0001398344-17-015343.txt : 20171129 0001398344-17-015343.hdr.sgml : 20171129 20171129172905 ACCESSION NUMBER: 0001398344-17-015343 CONFORMED SUBMISSION TYPE: NSAR-B PUBLIC DOCUMENT COUNT: 3 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171129 DATE AS OF CHANGE: 20171129 EFFECTIVENESS DATE: 20171129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GUGGENHEIM FUNDS TRUST CENTRAL INDEX KEY: 0000088525 IRS NUMBER: 000000000 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: NSAR-B SEC ACT: 1940 Act SEC FILE NUMBER: 811-01136 FILM NUMBER: 171229398 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 0000088525 S000008805 Guggenheim StylePlus - Large Core Fund C000023958 A SECEX C000023959 B SEQBX C000023960 C SFECX C000110205 Institutional GILIX C000155959 P SFEPX 0000088525 S000008806 Guggenheim Alpha Opportunity Fund C000023961 A SAOAX C000023962 B SAOBX C000023963 C SAOCX C000071557 Institutional SAOIX C000155960 P SAOSX 0000088525 S000008807 Guggenheim World Equity Income Fund C000023964 A SEQAX C000023965 B SGOBX C000023966 C SFGCX C000100456 Institutional SEWIX C000155961 P SEQPX 0000088525 S000008809 Guggenheim Mid Cap Value Fund C000023970 A SEVAX C000023971 B SVSBX C000023972 C SEVSX C000155962 P SEVPX 0000088525 S000022641 Guggenheim Small Cap Value Fund C000065507 A SSUAX C000065508 C SSVCX C000065509 Institutional SSUIX C000155963 P SSUPX 0000088525 S000022644 Guggenheim Mid Cap Value Institutional Fund C000065512 Mid Cap Value Institutional SVUIX 0000088525 S000043985 Guggenheim Limited Duration Fund C000136507 A-Class GILDX C000136508 C-Class GILFX C000136509 Institutional Class GILHX C000155965 P GILPX 0000088525 S000043986 Guggenheim Floating Rate Strategies Fund C000136510 A-Class GIFAX C000136511 C-Class GIFCX C000136512 Institutional Class GIFIX C000155966 P GIFPX 0000088525 S000043987 Guggenheim High Yield Fund C000136513 Institutional Class SHYIX C000136514 A-Class SIHAX C000136515 B-Class SIHBX C000136516 C-Class SIHSX C000155967 P SIHPX 0000088525 S000043988 Guggenheim Investment Grade Bond Fund C000136517 A-Class SIUSX C000136518 B-Class SUGBX C000136519 C-Class SDICX C000136520 Institutional Class GIUSX C000155968 P SIUPX 0000088525 S000043989 Guggenheim Macro Opportunities Fund C000136521 A-Class GIOAX C000136522 C-Class GIOCX C000136523 Institutional Class GIOIX C000155969 P GIOPX 0000088525 S000043990 Guggenheim Municipal Income Fund C000136524 A-Class GIJAX C000136525 C-Class GIJCX C000136526 Institutional Class GIJIX C000155970 P GIJPX 0000088525 S000043991 Guggenheim Total Return Bond Fund C000136527 A-Class GIBAX C000136528 C-Class GIBCX C000136529 Institutional Class GIBIX C000152106 R6 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051 000100 N 052 000100 N PAGE 8 053 A000100 Y 053 B000100 Y 053 C000100 N 055 A000100 N 055 B000100 Y 056 000100 Y 057 000100 N 058 A000100 N 059 000100 Y 060 A000100 Y 060 B000100 Y 061 000100 2500 062 A000100 N 062 B000100 0.0 062 C000100 0.0 062 D000100 0.0 062 E000100 0.0 062 F000100 0.0 062 G000100 0.0 062 H000100 0.0 062 I000100 0.0 062 J000100 0.0 062 K000100 0.0 062 L000100 0.0 062 M000100 0.0 062 N000100 0.0 062 O000100 0.0 062 P000100 0.0 062 Q000100 0.0 062 R000100 0.0 066 A000100 Y 066 B000100 N 066 C000100 N 066 D000100 Y 066 E000100 N 066 F000100 N 066 G000100 N 067 000100 N 068 A000100 N 068 B000100 N 069 000100 N 070 A010100 Y 070 A020100 N 070 B010100 Y 070 B020100 N 070 C010100 Y 070 C020100 N 070 D010100 Y 070 D020100 N 070 E010100 Y 070 E020100 N PAGE 9 070 F010100 Y 070 F020100 Y 070 G010100 Y 070 G020100 N 070 H010100 Y 070 H020100 N 070 I010100 Y 070 I020100 N 070 J010100 Y 070 J020100 N 070 K010100 Y 070 K020100 Y 070 L010100 Y 070 L020100 N 070 M010100 Y 070 M020100 N 070 N010100 Y 070 N020100 N 070 O010100 Y 070 O020100 Y 070 P010100 Y 070 P020100 N 070 Q010100 N 070 Q020100 N 070 R010100 Y 070 R020100 N 071 A000100 72102 071 B000100 61720 071 C000100 207143 071 D000100 30 072 A000100 12 072 B000100 36 072 C000100 4877 072 D000100 0 072 E000100 0 072 F000100 1549 072 G000100 166 072 H000100 0 072 I000100 209 072 J000100 11 072 K000100 0 072 L000100 0 072 M000100 13 072 N000100 0 072 O000100 7 072 P000100 31 072 Q000100 0 072 R000100 0 072 S000100 0 072 T000100 524 072 U000100 0 PAGE 10 072 V000100 0 072 W000100 344 072 X000100 2854 072 Y000100 71 072 Z000100 2130 072AA000100 33817 072BB000100 0 072CC010100 0 072CC020100 740 072DD010100 0 072DD020100 0 072EE000100 0 073 A010100 0.0000 073 A020100 0.0000 073 B000100 0.0000 073 C000100 0.0000 074 A000100 233 074 B000100 0 074 C000100 0 074 D000100 0 074 E000100 0 074 F000100 38402 074 G000100 0 074 H000100 0 074 I000100 178956 074 J000100 0 074 K000100 0 074 L000100 376 074 M000100 47 074 N000100 218014 074 O000100 329 074 P000100 169 074 Q000100 0 074 R010100 0 074 R020100 0 074 R030100 0 074 R040100 2968 074 S000100 0 074 T000100 214548 074 U010100 0 074 U020100 0 074 V010100 0.00 074 V020100 0.00 074 W000100 0.0000 074 X000100 7258 074 Y000100 0 075 A000100 0 075 B000100 206480 076 000100 0.00 008 A000201 SECURITY INVESTORS, LLC 008 B000201 A PAGE 11 008 C000201 801-8008 008 D010201 ROCKVILLE 008 D020201 MD 008 D030201 20850 008 D040201 0001 015 A000201 BANK OF NEW YORK MELLON 015 B000201 C 015 C010201 EAST SYRACUSE 015 C020201 NY 015 C030201 13057 015 E010201 X 024 000200 Y 025 A000201 JPMorgan Chase & Co 025 B000201 UNKNOWN 025 C000201 E 025 D000201 363 025 A000202 Credit Suisse Securities (USA) LLC 025 B000202 UNKNOWN 025 C000202 E 025 D000202 603 025 A000203 Mizuho 025 B000203 UNKNOWN 025 C000203 E 025 D000203 527 028 A010200 1202 028 A020200 0 028 A030200 0 028 A040200 6235 028 B010200 1092 028 B020200 0 028 B030200 0 028 B040200 1156 028 C010200 3291 028 C020200 0 028 C030200 0 028 C040200 840 028 D010200 464 028 D020200 740 028 D030200 0 028 D040200 1461 028 E010200 1241 028 E020200 0 028 E030200 0 028 E040200 2350 028 F010200 1173 028 F020200 509 028 F030200 0 028 F040200 1086 028 G010200 8463 028 G020200 1249 028 G030200 0 PAGE 12 028 G040200 13128 028 H000200 655 029 000200 Y 030 A000200 28 030 B000200 4.75 030 C000200 0.00 031 A000200 7 031 B000200 0 032 000200 21 033 000200 0 034 000200 Y 035 000200 0 036 A000200 Y 036 B000200 0 037 000200 N 038 000200 0 039 000200 Y 040 000200 Y 041 000200 Y 042 A000200 0 042 B000200 0 042 C000200 100 042 D000200 0 042 E000200 0 042 F000200 0 042 G000200 0 042 H000200 0 043 000200 261 044 000200 0 045 000200 Y 046 000200 N 047 000200 Y 048 000200 0.700 048 A010200 0 048 A020200 0.000 048 B010200 0 048 B020200 0.000 048 C010200 0 048 C020200 0.000 048 D010200 0 048 D020200 0.000 048 E010200 0 048 E020200 0.000 048 F010200 0 048 F020200 0.000 048 G010200 0 048 G020200 0.000 048 H010200 0 048 H020200 0.000 048 I010200 0 048 I020200 0.000 PAGE 13 048 J010200 0 048 J020200 0.000 048 K010200 0 048 K020200 0.000 049 000200 N 050 000200 N 051 000200 N 052 000200 N 053 A000200 Y 053 B000200 Y 053 C000200 N 055 A000200 Y 055 B000200 Y 056 000200 Y 057 000200 N 058 A000200 N 059 000200 Y 060 A000200 Y 060 B000200 Y 061 000200 2500 062 A000200 N 062 B000200 0.0 062 C000200 0.0 062 D000200 0.0 062 E000200 0.0 062 F000200 0.0 062 G000200 0.0 062 H000200 0.0 062 I000200 0.0 062 J000200 0.0 062 K000200 0.0 062 L000200 0.0 062 M000200 0.0 062 N000200 0.0 062 O000200 0.0 062 P000200 0.0 062 Q000200 0.0 062 R000200 0.0 066 A000200 Y 066 B000200 N 066 C000200 N 066 D000200 N 066 E000200 N 066 F000200 N 066 G000200 Y 067 000200 N 068 A000200 N 068 B000200 N 069 000200 N 070 A010200 Y 070 A020200 N PAGE 14 070 B010200 Y 070 B020200 N 070 C010200 Y 070 C020200 N 070 D010200 Y 070 D020200 N 070 E010200 Y 070 E020200 N 070 F010200 Y 070 F020200 N 070 G010200 Y 070 G020200 N 070 H010200 Y 070 H020200 N 070 I010200 Y 070 I020200 N 070 J010200 Y 070 J020200 N 070 K010200 Y 070 K020200 Y 070 L010200 Y 070 L020200 Y 070 M010200 Y 070 M020200 Y 070 N010200 Y 070 N020200 N 070 O010200 Y 070 O020200 Y 070 P010200 Y 070 P020200 Y 070 Q010200 N 070 Q020200 N 070 R010200 Y 070 R020200 N 071 A000200 82089 071 B000200 89316 071 C000200 87530 071 D000200 94 072 A000200 12 072 B000200 5 072 C000200 3100 072 D000200 0 072 E000200 0 072 F000200 626 072 G000200 72 072 H000200 0 072 I000200 79 072 J000200 11 072 K000200 0 072 L000200 50 072 M000200 7 PAGE 15 072 N000200 41 072 O000200 -3 072 P000200 0 072 Q000200 0 072 R000200 39 072 S000200 18 072 T000200 260 072 U000200 0 072 V000200 0 072 W000200 44 072 X000200 1244 072 