<SEC-DOCUMENT>0001398344-15-003812-index.html : 20150610 <SEC-HEADER>0001398344-15-003812.hdr.sgml : 20150610 <ACCEPTANCE-DATETIME>20150610132756 ACCESSION NUMBER: 0001398344-15-003812 CONFORMED SUBMISSION TYPE: N-CSRS PUBLIC DOCUMENT COUNT: 25 CONFORMED PERIOD OF REPORT: 20150331 FILED AS OF DATE: 20150610 DATE AS OF CHANGE: 20150610 EFFECTIVENESS DATE: 20150610 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GUGGENHEIM FUNDS TRUST CENTRAL INDEX KEY: 0000088525 IRS NUMBER: 000000000 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: N-CSRS SEC ACT: 1940 Act SEC FILE NUMBER: 811-01136 FILM NUMBER: 15923108 BUSINESS ADDRESS: STREET 1: GUGGENHEIM INVESTMENTS STREET 2: 805 KING FARM BOULEVARD, SUITE 600 CITY: ROCKVILLE STATE: MD ZIP: 20850 BUSINESS PHONE: 301.296.5100 MAIL ADDRESS: STREET 1: GUGGENHEIM INVESTMENTS STREET 2: 805 KING FARM BOULEVARD, SUITE 600 CITY: ROCKVILLE STATE: MD ZIP: 20850 FORMER COMPANY: FORMER CONFORMED NAME: SECURITY EQUITY FUND DATE OF NAME CHANGE: 19920703 <SERIES-AND-CLASSES-CONTRACTS-DATA> <EXISTING-SERIES-AND-CLASSES-CONTRACTS> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000008805 <SERIES-NAME>Guggenheim StylePlus - Large Core Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023958 <CLASS-CONTRACT-NAME>A <CLASS-CONTRACT-TICKER-SYMBOL>SECEX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023959 <CLASS-CONTRACT-NAME>B <CLASS-CONTRACT-TICKER-SYMBOL>SEQBX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023960 <CLASS-CONTRACT-NAME>C <CLASS-CONTRACT-TICKER-SYMBOL>SFECX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000110205 <CLASS-CONTRACT-NAME>Institutional <CLASS-CONTRACT-TICKER-SYMBOL>GILIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000008806 <SERIES-NAME>Guggenheim Alpha Opportunity Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023961 <CLASS-CONTRACT-NAME>A <CLASS-CONTRACT-TICKER-SYMBOL>SAOAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023963 <CLASS-CONTRACT-NAME>C <CLASS-CONTRACT-TICKER-SYMBOL>SAOCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000071557 <CLASS-CONTRACT-NAME>Institutional <CLASS-CONTRACT-TICKER-SYMBOL>SAOIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000008807 <SERIES-NAME>Guggenheim World Equity Income Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023964 <CLASS-CONTRACT-NAME>A <CLASS-CONTRACT-TICKER-SYMBOL>SEQAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023965 <CLASS-CONTRACT-NAME>B <CLASS-CONTRACT-TICKER-SYMBOL>SGOBX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023966 <CLASS-CONTRACT-NAME>C <CLASS-CONTRACT-TICKER-SYMBOL>SFGCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000100456 <CLASS-CONTRACT-NAME>Institutional <CLASS-CONTRACT-TICKER-SYMBOL>SEWIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000008809 <SERIES-NAME>Guggenheim Mid Cap Value Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023970 <CLASS-CONTRACT-NAME>A <CLASS-CONTRACT-TICKER-SYMBOL>SEVAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023971 <CLASS-CONTRACT-NAME>B <CLASS-CONTRACT-TICKER-SYMBOL>SVSBX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000023972 <CLASS-CONTRACT-NAME>C <CLASS-CONTRACT-TICKER-SYMBOL>SEVSX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000022641 <SERIES-NAME>Guggenheim Small Cap Value Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000065507 <CLASS-CONTRACT-NAME>A <CLASS-CONTRACT-TICKER-SYMBOL>SSUAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000065508 <CLASS-CONTRACT-NAME>C <CLASS-CONTRACT-TICKER-SYMBOL>SSVCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000065509 <CLASS-CONTRACT-NAME>Institutional <CLASS-CONTRACT-TICKER-SYMBOL>SSUIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000022644 <SERIES-NAME>Guggenheim Mid Cap Value Institutional Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000065512 <CLASS-CONTRACT-NAME>Mid Cap Value Institutional <CLASS-CONTRACT-TICKER-SYMBOL>SVUIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000040957 <SERIES-NAME>Guggenheim Enhanced World Equity Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000127057 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>GEEWX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000127058 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>GEEFX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000127059 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GEEGX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043985 <SERIES-NAME>Guggenheim Limited Duration Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136507 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>GILDX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136508 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>GILFX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136509 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GILHX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043986 <SERIES-NAME>Guggenheim Floating Rate Strategies Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136510 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIFAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136511 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIFCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136512 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GIFIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043987 <SERIES-NAME>Guggenheim High Yield Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136513 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>SHYIX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136514 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>SIHAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136515 <CLASS-CONTRACT-NAME>B-Class <CLASS-CONTRACT-TICKER-SYMBOL>SIHBX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136516 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>SIHSX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043988 <SERIES-NAME>Guggenheim Investment Grade Bond Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136517 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>SIUSX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136518 <CLASS-CONTRACT-NAME>B-Class <CLASS-CONTRACT-TICKER-SYMBOL>SUGBX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136519 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>SDICX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136520 