 0 NEXTEL COMMUNICATIONS INC NOTE 5.250% 1/1 65332VAY9 9615 11100000 PRN DEFINED 11100000 0 0 NIKE INC CL B 654106103 1480 29017 SH DEFINED 29017 0 0 OMNICOM GROUP INC COM 681919106 885 32876 SH DEFINED 32876 0 0 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 1055 17200 SH DEFINED 17200 0 0 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 790 37300 SH DEFINED 37300 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 8404 282575 SH DEFINED 282575 0 0 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 482 18400 SH DEFINED 18400 0 0 PRESSTEK INC COM 741113104 64 20000 SH DEFINED 20000 0 0 PROSHARES TR PSHS ULT S&P 500 74347R107 9276 353100 SH DEFINED 353100 0 0 PROSHARES TR PSHS ULTRA DOW30 74347R305 6290 199200 SH DEFINED 199200 0 0 PROSHARES TR PSHS ULTRA QQQ 74347R206 5101 189700 SH DEFINED 189700 0 0 QUEST RESOURCE CORP COM NEW 748349305 23 55550 SH DEFINED 55550 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 226 18090 SH DEFINED 18090 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 6164 71212 SH DEFINED 71212 0 0 SPDR TR UNIT SER 1 78462F103 37413 414626 SH DEFINED 414626 0 0 THERMO FISHER SCIENTIFIC INC COM 883556102 629 18462 SH DEFINED 18462 0 0 TRAVELERS COMPANIES INC COM 89417E109 229 5066 SH DEFINED 5066 0 0 U S AIRWAYS GROUP INC COM 90341w108 2122 274514 SH DEFINED 274514 0 0 UNITED PARCEL SERVICE INC CL B 911312106 4200 76158 SH DEFINED 76158 0 0 WAL MART STORES INC COM 931142103 1532 27338 SH DEFINED 27338 0 0 WASTE MGMT INC DEL COM 94106L109 900 27135 SH DEFINED 27135 0 0 WELLPOINT INC COM 94973V107 1134 26910 SH DEFINED 26910 0 0 ZIMMER HLDGS INC COM 98956P102 543 13422 SH DEFINED 13422 0 0
-----END PRIVACY-ENHANCED MESSAGE-----