Y000200 101 072 Z000200 1962 072AA000200 5684 072BB000200 0 072CC010200 2701 072CC020200 0 072DD010200 0 072DD020200 0 072EE000200 0 073 A010200 0.0000 073 A020200 0.0000 073 B000200 0.0000 073 C000200 0.0000 074 A000200 0 074 B000200 0 074 C000200 0 074 D000200 0 074 E000200 0 074 F000200 89781 074 G000200 0 074 H000200 0 074 I000200 1886 074 J000200 0 074 K000200 0 074 L000200 518 074 M000200 41 074 N000200 92226 074 O000200 887 074 P000200 35 074 Q000200 0 074 R010200 0 074 R020200 0 074 R030200 0 074 R040200 169 074 S000200 0 074 T000200 91135 074 U010200 0 074 U020200 0 074 V010200 0.00 074 V020200 0.00 PAGE 16 074 W000200 0.0000 074 X000200 1666 074 Y000200 0 075 A000200 0 075 B000200 89244 076 000200 0.00 008 A000501 SECURITY INVESTORS, LLC 008 B000501 A 008 C000501 801-8008 008 D010501 ROCKVILLE 008 D020501 MD 008 D030501 20850 008 D040501 0001 015 A000501 BANK OF NEW YORK MELLON 015 B000501 C 015 C010501 EAST SYRACUSE 015 C020501 NY 015 C030501 13057 015 E010501 X 024 000500 N 028 A010500 2029 028 A020500 0 028 A030500 0 028 A040500 11613 028 B010500 2762 028 B020500 0 028 B030500 0 028 B040500 16275 028 C010500 12848 028 C020500 0 028 C030500 0 028 C040500 23359 028 D010500 3029 028 D020500 0 028 D030500 0 028 D040500 10737 028 E010500 1806 028 E020500 0 028 E030500 0 028 E040500 13500 028 F010500 1298 028 F020500 0 028 F030500 0 028 F040500 7571 028 G010500 23772 028 G020500 0 028 G030500 0 028 G040500 83055 028 H000500 1225 029 000500 Y 030 A000500 135 PAGE 17 030 B000500 4.75 030 C000500 0.00 031 A000500 46 031 B000500 0 032 000500 89 033 000500 0 034 000500 Y 035 000500 1 036 A000500 Y 036 B000500 0 037 000500 N 038 000500 0 039 000500 Y 040 000500 Y 041 000500 Y 042 A000500 0 042 B000500 0 042 C000500 0 042 D000500 0 042 E000500 0 042 F000500 0 042 G000500 0 042 H000500 0 043 000500 2016 044 000500 0 045 000500 Y 046 000500 N 047 000500 Y 048 000500 0.750 048 A010500 0 048 A020500 0.000 048 B010500 0 048 B020500 0.000 048 C010500 0 048 C020500 0.000 048 D010500 0 048 D020500 0.000 048 E010500 0 048 E020500 0.000 048 F010500 0 048 F020500 0.000 048 G010500 0 048 G020500 0.000 048 H010500 0 048 H020500 0.000 048 I010500 0 048 I020500 0.000 048 J010500 0 048 J020500 0.000 048 K010500 0 048 K020500 0.000 PAGE 18 049 000500 N 050 000500 N 051 000500 N 052 000500 N 053 A000500 Y 053 B000500 Y 053 C000500 N 055 A000500 N 055 B000500 N 056 000500 Y 057 000500 N 058 A000500 N 059 000500 Y 060 A000500 Y 060 B000500 Y 061 000500 2500 062 A000500 N 062 B000500 0.0 062 C000500 0.0 062 D000500 0.0 062 E000500 0.0 062 F000500 0.0 062 G000500 0.0 062 H000500 0.0 062 I000500 0.0 062 J000500 0.0 062 K000500 0.0 062 L000500 0.0 062 M000500 0.0 062 N000500 0.0 062 O000500 0.0 062 P000500 0.0 062 Q000500 0.0 062 R000500 0.0 066 A000500 Y 066 B000500 N 066 C000500 N 066 D000500 Y 066 E000500 N 066 F000500 N 066 G000500 N 067 000500 N 068 A000500 N 068 B000500 N 069 000500 N 070 A010500 Y 070 A020500 N 070 B010500 Y 070 B020500 N 070 C010500 Y 070 C020500 N PAGE 19 070 D010500 Y 070 D020500 N 070 E010500 Y 070 E020500 N 070 F010500 Y 070 F020500 N 070 G010500 Y 070 G020500 N 070 H010500 Y 070 H020500 N 070 I010500 Y 070 I020500 N 070 J010500 Y 070 J020500 N 070 K010500 Y 070 K020500 Y 070 L010500 Y 070 L020500 N 070 M010500 Y 070 M020500 N 070 N010500 Y 070 N020500 N 070 O010500 Y 070 O020500 N 070 P010500 Y 070 P020500 Y 070 Q010500 N 070 Q020500 N 070 R010500 Y 070 R020500 N 071 A000500 282708 071 B000500 392659 071 C000500 515420 071 D000500 55 072 A000500 12 072 B000500 36 072 C000500 7149 072 D000500 0 072 E000500 0 072 F000500 4084 072 G000500 419 072 H000500 0 072 I000500 502 072 J000500 11 072 K000500 0 072 L000500 134 072 M000500 3 072 N000500 78 072 O000500 0 072 P000500 0 072 Q000500 0 PAGE 20 072 R000500 24 072 S000500 22 072 T000500 2016 072 U000500 0 072 V000500 0 072 W000500 120 072 X000500 7413 072 Y000500 33 072 Z000500 -195 072AA000500 81130 072BB000500 0 072CC010500 16184 072CC020500 0 072DD010500 5780 072DD020500 0 072EE000500 11351 073 A010500 0.0000 073 A020500 0.0000 073 B000500 0.0000 073 C000500 0.0000 074 A000500 3 074 B000500 0 074 C000500 0 074 D000500 0 074 E000500 0 074 F000500 494936 074 G000500 0 074 H000500 0 074 I000500 11310 074 J000500 3274 074 K000500 0 074 L000500 586 074 M000500 39 074 N000500 510148 074 O000500 2222 074 P000500 427 074 Q000500 0 074 R010500 0 074 R020500 0 074 R030500 0 074 R040500 1380 074 S000500 0 074 T000500 506119 074 U010500 0 074 U020500 0 074 V010500 0.00 074 V020500 0.00 074 W000500 0.0000 074 X000500 11188 074 Y000500 0 075 A000500 0 PAGE 21 075 B000500 522463 076 000500 0.00 008 A001401 SECURITY INVESTORS, LLC 008 B001401 A 008 C001401 801-8008 008 D011401 ROCKVILLE 008 D021401 MD 008 D031401 20850 008 D041401 0001 015 A001401 BANK OF NEW YORK MELLON 015 B001401 C 015 C011401 EAST SYRACUSE 015 C021401 NY 015 C031401 13057 015 E011401 X 024 001400 N 028 A011400 1300 028 A021400 0 028 A031400 0 028 A041400 1770 028 B011400 1791 028 B021400 0 028 B031400 0 028 B041400 2730 028 C011400 2456 028 C021400 0 028 C031400 0 028 C041400 1203 028 D011400 1303 028 D021400 0 028 D031400 0 028 D041400 2003 028 E011400 1407 028 E021400 0 028 E031400 0 028 E041400 1665 028 F011400 928 028 F021400 0 028 F031400 0 028 F041400 4484 028 G011400 9185 028 G021400 0 028 G031400 0 028 G041400 13855 028 H001400 0 029 001400 N 030 A001400 0 030 B001400 0.00 030 C001400 0.00 034 001400 N 035 001400 0 PAGE 22 036 B001400 0 037 001400 N 038 001400 0 039 001400 N 040 001400 N 045 001400 Y 046 001400 N 047 001400 Y 048 001400 0.750 048 A011400 0 048 A021400 0.000 048 B011400 0 048 B021400 0.000 048 C011400 0 048 C021400 0.000 048 D011400 0 048 D021400 0.000 048 E011400 0 048 E021400 0.000 048 F011400 0 048 F021400 0.000 048 G011400 0 048 G021400 0.000 048 H011400 0 048 H021400 0.000 048 I011400 0 048 I021400 0.000 048 J011400 0 048 J021400 0.000 048 K011400 0 048 K021400 0.000 049 001400 N 050 001400 N 051 001400 N 052 001400 N 053 A001400 N 053 B001400 053 C001400 055 A001400 N 055 B001400 N 056 001400 Y 057 001400 N 058 A001400 N 059 001400 Y 060 A001400 Y 060 B001400 Y 061 001400 2000000 062 A001400 N 062 B001400 0.0 062 C001400 0.0 062 D001400 0.0 PAGE 23 062 E001400 0.0 062 F001400 0.0 062 G001400 0.0 062 H001400 0.0 062 I001400 0.0 062 J001400 0.0 062 K001400 0.0 062 L001400 0.0 062 M001400 0.0 062 N001400 0.0 062 O001400 0.0 062 P001400 0.0 062 Q001400 0.0 062 R001400 0.0 066 A001400 Y 066 B001400 N 066 C001400 N 066 D001400 Y 066 E001400 N 066 F001400 N 066 G001400 N 067 001400 N 068 A001400 N 068 B001400 N 069 001400 N 070 A011400 Y 070 A021400 N 070 B011400 Y 070 B021400 N 070 C011400 Y 070 C021400 N 070 D011400 Y 070 D021400 N 070 E011400 Y 070 E021400 N 070 F011400 Y 070 F021400 N 070 G011400 Y 070 G021400 N 070 H011400 Y 070 H021400 N 070 I011400 Y 070 I021400 N 070 J011400 Y 070 J021400 N 070 K011400 Y 070 K021400 Y 070 L011400 Y 070 L021400 N 070 M011400 Y 070 M021400 N PAGE 24 070 N011400 Y 070 N021400 N 070 O011400 Y 070 O021400 N 070 P011400 Y 070 P021400 Y 070 Q011400 N 070 Q021400 N 070 R011400 Y 070 R021400 N 071 A001400 52754 071 B001400 61663 071 C001400 72802 071 D001400 72 072 A001400 12 072 B001400 11 072 C001400 781 072 D001400 0 072 E001400 0 072 F001400 557 072 G001400 60 072 H001400 0 072 I001400 118 072 J001400 9 072 K001400 0 072 L001400 17 072 M001400 9 072 N001400 36 072 O001400 0 072 P001400 0 072 Q001400 0 072 R001400 25 072 S001400 5 072 T001400 0 072 U001400 0 072 V001400 0 072 W001400 11 072 X001400 847 072 Y001400 0 072 Z001400 -55 072AA001400 10957 072BB001400 0 072CC011400 2380 072CC021400 0 072DD011400 3141 072DD021400 0 072EE001400 4044 073 A011400 0.5300 073 A021400 0.0000 073 B001400 0.6800 073 C001400 0.0000 PAGE 25 074 A001400 0 074 B001400 0 074 C001400 0 074 D001400 0 074 E001400 0 074 F001400 74833 074 G001400 0 074 H001400 0 074 I001400 2914 074 J001400 472 074 K001400 0 074 L001400 148 074 M001400 21 074 N001400 78388 074 O001400 343 074 P001400 47 074 Q001400 0 074 R011400 0 074 R021400 0 074 R031400 0 074 R041400 189 074 S001400 0 074 T001400 77809 074 U011400 6620 074 U021400 0 074 V011400 11.75 074 V021400 0.00 074 W001400 0.0000 074 X001400 506 074 Y001400 0 075 A001400 0 075 B001400 74604 076 001400 0.00 008 A001501 SECURITY INVESTORS, LLC 008 B001501 A 008 C001501 801-8008 008 D011501 ROCKVILLE 008 D021501 MD 008 D031501 20850 008 D041501 0001 015 A001501 BANK OF NEW YORK MELLON 015 B001501 C 015 C011501 