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GIUSX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043989 <SERIES-NAME>Guggenheim Macro Opportunities Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136521 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIOAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136522 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIOCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136523 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GIOIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043990 <SERIES-NAME>Guggenheim Municipal Income Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136524 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIJAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136525 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIJCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136526 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GIJIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043991 <SERIES-NAME>Guggenheim Total Return Bond Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136527 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIBAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136528 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>GIBCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136529 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GIBIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043992 <SERIES-NAME>Guggenheim Large Cap Value Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136530 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>SECIX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136531 <CLASS-CONTRACT-NAME>B-Class <CLASS-CONTRACT-TICKER-SYMBOL>SECBX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136532 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>SEGIX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136533 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GILCX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000043993 <SERIES-NAME>Guggenheim StylePlus - Mid Growth Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136534 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>SECUX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136535 <CLASS-CONTRACT-NAME>B-Class <CLASS-CONTRACT-TICKER-SYMBOL>SEUBX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136536 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>SUFCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000136537 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GIUIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000044539 <SERIES-NAME>Guggenheim Risk Managed Real Estate Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000138554 <CLASS-CONTRACT-NAME>A-Class <CLASS-CONTRACT-TICKER-SYMBOL>GURAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000138555 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>GURCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000138556 <CLASS-CONTRACT-NAME>Institutional Class <CLASS-CONTRACT-TICKER-SYMBOL>GURIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000047517 <SERIES-NAME>Guggenheim Capital Stewardship Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000149218 <CLASS-CONTRACT-NAME>Institutional </CLASS-CONTRACT> </SERIES> </EXISTING-SERIES-AND-CLASSES-CONTRACTS> </SERIES-AND-CLASSES-CONTRACTS-DATA> </SEC-HEADER> <DOCUMENT> <TYPE>N-CSRS <SEQUENCE>1 <FILENAME>fp0014595_ncsrs.htm <TEXT> Document 1 - file: fp0014595_ncsrs.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.CERT <SEQUENCE>2 <FILENAME>fp0014595_ex99cert.htm <TEXT> Document 2 - file: fp0014595_ex99cert.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.906 CERT <SEQUENCE>3 <FILENAME>fp0014595_ex99906cert.htm <TEXT> Document 3 - file: fp0014595_ex99906cert.htm
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>4 <FILENAME>csf_01.jpg <TEXT> Document 4 - file: csf_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>5 <FILENAME>fr_01.jpg <TEXT> Document 5 - file: fr_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>6 <FILENAME>mcvi_01.jpg <TEXT> Document 6 - file: mcvi_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>7 <FILENAME>mcv_01.jpg <TEXT> Document 7 - file: mcv_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>8 <FILENAME>mo_01.jpg <TEXT> Document 8 - file: mo_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>9 <FILENAME>ncsr_01.jpg <TEXT> Document 9 - file: ncsr_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>10 <FILENAME>ncsr_02.jpg <TEXT> Document 10 - file: ncsr_02.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>11 <FILENAME>ncsr_03.jpg <TEXT> Document 11 - file: ncsr_03.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>12 <FILENAME>ncsr_04.jpg <TEXT> Document 12 - file: ncsr_04.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>13 <FILENAME>sbe_01.jpg <TEXT> Document 13 - file: sbe_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>14 <FILENAME>sbe_02.jpg <TEXT> Document 14 - file: sbe_02.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>15 <FILENAME>sbe_03.jpg <TEXT> Document 15 - file: sbe_03.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>16 <FILENAME>sbe_04.jpg <TEXT> Document 16 - file: sbe_04.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>17 <FILENAME>sbe_05.jpg <TEXT> Document 17 - file: sbe_05.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>18 <FILENAME>sbe_06.jpg <TEXT> Document 18 - file: sbe_06.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>19 <FILENAME>sbe_07.jpg <TEXT> Document 19 - file: sbe_07.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>20 <FILENAME>sbe_08.jpg <TEXT> Document 20 - file: sbe_08.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>21 <FILENAME>sbinc_01.jpg <TEXT> Document 21 - file: sbinc_01.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>22 <FILENAME>sbinc_02.jpg <TEXT> Document 22 - file: sbinc_02.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>23 <FILENAME>sbinc_03.jpg <TEXT> Document 23 - file: sbinc_03.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>24 <FILENAME>sbinc_04.jpg <TEXT> Document 24 - file: sbinc_04.jpg
</DOCUMENT> <DOCUMENT> <TYPE>GRAPHIC <SEQUENCE>25 <FILENAME>trb_01.jpg <TEXT> Document 25 - file: trb_01.jpg
</DOCUMENT> </SEC-DOCUMENT>