EAST SYRACUSE 015 C021501 NY 015 C031501 13057 015 E011501 X 024 001500 Y 025 A001501 Stifel Financial Corp. 025 B001501 Unknown 025 C001501 E 025 D001501 67 PAGE 26 028 A011500 636 028 A021500 0 028 A031500 0 028 A041500 308 028 B011500 272 028 B021500 0 028 B031500 0 028 B041500 632 028 C011500 155 028 C021500 0 028 C031500 0 028 C041500 369 028 D011500 132 028 D021500 0 028 D031500 0 028 D041500 279 028 E011500 497 028 E021500 0 028 E031500 0 028 E041500 914 028 F011500 207 028 F021500 0 028 F031500 0 028 F041500 286 028 G011500 1899 028 G021500 0 028 G031500 0 028 G041500 2788 028 H001500 92 029 001500 Y 030 A001500 8 030 B001500 4.75 030 C001500 0.00 031 A001500 2 031 B001500 0 032 001500 6 033 001500 0 034 001500 Y 035 001500 0 036 A001500 Y 036 B001500 0 037 001500 N 038 001500 0 039 001500 Y 040 001500 Y 041 001500 Y 042 A001500 0 042 B001500 0 042 C001500 100 042 D001500 0 042 E001500 0 PAGE 27 042 F001500 0 042 G001500 0 042 H001500 0 043 001500 79 044 001500 0 045 001500 Y 046 001500 N 047 001500 Y 048 001500 0.750 048 A011500 0 048 A021500 0.000 048 B011500 0 048 B021500 0.000 048 C011500 0 048 C021500 0.000 048 D011500 0 048 D021500 0.000 048 E011500 0 048 E021500 0.000 048 F011500 0 048 F021500 0.000 048 G011500 0 048 G021500 0.000 048 H011500 0 048 H021500 0.000 048 I011500 0 048 I021500 0.000 048 J011500 0 048 J021500 0.000 048 K011500 0 048 K021500 0.000 049 001500 N 050 001500 N 051 001500 N 052 001500 N 053 A001500 Y 053 B001500 Y 053 C001500 N 055 A001500 N 055 B001500 Y 056 001500 Y 057 001500 N 058 A001500 N 059 001500 Y 060 A001500 Y 060 B001500 Y 061 001500 2500 062 A001500 N 062 B001500 0.0 062 C001500 0.0 062 D001500 0.0 PAGE 28 062 E001500 0.0 062 F001500 0.0 062 G001500 0.0 062 H001500 0.0 062 I001500 0.0 062 J001500 0.0 062 K001500 0.0 062 L001500 0.0 062 M001500 0.0 062 N001500 0.0 062 O001500 0.0 062 P001500 0.0 062 Q001500 0.0 062 R001500 0.0 066 A001500 Y 066 B001500 N 066 C001500 Y 066 D001500 N 066 E001500 N 066 F001500 N 066 G001500 N 067 001500 N 068 A001500 N 068 B001500 N 069 001500 N 070 A011500 Y 070 A021500 N 070 B011500 Y 070 B021500 N 070 C011500 Y 070 C021500 N 070 D011500 Y 070 D021500 N 070 E011500 Y 070 E021500 N 070 F011500 Y 070 F021500 N 070 G011500 Y 070 G021500 N 070 H011500 Y 070 H021500 N 070 I011500 Y 070 I021500 N 070 J011500 Y 070 J021500 N 070 K011500 Y 070 K021500 Y 070 L011500 Y 070 L021500 N 070 M011500 Y 070 M021500 N PAGE 29 070 N011500 Y 070 N021500 N 070 O011500 Y 070 O021500 Y 070 P011500 Y 070 P021500 N 070 Q011500 N 070 Q021500 N 070 R011500 Y 070 R021500 N 071 A001500 9614 071 B001500 9939 071 C001500 20175 071 D001500 48 072 A001500 12 072 B001500 3 072 C001500 300 072 D001500 0 072 E001500 0 072 F001500 173 072 G001500 25 072 H001500 0 072 I001500 34 072 J001500 3 072 K001500 0 072 L001500 12 072 M001500 7 072 N001500 55 072 O001500 0 072 P001500 0 072 Q001500 0 072 R001500 17 072 S001500 3 072 T001500 79 072 U001500 0 072 V001500 0 072 W001500 11 072 X001500 419 072 Y001500 117 072 Z001500 1 072AA001500 1797 072BB001500 0 072CC011500 1217 072CC021500 0 072DD011500 0 072DD021500 0 072EE001500 0 073 A011500 0.0000 073 A021500 0.0000 073 B001500 0.0000 073 C001500 0.0000 PAGE 30 074 A001500 1 074 B001500 0 074 C001500 0 074 D001500 0 074 E001500 0 074 F001500 20277 074 G001500 0 074 H001500 0 074 I001500 733 074 J001500 0 074 K001500 2 074 L001500 35 074 M001500 41 074 N001500 21089 074 O001500 0 074 P001500 6 074 Q001500 0 074 R011500 0 074 R021500 0 074 R031500 0 074 R041500 56 074 S001500 0 074 T001500 21027 074 U011500 0 074 U021500 0 074 V011500 0.00 074 V021500 0.00 074 W001500 0.0000 074 X001500 509 074 Y001500 0 075 A001500 0 075 B001500 20766 076 001500 0.00 008 A001801 SECURITY INVESTORS, LLC 008 B001801 A 008 C001801 801-8008 008 D011801 Rockville 008 D021801 MD 008 D031801 20850 015 A001801 BANK OF NEW YORK MELLON 015 B001801 C 015 C011801 EAST SYRACUSE 015 C021801 NY 015 C031801 13057 015 E011801 X 024 001800 N 028 A011800 133 028 A021800 0 028 A031800 0 028 A041800 2847 028 B011800 132 PAGE 31 028 B021800 0 028 B031800 0 028 B041800 820 028 C011800 211 028 C021800 0 028 C031800 0 028 C041800 813 028 D011800 298 028 D021800 0 028 D031800 0 028 D041800 656 028 E011800 160 028 E021800 0 028 E031800 0 028 E041800 1961 028 F011800 1621 028 F021800 0 028 F031800 0 028 F041800 788 028 G011800 2555 028 G021800 0 028 G031800 0 028 G041800 7885 028 H001800 174 029 001800 Y 030 A001800 14 030 B001800 4.75 030 C001800 0.00 031 A001800 9 031 B001800 0 032 001800 5 033 001800 0 034 001800 Y 035 001800 0 036 A001800 Y 036 B001800 0 037 001800 N 038 001800 0 039 001800 Y 040 001800 Y 041 001800 Y 042 A001800 0 042 B001800 0 042 C001800 100 042 D001800 0 042 E001800 0 042 F001800 0 042 G001800 0 042 H001800 0 043 001800 227 044 001800 0 PAGE 32 045 001800 Y 046 001800 N 047 001800 Y 048 001800 0.750 048 A011800 0 048 A021800 0.000 048 B011800 0 048 B021800 0.000 048 C011800 0 048 C021800 0.000 048 D011800 0 048 D021800 0.000 048 E011800 0 048 E021800 0.000 048 F011800 0 048 F021800 0.000 048 G011800 0 048 G021800 0.000 048 H011800 0 048 H021800 0.000 048 I011800 0 048 I021800 0.000 048 J011800 0 048 J021800 0.000 048 K011800 0 048 K021800 0.000 049 001800 N 050 001800 N 051 001800 N 052 001800 N 053 A001800 Y 053 B001800 Y 053 C001800 N 055 A001800 N 055 B001800 Y 056 001800 Y 057 001800 N 058 A001800 N 059 001800 Y 060 A001800 Y 060 B001800 Y 061 001800 2500 062 A001800 N 062 B001800 0.0 062 C001800 0.0 062 D001800 0.0 062 E001800 0.0 062 F001800 0.0 062 G001800 0.0 062 H001800 0.0 062 I001800 0.0 PAGE 33 062 J001800 0.0 062 K001800 0.0 062 L001800 0.0 062 M001800 0.0 062 N001800 0.0 062 O001800 0.0 062 P001800 0.0 062 Q001800 0.0 062 R001800 0.0 066 A001800 Y 066 B001800 N 066 C001800 N 066 D001800 Y 066 E001800 N 066 F001800 N 066 G001800 N 067 001800 N 068 A001800 N 068 B001800 N 069 001800 N 070 A011800 Y 070 A021800 N 070 B011800 Y 070 B021800 N 070 C011800 Y 070 C021800 N 070 D011800 Y 070 D021800 N 070 E011800 Y 070 E021800 N 070 F011800 Y 070 F021800 Y 070 G011800 Y 070 G021800 N 070 H011800 Y 070 H021800 N 070 I011800 Y 070 I021800 N 070 J011800 Y 070 J021800 N 070 K011800 Y 070 K021800 Y 070 L011800 Y 070 L021800 N 070 M011800 Y 070 M021800 N 070 N011800 Y 070 N021800 N 070 O011800 Y 070 O021800 Y 070 P011800 Y PAGE 34 070 P021800 N 070 Q011800 N 070 Q021800 N 070 R011800 Y 070 R021800 N 071 A001800 33218 071 B001800 32181 071 C001800 74634 071 D001800 43 072 A001800 12 072 B001800 15 072 C001800 1736 072 D001800 0 072 E001800 0 072 F001800 598 072 G001800 64 072 H001800 0 072 I001800 87 072 J001800 10 072 K001800 0 072 L001800 0 072 M001800 9 072 N001800 64 072 O001800 4 072 P001800 14 072 Q001800 0 072 R001800 0 072 S001800 0 072 T001800 227 072 U001800 0 072 V001800 0 072 W001800 114 072 X001800 1191 072 Y001800 28 072 Z001800 588 072AA001800 11928 072BB001800 0 072CC011800 428 072CC021800 0 072DD011800 441 072DD021800 0 072EE001800 0 073 A011800 0.0000 073 A021800 0.0000 073 B001800 0.0000 073 C001800 0.0000 074 A001800 130 074 B001800 0 074 C001800 0 074 D001800 0 074 E001800 0 PAGE 35 074 F001800 15727 074 G001800 0 074 H001800 0 074 I001800 68972 074 J001800 0 074 K001800 0 074 L001800 142 074 M001800 31 074 N001800 85002 074 O001800 171 074 P001800 67 074 Q001800 0 074 R011800 0 074 R021800 0 074 R031800 0 074 R041800 1868 074 S001800 0 074 T001800 82896 074 U011800 0 074 U021800 0 074 V011800 0.00 074 V021800 0.00 074 W001800 0.0000 074 X001800 4295 074 Y001800 0 075 A001800 0 075 B001800 79819 076 001800 0.00 008 A001901 Security Investors, LLC 008 B001901 A 008 C001901 801-8008 008 D011901 Rockville 008 D021901 MD 008 D031901 20850 015 A001901 Bank of New York Mellon 015 B001901 C 015 C011901 East Syracuse 015 C021901 NY 015 C031901 13057 015 E011901 X 024 001900 Y 025 A001901 BANK OF AMERICA CORP. 025 B001901 36-4674085 025 C001901 E 025 D001901 1710 025 A001902 CITIGROUP, INC. 025 B001902 UNKNOWN 025 C001902 E 025 D001902 1606 025 A001903 Morgan Stanley 025 B001903 13-2655998 PAGE 36 025 C001903 E 025 D001903 410 025 A001904 SunTrust Banks, Inc. 025 B001904 Unknown 025 C001904 E 025 D001904 700 025 A001905 JPMorgan Chase & Co. 025 B001905 Unknown 025 C001905 E 025 D001905 2235 028 A011900 414 028 A021900 0 028 A031900 0 028 A041900 1115 028 B011900 552 028 B021900 0 028 B031900 0 028 B041900 1045 028 C011900 192 028 C021900 0 028 C031900 0 028 C041900 1904 028 D011900 415 028 D021900 0 028 D031900 0 028 D041900 1399 028 E011900 191 028 E021900 0 028 E031900 0 028 E041900 1447 028 F011900 330 028 F021900 0 028 F031900 0 028 F041900 734 028 G011900 2094 028 G021900 0 028 G031900 0 028 G041900 7644 028 H001900 132 029 001900 Y 030 A001900 11 030 B001900 4.75 030 C001900 0.00 031 A001900 6 031 B001900 0 032 001900 5 033 001900 0 034 001900 Y 035 001900 0 036 A001900 Y 036 B001900 0 PAGE 37 037 001900 N 039 001900 Y 040 001900 Y 041 001900 Y 042 A001900 0 042 B001900 0 042 C001900 100 042 D001900 0 042 E001900 0 042 F001900 0 042 G001900 0 042 H001900 0 043 001900 187 044 001900 0 045 001900 Y 046 001900 N 047 001900 Y 048 001900 0.650 048 A011900 0 048 A021900 0.000 048 B011900 0 048 B021900 0.000 048 C011900 0 048 C021900 0.000 048 D011900 0 048 D021900 0.000 048 E011900 0 048 E021900 0.000 048 F011900 0 048 F021900 0.000 048 G011900 0 048 G021900 0.000 048 H011900 0 048 H021900 0.000 048 I011900 0 048 I021900 0.000 048 J011900 0 048 J021900 0.000 048 K011900 0 048 K021900 0.000 049 001900 N 050 001900 N 051 001900 N 052 001900 N 053 A001900 Y 053 B001900 Y 053 C001900 N 055 A001900 Y 055 B001900 Y 056 001900 Y 057 001900 N PAGE 38 058 A001900 N 059 001900 Y 060 A001900 N 060 B001900 N 061 001900 2500 062 A001900 N 066 A001900 Y 066 B001900 N 066 C001900 N 066 D001900 Y 066 E001900 N 066 F001900 N 066 G001900 N 067 001900 N 068 A001900 N 068 B001900 N 069 001900 N 070 A011900 Y 070 A021900 N 070 B011900 Y 070 B021900 N 070 C011900 Y 070 C021900 N 070 D011900 Y 070 D021900 N 070 E011900 Y 070 E021900 N 070 F011900 Y 070 F021900 N 070 G011900 Y 070 G021900 N 070 H011900 Y 070 H021900 N 070 I011900 Y 070 I021900 N 070 J011900 Y 070 J021900 N 070 K011900 Y 070 K021900 Y 070 L011900 Y 070 L021900 N 070 M011900 Y 070 M021900 N 070 N011900 Y 070 N021900 N 070 O011900 Y 070 O021900 Y 070 P011900 Y 070 P021900 N 070 Q011900 N 070 Q021900 N PAGE 39 070 R011900 Y 070 R021900 N 071 A001900 25311 071 B001900 26563 071 C001900 63544 071 D001900 40 072 A001900 12 072 B001900 5 072 C001900 1297 072 D001900 0 072 E001900 0 072 F001900 423 072 G001900 52 072 H001900 0 072 I001900 41 072 J001900 2 072 K001900 0 072 L001900 36 072 M001900 9 072 N001900 58 072 O001900 0 072 P001900 0 072 Q001900 0 072 R001900 29 072 S001900 6 072 T001900 187 072 U001900 0 072 V001900 0 072 W001900 30 072 X001900 873 072 Y001900 86 072 Z001900 515 072AA001900 5374 072BB001900 0 072CC011900 4482 072CC021900 0 072DD011900 0 072DD021900 0 072EE001900 0 073 A011900 0.0000 073 A021900 0.0000 073 B001900 0.0000 073 C001900 0.0000 074 A001900 0 074 B001900 0 074 C001900 0 074 D001900 0 074 E001900 0 074 F001900 64990 074 G001900 0 074 H001900 0 PAGE 40 074 I001900 491 074 J001900 0 074 K001900 0 074 L001900 61 074 M001900 29 074 N001900 65571 074 O001900 0 074 P001900 24 074 Q001900 0 074 R011900 0 074 R021900 0 074 R031900 0 074 R041900 90 074 S001900 0 074 T001900 65457 074 U011900 0 074 U021900 0 074 V011900 0.00 074 V021900 0.00 074 W001900 0.0000 074 X001900 1574 074 Y001900 0 075 A001900 0 075 B001900 64929 076 001900 0.00 008 A002001 SECURITY INVESTORS, LLC 008 B002001 A 008 C002001 801-8008 008 D012001 ROCKVILLE 008 D022001 MD 008 D032001 20850 015 A002001 BANK OF NEW YORK MELLON 015 B002001 C 015 C012001 EAST SYRACUSE 015 C022001 NY 015 C032001 13057 015 E012001 X 024 002000 Y 025 A002001 BANK OF AMERICA MERRILL LYNCH 025 B002001 36-4674085 025 C002001 D 025 D002001 3383 025 A002002 CITIGROUP GLOBAL MARKETS 025 B002002 UNKNOWN 025 C002002 D 025 D002002 3694 025 A002003 JP MORGAN 025 B002003 UNKNOWN 025 C002003 D 025 D002003 870 028 A012000 13046 PAGE 41 028 A022000 1 028 A032000 0 028 A042000 12777 028 B012000 20038 028 B022000 825 028 B032000 0 028 B042000 9534 028 C012000 13737 028 C022000 764 028 C032000 0 028 C042000 10503 028 D012000 20360 028 D022000 766 028 D032000 0 028 D042000 6451 028 E012000 15253 028 E022000 1014 028 E032000 0 028 E042000 11238 028 F012000 12013 028 F022000 1740 028 F032000 0 028 F042000 5474 028 G012000 94447 028 G022000 5110 028 G032000 0 028 G042000 55977 028 H002000 3338 029 002000 Y 030 A002000 123 030 B002000 4.00 030 C002000 0.00 031 A002000 14 031 B002000 0 032 002000 109 033 002000 0 034 002000 Y 035 002000 1 036 A002000 Y 037 002000 N 038 002000 0 039 002000 Y 040 002000 Y 041 002000 Y 042 A002000 0 042 B002000 0 042 C002000 100 042 D002000 0 042 E002000 0 042 F002000 0 042 G002000 0 PAGE 42 042 H002000 0 043 002000 732 044 002000 0 045 002000 Y 046 002000 N 047 002000 Y 048 002000 0.000 048 A012000 5000000 048 A022000 0.500 048 K012000 5000000 048 K022000 0.450 049 002000 N 050 002000 N 051 002000 N 052 002000 N 053 A002000 Y 053 B002000 Y 053 C002000 N 055 A002000 Y 055 B002000 N 056 002000 N 057 002000 N 058 A002000 N 059 002000 Y 060 A002000 Y 060 B002000 Y 061 002000 2500 062 A002000 Y 062 B002000 0.0 062 C002000 0.0 062 D002000 0.0 062 E002000 0.0 062 F002000 0.0 062 G002000 0.0 062 H002000 0.0 062 I002000 9.3 062 J002000 0.0 062 K002000 0.0 062 L002000 0.0 062 M002000 8.1 062 N002000 3.8 062 O002000 1.3 062 P002000 11.2 062 Q002000 69.1 062 R002000 1.2 063 B002000 10.7 064 A002000 N 064 B002000 Y 065 002000 N 066 A002000 N 066 B002000 PAGE 43 066 C002000 066 D002000 066 E002000 066 F002000 066 G002000 067 002000 N 068 A002000 N 068 B002000 N 069 002000 N 070 A012000 Y 070 A022000 N 070 B012000 Y 070 B022000 Y 070 C012000 Y 070 C022000 N 070 D012000 Y 070 D022000 N 070 E012000 Y 070 E022000 N 070 F012000 Y 070 F022000 N 070 G012000 Y 070 G022000 N 070 H012000 Y 070 H022000 N 070 I012000 Y 070 I022000 N 070 J012000 Y 070 J022000 Y 070 K012000 Y 070 K022000 N 070 L012000 Y 070 L022000 N 070 M012000 Y 070 M022000 Y 070 N012000 Y 070 N022000 N 070 O012000 Y 070 O022000 N 070 P012000 Y 070 P022000 Y 070 Q012000 N 070 Q022000 N 070 R012000 Y 070 R022000 N 071 A002000 324631 071 B002000 247857 071 C002000 304642 071 D002000 81 072 A002000 12 072 B002000 13062 PAGE 44 072 C002000 180 072 D002000 0 072 E002000 0 072 F002000 1570 072 G002000 252 072 H002000 0 072 I002000 209 072 J002000 22 072 K002000 0 072 L002000 90 072 M002000 12 072 N002000 72 072 O002000 0 072 P002000 0 072 Q002000 0 072 R002000 38 072 S002000 28 072 T002000 732 072 U002000 0 072 V002000 0 072 W002000 208 072 X002000 3233 072 Y002000 152 072 Z002000 10161 072AA002000 1038 072BB002000 0 072CC012000 0 072CC022000 191 072DD012000 0 072DD022000 0 072EE002000 0 073 A012000 0.0000 073 A022000 0.0000 073 B002000 0.0000 073 C002000 0.0000 074 A002000 1159 074 B002000 0 074 C002000 63335 074 D002000 305726 074 E002000 3201 074 F002000 39 074 G002000 36 074 H002000 0 074 I002000 377 074 J002000 1788 074 K002000 0 074 L002000 1808 074 M002000 63 074 N002000 377532 074 O002000 18610 074 P002000 152 PAGE 45 074 Q002000 0 074 R012000 0 074 R022000 8 074 R032000 0 074 R042000 738 074 S002000 0 074 T002000 358024 074 U012000 0 074 U022000 0 074 V012000 0.00 074 V022000 0.00 074 W002000 0.0000 074 X002000 3980 074 Y002000 1077 075 A002000 0 075 B002000 314770 076 002000 0.00 008 A002101 GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT 008 B002101 A 008 C002101 801-66786 008 D012101 SANTA MONICA 008 D022101 CA 008 D032101 90401 015 A002101 BANK OF NEW YORK MELLON 015 B002101 C 015 C012101 EAST SYRACUSE 015 C022101 NY 015 C032101 13057 015 E012101 X 024 002100 Y 025 A002101 JPMORGAN CHASE & CO 025 B002101 UNKNOWN 025 C002101 D 025 D002101 76832 025 A002102 JPMORGAN CHASE & CO. 025 B002102 UNKNOWN 025 C002102 E 025 D002102 1161 025 A002103 BANK OF AMERICA MERRILL LYNCH 025 B002103 36-4674085 025 C002103 D 025 D002103 70170 025 A002104 Goldman Sachs 025 B002104 13-5108880 025 C002104 D 025 D002104 29936 025 A002105 Citigroup 025 B002105 Unknown 025 C002105 D 025 D002105 71335 028 A012100 352950 PAGE 46 028 A022100 -15 028 A032100 0 028 A042100 113483 028 B012100 368048 028 B022100 12244 028 B032100 0 028 B042100 119215 028 C012100 260363 028 C022100 15443 028 C032100 0 028 C042100 116099 028 D012100 191424 028 D022100 13514 028 D032100 0 028 D042100 109590 028 E012100 297378 028 E022100 12382 028 E032100 0 028 E042100 193735 028 F012100 304790 028 F022100 28578 028 F032100 0 028 F042100 135312 028 G012100 1774953 028 G022100 82146 028 G032100 0 028 G042100 787434 028 H002100 84087 029 002100 Y 030 A002100 2696 030 B002100 4.00 030 C002100 0.00 031 A002100 267 031 B002100 0 032 002100 2429 033 002100 0 034 002100 Y 035 002100 1 036 A002100 Y 036 B002100 0 037 002100 N 039 002100 Y 040 002100 Y 041 002100 Y 042 A002100 0 042 B002100 0 042 C002100 0 042 D002100 0 042 E002100 0 042 F002100 0 042 G002100 0 PAGE 47 042 H002100 0 043 002100 6356 044 002100 0 045 002100 Y 046 002100 N 047 002100 Y 048 002100 0.000 048 A012100 5000000 048 A022100 0.890 048 K012100 5000000 048 K022100 0.840 049 002100 N 050 002100 N 051 002100 N 052 002100 N 053 A002100 Y 053 B002100 Y 053 C002100 N 055 A002100 Y 055 B002100 N 056 002100 Y 057 002100 N 058 A002100 N 059 002100 Y 060 A002100 N 060 B002100 N 061 002100 2500 062 A002100 Y 062 B002100 0.0 062 C002100 0.0 062 D002100 0.1 062 E002100 0.0 062 F002100 0.0 062 G002100 0.0 062 H002100 0.0 062 I002100 12.2 062 J002100 0.0 062 K002100 0.1 062 L002100 4.1 062 M002100 0.0 062 N002100 0.0 062 O002100 0.0 062 P002100 11.8 062 Q002100 18.2 062 R002100 56.0 063 B002100 7.3 064 A002100 N 064 B002100 N 065 002100 066 A002100 N 066 B002100 PAGE 48 066 C002100 066 D002100 066 E002100 066 F002100 066 G002100 067 002100 N 068 A002100 N 068 B002100 N 069 002100 N 070 A012100 Y 070 A022100 Y 070 B012100 Y 070 B022100 Y 070 C012100 Y 070 C022100 N 070 D012100 Y 070 D022100 N 070 E012100 Y 070 E022100 N 070 F012100 Y 070 F022100 N 070 G012100 Y 070 G022100 N 070 H012100 Y 070 H022100 N 070 I012100 Y 070 I022100 N 070 J012100 Y 070 J022100 Y 070 K012100 Y 070 K022100 Y 070 L012100 Y 070 L022100 Y 070 M012100 Y 070 M022100 Y 070 N012100 Y 070 N022100 N 070 O012100 Y 070 O022100 N 070 P012100 Y 070 P022100 Y 070 Q012100 N 070 Q022100 N 070 R012100 Y 070 R022100 Y 071 A002100 4679890 071 B002100 2619869 071 C002100 4325608 071 D002100 61 072 A002100 12 072 B002100 219246 PAGE 49 072 C002100 11435 072 D002100 0 072 E002100 0 072 F002100 42733 072 G002100 3856 072 H002100 0 072 I002100 2780 072 J002100 107 072 K002100 0 072 L002100 241 072 M002100 65 072 N002100 376 072 O002100 0 072 P002100 293 072 Q002100 0 072 R002100 124 072 S002100 550 072 T002100 6356 072 U002100 0 072 V002100 0 072 W002100 1254 072 X002100 58735 072 Y002100 6962 072 Z002100 178908 072AA002100 64276 072BB002100 0 072CC012100 40466 072CC022100 0 072DD012100 180706 072DD022100 0 072EE002100 0 073 A012100 0.0000 073 A022100 0.0000 073 B002100 0.0000 073 C002100 0.0000 074 A002100 10356 074 B002100 4234 074 C002100 975180 074 D002100 4371795 074 E002100 18782 074 F002100 181165 074 G002100 6515 074 H002100 0 074 I002100 693621 074 J002100 19547 074 K002100 0 074 L002100 77565 074 M002100 3416 074 N002100 6362176 074 O002100 222162 074 P002100 3377 PAGE 50 074 Q002100 0 074 R012100 0 074 R022100 5243 074 R032100 132 074 R042100 23121 074 S002100 0 074 T002100 6108141 074 U012100 0 074 U022100 0 074 V012100 0.00 074 V022100 0.00 074 W002100 0.0000 074 X002100 17644 074 Y002100 7078 075 A002100 0 075 B002100 4801150 076 002100 0.00 008 A002201 GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT 008 B002201 A 008 C002201 801-66786 008 D012201 SANTA MONICA 008 D022201 CA 008 D032201 90401 015 A002201 BANK OF NEW YORK MELLON 015 B002201 C 015 C012201 EAST SYRACUSE 015 C022201 NY 015 C032201 13057 015 E012201 X 024 002200 N 028 A012200 230250 028 A022200 239 028 A032200 0 028 A042200 156542 028 B012200 139236 028 B022200 10097 028 B032200 0 028 B042200 139906 028 C012200 135133 028 C022200 7944 028 C032200 0 028 C042200 121007 028 D012200 156726 028 D022200 10424 028 D032200 0 028 D042200 87263 028 E012200 126363 028 E022200 9071 028 E032200 0 028 E042200 123566 028 F012200 76577 PAGE 51 028 F022200 19812 028 F032200 0 028 F042200 143704 028 G012200 864285 028 G022200 57587 028 G032200 0 028 G042200 771988 028 H002200 21005 029 002200 Y 030 A002200 1109 030 B002200 3.00 030 C002200 0.00 031 A002200 74 031 B002200 0 032 002200 1035 033 002200 0 034 002200 Y 035 002200 9 036 A002200 Y 036 B002200 0 037 002200 N 038 002200 0 039 002200 Y 040 002200 Y 041 002200 Y 042 A002200 0 042 B002200 0 042 C002200 100 042 D002200 0 042 E002200 0 042 F002200 0 042 G002200 0 042 H002200 0 043 002200 4073 044 002200 0 045 002200 Y 046 002200 N 047 002200 Y 048 002200 0.000 048 A012200 5000000 048 A022200 0.650 048 B012200 0 048 B022200 0.000 048 C012200 0 048 C022200 0.000 048 D012200 0 048 D022200 0.000 048 E012200 0 048 E022200 0.000 048 F012200 0 048 F022200 0.000 PAGE 52 048 G012200 0 048 G022200 0.000 048 H012200 0 048 H022200 0.000 048 I012200 0 048 I022200 0.000 048 J012200 0 048 J022200 0.000 048 K012200 5000000 048 K022200 0.600 049 002200 N 050 002200 N 051 002200 N 052 002200 N 053 A002200 Y 053 B002200 Y 053 C002200 N 055 A002200 N 055 B002200 N 056 002200 Y 057 002200 N 058 A002200 N 059 002200 Y 060 A002200 Y 060 B002200 Y 061 002200 2500 062 A002200 Y 062 B002200 0.0 062 C002200 0.0 062 D002200 0.0 062 E002200 0.0 062 F002200 0.0 062 G002200 0.0 062 H002200 0.0 062 I002200 6.8 062 J002200 0.0 062 K002200 0.0 062 L002200 2.6 062 M002200 0.0 062 N002200 0.0 062 O002200 0.0 062 P002200 4.8 062 Q002200 89.3 062 R002200 0.7 063 A002200 0 063 B002200 5.2 064 A002200 N 064 B002200 N 065 002200 066 A002200 N 066 B002200 PAGE 53 066 C002200 066 D002200 066 E002200 066 F002200 066 G002200 067 002200 N 068 A002200 N 068 B002200 N 069 002200 N 070 A012200 Y 070 A022200 N 070 B012200 Y 070 B022200 N 070 C012200 Y 070 C022200 N 070 D012200 Y 070 D022200 N 070 E012200 Y 070 E022200 N 070 F012200 Y 070 F022200 N 070 G012200 Y 070 G022200 N 070 H012200 Y 070 H022200 N 070 I012200 Y 070 I022200 N 070 J012200 Y 070 J022200 Y 070 K012200 Y 070 K022200 Y 070 L012200 Y 070 L022200 Y 070 M012200 Y 070 M022200 Y 070 N012200 Y 070 N022200 N 070 O012200 Y 070 O022200 N 070 P012200 Y 070 P022200 Y 070 Q012200 N 070 Q022200 N 070 R012200 Y 070 R022200 N 071 A002200 2643193 071 B002200 1358494 071 C002200 3071845 071 D002200 44 072 A002200 12 072 B002200 152019 PAGE 54 072 C002200 500 072 D002200 0 072 E002200 0 072 F002200 21470 072 G002200 2646 072 H002200 0 072 I002200 2000 072 J002200 84 072 K002200 0 072 L002200 134 072 M002200 73 072 N002200 342 072 O002200 0 072 P002200 541 072 Q002200 0 072 R002200 74 072 S002200 227 072 T002200 4073 072 U002200 0 072 V002200 0 072 W002200 163 072 X002200 31827 072 Y002200 1751 072 Z002200 122443 072AA002200 0 072BB002200 12763 072CC012200 20372 072CC022200 0 072DD012200 0 072DD022200 0 072EE002200 0 073 A012200 0.0000 073 A022200 0.0000 073 B002200 0.0000 073 C002200 0.0000 074 A002200 5829 074 B002200 0 074 C002200 249908 074 D002200 3474002 074 E002200 0 074 F002200 65 074 G002200 0 074 H002200 0 074 I002200 125653 074 J002200 3616 074 K002200 0 074 L002200 15265 074 M002200 238 074 N002200 3874576 074 O002200 168611 074 P002200 1631 PAGE 55 074 Q002200 0 074 R012200 0 074 R022200 0 074 R032200 0 074 R042200 14193 074 S002200 0 074 T002200 3690141 074 U012200 0 074 U022200 0 074 V012200 0.00 074 V022200 0.00 074 W002200 0.0000 074 X002200 10584 074 Y002200 540 075 A002200 0 075 B002200 3275 076 002200 0.00 008 A002301 GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT 008 B002301 A 008 C002301 801-66786 008 D012301 SANTA MONICA 008 D022301 CA 008 D032301 90401 015 A002301 BANK OF NEW YORK MELLON 015 B002301 C 015 C012301 EAST SYRACUSE 015 C022301 NY 015 C032301 13057 015 E012301 X 024 002300 Y 025 A002301 BANK OF AMERICA MERRILL LYNCH 025 B002301 36-4674085 025 C002301 D 025 D002301 67315 025 A002302 CITIGROUP GLOBAL MARKETS 025 B002302 UNKNOWN 025 C002302 D 025 D002302 88525 025 A002303 MORGAN STANLEY 025 B002303 13-2655998 025 C002303 D 025 D002303 1116 025 A002304 JPMORGAN CHASE & CO. 025 B002304 UNKNOWN 025 C002304 D 025 D002304 13212 025 A002305 BARCLAYS CAPITAL INC. 025 B002305 UNKNOWN 025 C002305 D 025 D002305 1671 028 A012300 420476 PAGE 56 028 A022300 10 028 A032300 0 028 A042300 93220 028 B012300 650519 028 B022300 13348 028 B032300 0 028 B042300 112134 028 C012300 482322 028 C022300 16758 028 C032300 0 028 C042300 123510 028 D012300 452835 028 D022300 15680 028 D032300 0 028 D042300 111066 028 E012300 427424 028 E022300 16334 028 E032300 0 028 E042300 160732 028 F012300 415948 028 F022300 35835 028 F032300 0 028 F042300 181738 028 G012300 2849524 028 G022300 97965 028 G032300 0 028 G042300 782400 028 H002300 51112 029 002300 Y 030 A002300 1439 030 B002300 4.00 030 C002300 0.00 031 A002300 185 031 B002300 0 032 002300 1254 033 002300 0 034 002300 Y 035 002300 11 036 A002300 Y 036 B002300 0 037 002300 N 038 002300 0 039 002300 Y 040 002300 Y 041 002300 Y 042 A002300 0 042 B002300 0 042 C002300 100 042 D002300 0 042 E002300 0 042 F002300 0 PAGE 57 042 G002300 0 042 H002300 0 043 002300 4777 044 002300 0 045 002300 Y 046 002300 N 047 002300 Y 048 002300 0.000 048 A012300 5000000 048 A022300 0.500 048 B012300 0 048 B022300 0.000 048 C012300 0 048 C022300 0.000 048 D012300 0 048 D022300 0.000 048 E012300 0 048 E022300 0.000 048 F012300 0 048 F022300 0.000 048 G012300 0 048 G022300 0.000 048 H012300 0 048 H022300 0.000 048 I012300 0 048 I022300 0.000 048 J012300 0 048 J022300 0.000 048 K012300 5000000 048 K022300 0.450 049 002300 N 050 002300 N 051 002300 N 052 002300 N 053 A002300 Y 053 B002300 Y 053 C002300 N 055 A002300 N 055 B002300 N 056 002300 Y 057 002300 N 058 A002300 N 059 002300 Y 060 A002300 N 060 B002300 Y 061 002300 2500 062 A002300 Y 062 B002300 0.0 062 C002300 0.0 062 D002300 0.0 062 E002300 0.0 PAGE 58 062 F002300 0.0 062 G002300 0.0 062 H002300 0.0 062 I002300 3.6 062 J002300 0.0 062 K002300 0.0 062 L002300 0.0 062 M002300 9.3 062 N002300 3.4 062 O002300 1.1 062 P002300 10.8 062 Q002300 70.5 062 R002300 3.6 063 B002300 11.0 064 A002300 N 064 B002300 Y 065 002300 N 066 A002300 N 066 B002300 066 C002300 066 D002300 066 E002300 066 F002300 066 G002300 067 002300 N 068 A002300 N 068 B002300 N 069 002300 N 070 A012300 Y 070 A022300 N 070 B012300 Y 070 B022300 Y 070 C012300 Y 070 C022300 N 070 D012300 Y 070 D022300 N 070 E012300 Y 070 E022300 N 070 F012300 Y 070 F022300 N 070 G012300 Y 070 G022300 N 070 H012300 Y 070 H022300 N 070 I012300 Y 070 I022300 N 070 J012300 Y 070 J022300 Y 070 K012300 Y 070 K022300 Y 070 L012300 Y PAGE 59 070 L022300 Y 070 M012300 Y 070 M022300 Y 070 N012300 Y 070 N022300 N 070 O012300 Y 070 O022300 N 070 P012300 Y 070 P022300 Y 070 Q012300 N 070 Q022300 N 070 R012300 Y 070 R022300 N 071 A002300 7542954 071 B002300 4017890 071 C002300 5597910 071 D002300 72 072 A002300 12 072 B002300 225293 072 C002300 3840 072 D002300 0 072 E002300 0 072 F002300 28157 072 G002300 4595 072 H002300 0 072 I002300 3872 072 J002300 134 072 K002300 0 072 L002300 265 072 M002300 101 072 N002300 459 072 O002300 0 072 P002300 1737 072 Q002300 0 072 R002300 97 072 S002300 587 072 T002300 4777 072 U002300 0 072 V002300 0 072 W002300 201 072 X002300 44982 072 Y002300 9134 072 Z002300 193285 072AA002300 5194 072BB002300 0 072CC012300 43798 072CC022300 0 072DD012300 0 072DD022300 0 072EE002300 0 073 A012300 0.0000 PAGE 60 073 A022300 0.0000 073 B002300 0.0000 073 C002300 0.0000 074 A002300 39523 074 B002300 0 074 C002300 289013 074 D002300 7602938 074 E002300 1140 074 F002300 30 074 G002300 0 074 H002300 0 074 I002300 295291 074 J002300 164179 074 K002300 0 074 L002300 57490 074 M002300 370 074 N002300 8449974 074 O002300 425475 074 P002300 1314 074 Q002300 0 074 R012300 0 074 R022300 0 074 R032300 177 074 R042300 21592 074 S002300 0 074 T002300 8001416 074 U012300 0 074 U022300 0 074 V012300 0.00 074 V022300 0.00 074 W002300 0.0000 074 X002300 20845 074 Y002300 27320 075 A002300 0 075 B002300 5753 076 002300 0.00 008 A002401 SECURITY INVESTORS, LLC 008 B002401 A 008 C002401 801-8008 008 D012401 ROCKVILLE 008 D022401 MD 008 D032401 20850 015 A002401 BANK OF NEW YORK MELLON 015 B002401 C 015 C012401 EAST SYRACUSE 015 C022401 NY 015 C032401 13057 015 E012401 X 024 002400 Y 025 A002401 MORGAN STANLEY 025 B002401 13-2655998 PAGE 61 025 C002401 E 025 D002401 1304 025 A002402 JPMORGAN CHASE & CO. 025 B002402 UNKNOWN 025 C002402 D 025 D002402 1920 025 A002403 CITIGROUP GLOBAL MARKETS 025 B002403 UNKNOWN 025 C002403 D 025 D002403 3816 025 A002404 GOLDMAN SACHS 025 B002404 13-5108880 025 C002404 D 025 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053 B002400 Y 053 C002400 N 055 A002400 N 055 B002400 N 056 002400 N 057 002400 N 058 A002400 N 059 002400 Y 060 A002400 Y 060 B002400 Y 061 002400 2500 062 A002400 Y 062 B002400 0.0 062 C002400 0.0 062 D002400 0.0 062 E002400 0.0 062 F002400 0.0 062 G002400 0.0 062 H002400 0.0 062 I002400 0.0 062 J002400 0.0 062 K002400 0.0 062 L002400 0.3 062 M002400 0.0 PAGE 63 062 N002400 0.0 062 O002400 0.0 062 P002400 72.7 062 Q002400 30.1 062 R002400 2.3 063 B002400 6.4 064 A002400 N 064 B002400 Y 065 002400 N 066 A002400 N 066 B002400 066 C002400 066 D002400 066 E002400 066 F002400 066 G002400 067 002400 N 068 A002400 N 068 B002400 N 069 002400 N 070 A012400 Y 070 A022400 N 070 B012400 Y 070 B022400 N 070 C012400 Y 070 C022400 N 070 D012400 Y 070 D022400 N 070 E012400 Y 070 E022400 N 070 F012400 Y 070 F022400 N 070 G012400 Y 070 G022400 N 070 H012400 Y 070 H022400 N 070 I012400 Y 070 I022400 N 070 J012400 Y 070 J022400 Y 070 K012400 Y 070 K022400 Y 070 L012400 Y 070 L022400 N 070 M012400 Y 070 M022400 Y 070 N012400 Y 070 N022400 N 070 O012400 Y 070 O022400 N 070 P012400 Y PAGE 64 070 P022400 Y 070 Q012400 N 070 Q022400 N 070 R012400 Y 070 R022400 N 071 A002400 547352 071 B002400 261194 071 C002400 420012 071 D002400 62 072 A002400 12 072 B002400 25824 072 C002400 465 072 D002400 0 072 E002400 0 072 F002400 2310 072 G002400 309 072 H002400 0 072 I002400 223 072 J002400 30 072 K002400 0 072 L002400 66 072 M002400 11 072 N002400 70 072 O002400 0 072 P002400 407 072 Q002400 0 072 R002400 28 072 S002400 56 072 T002400 590 072 U002400 0 072 V002400 0 072 W002400 218 072 X002400 4318 072 Y002400 50 072 Z002400 22021 072AA002400 2785 072BB002400 0 072CC012400 6117 072CC022400 0 072DD012400 0 072DD022400 0 072EE002400 0 073 A012400 0.0000 073 A022400 0.0000 073 B002400 0.0000 073 C002400 0.0000 074 A002400 535 074 B002400 0 074 C002400 1425 074 D002400 584486 074 E002400 2844 PAGE 65 074 F002400 2632 074 G002400 0 074 H002400 0 074 I002400 7271 074 J002400 3688 074 K002400 0 074 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0 028 D042500 1416 028 E012500 1910 028 E022500 63 028 E032500 0 028 E042500 890 028 F012500 1876 028 F022500 137 028 F032500 0 028 F042500 2167 028 G012500 7999 028 G022500 390 028 G032500 0 028 G042500 8522 028 H002500 1639 029 002500 Y 030 A002500 39 030 B002500 4.00 030 C002500 0.00 031 A002500 2 031 B002500 0 032 002500 37 033 002500 0 034 002500 Y 035 002500 0 036 A002500 Y 036 B002500 0 037 002500 N 039 002500 Y 040 002500 Y 041 002500 Y 042 A002500 0 042 B002500 0 042 C002500 0 042 D002500 0 042 E002500 0 042 F002500 0 042 G002500 0 042 H002500 0 043 002500 127 044 002500 0 PAGE 67 045 002500 Y 046 002500 N 047 002500 Y 048 002500 0.500 049 002500 N 050 002500 N 051 002500 N 052 002500 N 053 A002500 Y 053 B002500 Y 053 C002500 N 055 A002500 N 055 B002500 N 056 002500 N 057 002500 N 058 A002500 N 059 002500 Y 060 A002500 Y 060 B002500 Y 061 002500 2500 062 A002500 Y 062 B002500 0.0 062 C002500 0.0 062 D002500 0.0 062 E002500 0.0 062 F002500 0.0 062 G002500 0.0 062 H002500 0.0 062 I002500 0.0 062 J002500 0.0 062 K002500 0.0 062 L002500 0.0 062 M002500 0.0 062 N002500 0.0 062 O002500 97.4 062 P002500 0.0 062 Q002500 0.0 062 R002500 1.6 063 B002500 16.5 064 A002500 N 064 B002500 N 065 002500 066 A002500 N 066 B002500 066 C002500 066 D002500 066 E002500 066 F002500 066 G002500 067 002500 N 068 A002500 N PAGE 68 068 B002500 N 069 002500 N 070 A012500 Y 070 A022500 N 070 B012500 Y 070 B022500 N 070 C012500 Y 070 C022500 N 070 D012500 Y 070 D022500 N 070 E012500 Y 070 E022500 N 070 F012500 Y 070 F022500 N 070 G012500 Y 070 G022500 N 070 H012500 Y 070 H022500 N 070 I012500 Y 070 I022500 N 070 J012500 Y 070 J022500 N 070 K012500 Y 070 K022500 N 070 L012500 Y 070 L022500 N 070 M012500 Y 070 M022500 N 070 N012500 Y 070 N022500 N 070 O012500 Y 070 O022500 N 070 P012500 Y 070 P022500 N 070 Q012500 N 070 Q022500 N 070 R012500 Y 070 R022500 N 071 A002500 16508 071 B002500 27293 071 C002500 52675 071 D002500 31 072 A002500 12 072 B002500 1706 072 C002500 0 072 D002500 0 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56755 076 002500 0.00 008 A002601 GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT 008 B002601 A 008 C002601 801-66786 008 D012601 SANTA MONICA 008 D022601 CA 008 D032601 90401 015 A002601 BANK OF NEW YORK MELLON 015 B002601 C 015 C012601 EAST SYRACUSE 015 C022601 NY 015 C032601 13057 015 E012601 X 024 002600 Y 025 A002601 BANK OF AMERICA MERRILL LYNCH 025 B002601 36-4674085 025 C002601 D 025 D002601 21995 025 A002602 GOLDMAN SACHS 025 B002602 13-5108880 025 C002602 D 025 D002602 16782 025 A002603 MORGAN STANLEY 025 B002603 13-2655998 025 C002603 D 025 D002603 15390 025 A002604 JP MORGAN 025 B002604 UNKNOWN 025 C002604 D 025 D002604 11430 028 A012600 185302 028 A022600 0 028 A032600 0 028 A042600 60624 028 B012600 212678 028 B022600 2384 028 B032600 0 028 B042600 78177 028 C012600 314304 028 C022600 2685 028 C032600 0 028 C042600 53060 PAGE 71 028 D012600 219151 028 D022600 2552 028 D032600 0 028 D042600 77014 028 E012600 182284 028 E022600 2917 028 E032600 0 028 E042600 64354 028 F012600 203976 028 F022600 6110 028 F032600 0 028 F042600 114552 028 G012600 1317695 028 G022600 16648 028 G032600 0 028 G042600 447781 028 H002600 234201 029 002600 Y 030 A002600 3840 030 B002600 2.25 030 C002600 0.00 031 A002600 25 031 B002600 0 032 002600 3815 033 002600 0 034 002600 Y 035 002600 9 036 A002600 Y 037 002600 N 039 002600 Y 040 002600 Y 041 002600 Y 042 A002600 0 042 B002600 0 042 C002600 0 042 D002600 0 042 E002600 0 042 F002600 0 042 G002600 0 042 H002600 0 043 002600 1274 044 002600 0 045 002600 Y 046 002600 N 047 002600 Y 048 002600 0.450 049 002600 N 050 002600 N 051 002600 N 052 002600 N 053 A002600 Y PAGE 72 053 B002600 Y 053 C002600 N 055 A002600 N 055 B002600 N 056 002600 N 057 002600 N 058 A002600 N 059 002600 Y 060 A002600 Y 060 B002600 Y 061 002600 2500 062 A002600 Y 062 B002600 0.0 062 C002600 0.0 062 D002600 0.0 062 E002600 0.0 062 F002600 0.0 062 G002600 0.0 062 H002600 0.0 062 I002600 1.5 062 J002600 0.0 062 K002600 0.0 062 L002600 0.0 062 M002600 0.0 062 N002600 0.0 062 O002600 0.0 062 P002600 19.8 062 Q002600 75.1 062 R002600 4.3 063 B002600 5.0 064 A002600 N 064 B002600 Y 065 002600 N 066 A002600 N 066 B002600 066 C002600 066 D002600 066 E002600 066 F002600 066 G002600 067 002600 N 068 A002600 N 068 B002600 N 069 002600 N 070 A012600 Y 070 A022600 N 070 B012600 Y 070 B022600 N 070 C012600 Y 070 C022600 N 070 D012600 Y PAGE 73 070 D022600 N 070 E012600 Y 070 E022600 N 070 F012600 Y 070 F022600 N 070 G012600 Y 070 G022600 N 070 H012600 Y 070 H022600 N 070 I012600 Y 070 I022600 N 070 J012600 Y 070 J022600 Y 070 K012600 Y 070 K022600 Y 070 L012600 Y 070 L022600 N 070 M012600 Y 070 M022600 Y 070 N012600 Y 070 N022600 N 070 O012600 Y 070 O022600 N 070 P012600 Y 070 P022600 Y 070 Q012600 N 070 Q022600 N 070 R012600 Y 070 R022600 N 071 A002600 1731720 071 B002600 654476 071 C002600 1201195 071 D002600 54 072 A002600 12 072 B002600 39960 072 C002600 1182 072 D002600 0 072 E002600 0 072 F002600 6336 072 G002600 1128 072 H002600 0 072 I002600 501 072 J002600 37 072 K002600 0 072 L002600 34 072 M002600 25 072 N002600 162 072 O002600 0 072 P002600 0 072 Q002600 0 072 R002600 38 PAGE 74 072 S002600 115 072 T002600 1274 072 U002600 0 072 V002600 0 072 W002600 238 072 X002600 9888 072 Y002600 760 072 Z002600 32014 072AA002600 3527 072BB002600 0 072CC012600 7480 072CC022600 0 072DD012600 0 072DD022600 0 072EE002600 0 073 A012600 0.0000 073 A022600 0.0000 073 B002600 0.0000 073 C002600 0.0000 074 A002600 2263 074 B002600 0 074 C002600 69670 074 D002600 2171883 074 E002600 0 074 F002600 0 074 G002600 93 074 H002600 0 074 I002600 63609 074 J002600 1410 074 K002600 0 074 L002600 21270 074 M002600 5569 074 N002600 2335767 074 O002600 33005 074 P002600 672 074 Q002600 0 074 R012600 0 074 R022600 0 074 R032600 0 074 R042600 11925 074 S002600 0 074 T002600 2290165 074 U012600 0 074 U022600 0 074 V012600 0.00 074 V022600 0.00 074 W002600 0.0000 074 X002600 526 074 Y002600 1545 075 A002600 0 075 B002600 1417763 PAGE 75 076 002600 0.00 008 A002701 GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT,LLC 008 B002701 A 008 C002701 801-66786 008 D012701 SANTA MONICA 008 D022701 CA 008 D032701 90401 015 A002701 BANK OF NEW YORK MELLON 015 B002701 C 015 C012701 EAST SYRACUSE 015 C022701 NY 015 C032701 13057 015 E012701 X 024 002700 N 028 A012700 484 028 A022700 -11 028 A032700 0 028 A042700 290 028 B012700 1460 028 B022700 0 028 B032700 0 028 B042700 1313 028 C012700 570 028 C022700 0 028 C032700 0 028 C042700 347 028 D012700 6287 028 D022700 463 028 D032700 0 028 D042700 876 028 E012700 4975 028 E022700 0 028 E032700 0 028 E042700 2552 028 F012700 2971 028 F022700 457 028 F032700 0 028 F042700 528 028 G012700 16747 028 G022700 909 028 G032700 0 028 G042700 5906 028 H002700 589 029 002700 Y 030 A002700 13 030 B002700 4.75 030 C002700 0.00 031 A002700 2 031 B002700 0 032 002700 11 033 002700 0 PAGE 76 034 002700 Y 035 002700 0 036 A002700 Y 036 B002700 0 037 002700 N 038 002700 0 039 002700 Y 040 002700 Y 041 002700 Y 042 A002700 0 042 B002700 0 042 C002700 100 042 D002700 0 042 E002700 0 042 F002700 0 042 G002700 0 042 H002700 0 043 002700 10 044 002700 0 045 002700 Y 046 002700 N 047 002700 Y 048 002700 0.750 048 A012700 0 048 A022700 0.000 048 B012700 0 048 B022700 0.000 048 C012700 0 048 C022700 0.000 048 D012700 0 048 D022700 0.000 048 E012700 0 048 E022700 0.000 048 F012700 0 048 F022700 0.000 048 G012700 0 048 G022700 0.000 048 H012700 0 048 H022700 0.000 048 I012700 0 048 I022700 0.000 048 J012700 0 048 J022700 0.000 048 K012700 0 048 K022700 0.000 049 002700 N 050 002700 N 051 002700 N 052 002700 N 053 A002700 Y 053 B002700 Y PAGE 77 053 C002700 N 055 A002700 Y 055 B002700 Y 056 002700 Y 057 002700 N 058 A002700 N 059 002700 Y 060 A002700 N 060 B002700 N 061 002700 2500 062 A002700 N 062 B002700 0.0 062 C002700 0.0 062 D002700 0.0 062 E002700 0.0 062 F002700 0.0 062 G002700 0.0 062 H002700 0.0 062 I002700 0.0 062 J002700 0.0 062 K002700 0.0 062 L002700 0.0 062 M002700 0.0 062 N002700 0.0 062 O002700 0.0 062 P002700 0.0 062 Q002700 0.0 062 R002700 0.0 066 A002700 Y 066 B002700 N 066 C002700 N 066 D002700 N 066 E002700 N 066 F002700 N 066 G002700 Y 067 002700 N 068 A002700 N 068 B002700 N 069 002700 N 070 A012700 Y 070 A022700 N 070 B012700 Y 070 B022700 N 070 C012700 Y 070 C022700 N 070 D012700 Y 070 D022700 N 070 E012700 Y 070 E022700 N 070 F012700 Y 070 F022700 N PAGE 78 070 G012700 Y 070 G022700 N 070 H012700 Y 070 H022700 N 070 I012700 Y 070 I022700 N 070 J012700 Y 070 J022700 N 070 K012700 Y 070 K022700 Y 070 L012700 Y 070 L022700 N 070 M012700 Y 070 M022700 N 070 N012700 Y 070 N022700 N 070 O012700 Y 070 O022700 N 070 P012700 Y 070 P022700 N 070 Q012700 N 070 Q022700 N 070 R012700 Y 070 R022700 Y 071 A002700 131637 071 B002700 113631 071 C002700 133626 071 D002700 85 072 A002700 12 072 B002700 58 072 C002700 1549 072 D002700 0 072 E002700 0 072 F002700 861 072 G002700 92 072 H002700 0 072 I002700 26 072 J002700 9 072 K002700 0 072 L002700 13 072 M002700 9 072 N002700 55 072 O002700 0 072 P002700 15 072 Q002700 0 072 R002700 0 072 S002700 0 072 T002700 11 072 U002700 0 072 V002700 0 072 W002700 100 PAGE 79 072 X002700 1191 072 Y002700 17 072 Z002700 433 072AA002700 7308 072BB002700 0 072CC012700 819 072CC022700 0 072DD012700 0 072DD022700 0 072EE002700 0 073 A012700 0.0000 073 A022700 0.0000 073 B002700 0.0000 073 C002700 0.0000 074 A002700 12294 074 B002700 0 074 C002700 0 074 D002700 0 074 E002700 0 074 F002700 123455 074 G002700 0 074 H002700 0 074 I002700 7620 074 J002700 77 074 K002700 0 074 L002700 597 074 M002700 39 074 N002700 144082 074 O002700 0 074 P002700 69 074 Q002700 0 074 R012700 0 074 R022700 14103 074 R032700 0 074 R042700 1389 074 S002700 0 074 T002700 128521 074 U012700 0 074 U022700 0 074 V012700 0.00 074 V022700 0.00 074 W002700 0.0000 074 X002700 110 074 Y002700 12294 075 A002700 0 075 B002700 115089 076 002700 0.00 008 A002801 Guggenheim Partners Investment Mgmt, LLC 008 B002801 A 008 C002801 801-66786 008 D012801 Santa Monica PAGE 80 008 D022801 CA 008 D032801 90401 008 A002802 Concinnity Advisors, LLP 008 B002802 S 008 C002802 801-78298 008 D012802 Irvington 008 D022802 NY 008 D032802 10533 015 A002801 BANK OF NEW YORK MELLON 015 B002801 C 015 C012801 East Syracuse 015 C022801 NY 015 C032801 13057 015 E012801 X 024 002800 Y 025 A002801 Goldman Sachs 025 B002801 15-5108880 025 C002801 E 025 D002801 980 025 A002802 Citigroup, Inc 025 B002802 Unknown 025 C002802 E 025 D002802 3096 025 A002803 JPMorgan Chase & Co. 025 B002803 Unknown 025 C002803 E 025 D002803 5870 028 A012800 0 028 A022800 0 028 A032800 0 028 A042800 1400 028 B012800 0 028 B022800 0 028 B032800 0 028 B042800 2319 028 C012800 0 028 C022800 0 028 C032800 0 028 C042800 2237 028 D012800 0 028 D022800 0 028 D032800 0 028 D042800 4551 028 E012800 0 028 E022800 0 028 E032800 0 028 E042800 1773 028 F012800 0 028 F022800 0 028 F032800 0 028 F042800 4526 PAGE 81 028 G012800 0 028 G022800 0 028 G032800 0 028 G042800 16806 028 H002800 0 029 002800 N 030 B002800 0.00 030 C002800 0.00 034 002800 N 035 002800 0 036 A002800 036 B002800 0 037 002800 N 039 002800 Y 040 002800 N 041 002800 045 002800 Y 046 002800 N 047 002800 Y 048 002800 0.900 049 002800 N 050 002800 N 051 002800 N 052 002800 N 053 A002800 N 055 A002800 N 055 B002800 N 056 002800 N 057 002800 N 058 A002800 N 059 002800 Y 060 A002800 Y 060 B002800 Y 061 002800 2000000 062 A002800 N 066 A002800 Y 066 B002800 N 066 C002800 Y 066 D002800 N 066 E002800 N 066 F002800 N 066 G002800 N 067 002800 N 068 A002800 N 068 B002800 N 069 002800 N 070 A012800 Y 070 A022800 N 070 B012800 Y 070 B022800 N 070 C012800 Y PAGE 82 070 C022800 N 070 D012800 Y 070 D022800 N 070 E012800 Y 070 E022800 N 070 F012800 Y 070 F022800 N 070 G012800 Y 070 G022800 N 070 H012800 Y 070 H022800 N 070 I012800 Y 070 I022800 N 070 J012800 Y 070 J022800 N 070 K012800 Y 070 K022800 Y 070 L012800 Y 070 L022800 N 070 M012800 Y 070 M022800 N 070 N012800 Y 070 N022800 N 070 O012800 Y 070 O022800 N 070 P012800 Y 070 P022800 N 070 Q012800 N 070 Q022800 N 070 R012800 Y 070 R022800 N 071 A002800 336152 071 B002800 355377 071 C002800 215547 071 D002800 156 072 A002800 12 072 B002800 4 072 C002800 4854 072 D002800 0 072 E002800 0 072 F002800 1941 072 G002800 173 072 H002800 0 072 I002800 26 072 J002800 13 072 K002800 0 072 L002800 1 072 M002800 5 072 N002800 4 072 O002800 0 072 P002800 0 PAGE 83 072 Q002800 0 072 R002800 21 072 S002800 18 072 T002800 0 072 U002800 0 072 V002800 0 072 W002800 5 072 X002800 2207 072 Y002800 0 072 Z002800 2651 072AA002800 16370 072BB002800 0 072CC012800 11150 072CC022800 0 072DD012800 2861 072DD022800 0 072EE002800 7196 073 A012800 0.3700 073 A022800 0.0000 073 B002800 0.9200 073 C002800 0.0000 074 A002800 4 074 B002800 0 074 C002800 0 074 D002800 0 074 E002800 0 074 F002800 217114 074 G002800 0 074 H002800 0 074 I002800 2263 074 J002800 0 074 K002800 0 074 L002800 157 074 M002800 10 074 N002800 219548 074 O002800 0 074 P002800 160 074 Q002800 0 074 R012800 0 074 R022800 0 074 R032800 0 074 R042800 3380 074 S002800 0 074 T002800 216008 074 U012800 7420 074 U022800 0 074 V012800 29.11 074 V022800 0.00 074 W002800 0.0000 074 X002800 10 074 Y002800 0 PAGE 84 075 A002800 0 075 B002800 215614 076 002800 0.00 008 A002901 SECURITY INVESTORS, LLC 008 B002901 A 008 C002901 801-8008 008 D012901 ROCKVILLE 008 D022901 MD 008 D032901 20850 015 A002901 BANK OF NEW YORK MELLON 015 B002901 C 015 C012901 EAST SYRACUSE 015 C022901 NY 015 C032901 13057 015 E012901 X 024 002900 Y 025 A002901 JP Morgan Chase & Co 025 B002901 UNKNOWN 025 C002901 E 025 D002901 1504 028 A012900 1845 028 A022900 0 028 A032900 0 028 A042900 5114 028 B012900 5209 028 B022900 0 028 B032900 0 028 B042900 6102 028 C012900 1305 028 C022900 0 028 C032900 0 028 C042900 1390 028 D012900 3112 028 D022900 0 028 D032900 0 028 D042900 2268 028 E012900 1389 028 E022900 0 028 E032900 0 028 E042900 1948 028 F012900 1822 028 F022900 34 028 F032900 0 028 F042900 1792 028 G012900 14682 028 G022900 34 028 G032900 0 028 G042900 18614 028 H002900 421 029 002900 Y 030 A002900 16 PAGE 85 030 B002900 4.75 030 C002900 0.00 031 A002900 4 031 B002900 0 032 002900 13 033 002900 0 034 002900 Y 035 002900 1 036 A002900 Y 037 002900 N 039 002900 Y 040 002900 Y 041 002900 Y 042 A002900 0 042 B002900 0 042 C002900 100 042 D002900 0 042 E002900 0 042 F002900 0 042 G002900 0 042 H002900 0 043 002900 92 044 002900 0 045 002900 Y 046 002900 N 047 002900 Y 048 002900 0.900 049 002900 N 050 002900 N 051 002900 N 052 002900 N 053 A002900 Y 053 B002900 Y 053 C002900 N 055 A002900 Y 055 B002900 Y 056 002900 Y 057 002900 N 058 A002900 N 059 002900 Y 060 A002900 Y 060 B002900 Y 061 002900 2500 062 A002900 N 066 A002900 Y 066 B002900 N 066 C002900 N 066 D002900 Y 066 E002900 N 066 F002900 N 066 G002900 N PAGE 86 067 002900 N 068 A002900 N 068 B002900 N 069 002900 N 070 A012900 Y 070 A022900 N 070 B012900 Y 070 B022900 N 070 C012900 Y 070 C022900 N 070 D012900 Y 070 D022900 N 070 E012900 Y 070 E022900 N 070 F012900 Y 070 F022900 N 070 G012900 Y 070 G022900 N 070 H012900 Y 070 H022900 N 070 I012900 Y 070 I022900 N 070 J012900 Y 070 J022900 N 070 K012900 Y 070 K022900 Y 070 L012900 Y 070 L022900 N 070 M012900 Y 070 M022900 N 070 N012900 Y 070 N022900 N 070 O012900 Y 070 O022900 Y 070 P012900 Y 070 P022900 Y 070 Q012900 N 070 Q022900 N 070 R012900 Y 070 R022900 N 071 A002900 437726 071 B002900 298750 071 C002900 325166 071 D002900 92 072 A002900 12 072 B002900 67 072 C002900 3306 072 D002900 0 072 E002900 0 072 F002900 1863 072 G002900 136 PAGE 87 072 H002900 0 072 I002900 69 072 J002900 15 072 K002900 0 072 L002900 22 072 M002900 9 072 N002900 66 072 O002900 0 072 P002900 0 072 Q002900 0 072 R002900 27 072 S002900 15 072 T002900 92 072 U002900 0 072 V002900 0 072 W002900 253 072 X002900 2567 072 Y002900 19 072 Z002900 825 072AA002900 13611 072BB002900 0 072CC012900 0 072CC022900 3955 072DD012900 0 072DD022900 0 072EE002900 58 073 A012900 0.0000 073 A022900 0.0000 073 B002900 0.0000 073 C002900 0.0000 074 A002900 1 074 B002900 0 074 C002900 0 074 D002900 0 074 E002900 0 074 F002900 217759 074 G002900 0 074 H002900 0 074 I002900 17502 074 J002900 32 074 K002900 0 074 L002900 292 074 M002900 34 074 N002900 235620 074 O002900 0 074 P002900 159 074 Q002900 0 074 R012900 0 074 R022900 0 074 R032900 0 074 R042900 14042 PAGE 88 074 S002900 0 074 T002900 221419 074 U012900 0 074 U022900 0 074 V012900 0.00 074 V022900 0.00 074 W002900 0.0000 074 X002900 618 074 Y002900 87284 075 A002900 0 075 B002900 168475 076 002900 0.00 008 A003001 GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT 008 B003001 A 008 C003001 801-66786 008 D013001 SANTA MONICA 008 D023001 CA 008 D033001 90401 015 A003001 BANK OF NEW YORK MELLON 015 B003001 C 015 C013001 EAST SYRACUSE 015 C023001 NY 015 C033001 13057 015 E013001 X 024 003000 N 028 A013000 0 028 A023000 0 028 A033000 0 028 A043000 0 028 B013000 0 028 B023000 17 028 B033000 0 028 B043000 22 028 C013000 4 028 C023000 16 028 C033000 0 028 C043000 0 028 D013000 8 028 D023000 26 028 D033000 0 028 D043000 0 028 E013000 2 028 E023000 19 028 E033000 0 028 E043000 0 028 F013000 10 028 F023000 34 028 F033000 0 028 F043000 8 028 G013000 24 028 G023000 112 PAGE 89 028 G033000 0 028 G043000 30 028 H003000 0 029 003000 Y 030 A003000 0 030 B003000 4.00 030 C003000 0.00 031 A003000 0 031 B003000 0 032 003000 0 033 003000 0 034 003000 Y 035 003000 0 036 A003000 Y 037 003000 N 038 003000 0 039 003000 Y 040 003000 Y 041 003000 Y 042 A003000 0 042 B003000 0 042 C003000 100 042 D003000 0 042 E003000 0 042 F003000 0 042 G003000 0 042 H003000 0 043 003000 2 044 003000 0 045 003000 Y 046 003000 N 047 003000 Y 048 003000 0.750 049 003000 N 050 003000 N 051 003000 N 052 003000 N 053 A003000 Y 053 B003000 Y 053 C003000 N 055 A003000 N 055 B003000 N 056 003000 N 057 003000 N 058 A003000 N 059 003000 Y 060 A003000 Y 060 B003000 Y 061 003000 2500 062 A003000 N 062 B003000 0.0 PAGE 90 062 C003000 0.0 062 D003000 0.0 062 E003000 0.0 062 F003000 0.0 062 G003000 0.0 062 H003000 0.0 062 I003000 0.0 062 J003000 0.0 062 K003000 0.0 062 L003000 0.0 062 M003000 0.0 062 N003000 0.0 062 O003000 0.0 062 P003000 0.0 062 Q003000 0.0 062 R003000 0.0 066 A003000 Y 066 B003000 N 066 C003000 N 066 D003000 N 066 E003000 N 066 F003000 Y 066 G003000 N 067 003000 N 068 A003000 N 068 B003000 N 069 003000 N 070 A013000 Y 070 A023000 N 070 B013000 Y 070 B023000 N 070 C013000 Y 070 C023000 N 070 D013000 Y 070 D023000 N 070 E013000 Y 070 E023000 N 070 F013000 Y 070 F023000 N 070 G013000 Y 070 G023000 N 070 H013000 Y 070 H023000 N 070 I013000 Y 070 I023000 N 070 J013000 Y 070 J023000 N 070 K013000 Y 070 K023000 Y 070 L013000 Y 070 L023000 N PAGE 91 070 M013000 Y 070 M023000 N 070 N013000 Y 070 N023000 N 070 O013000 Y 070 O023000 N 070 P013000 Y 070 P023000 N 070 Q013000 N 070 Q023000 N 070 R013000 Y 070 R023000 N 071 A003000 2725 071 B003000 2508 071 C003000 5658 071 D003000 44 072 A003000 12 072 B003000 0 072 C003000 253 072 D003000 0 072 E003000 0 072 F003000 43 072 G003000 25 072 H003000 0 072 I003000 17 072 J003000 1 072 K003000 0 072 L003000 5 072 M003000 7 072 N003000 79 072 O003000 0 072 P003000 0 072 Q003000 0 072 R003000 20 072 S003000 3 072 T003000 2 072 U003000 0 072 V003000 0 072 W003000 22 072 X003000 224 072 Y003000 188 072 Z003000 217 072AA003000 78 072BB003000 0 072CC013000 111 072CC023000 0 072DD013000 0 072DD023000 0 072EE003000 0 073 A013000 0.0000 073 A023000 0.0000 PAGE 92 073 B003000 0.0000 073 C003000 0.0000 074 A003000 0 074 B003000 0 074 C003000 91 074 D003000 0 074 E003000 0 074 F003000 0 074 G003000 0 074 H003000 0 074 I003000 5873 074 J003000 0 074 K003000 0 074 L003000 44 074 M003000 38 074 N003000 6046 074 O003000 16 074 P003000 0 074 Q003000 0 074 R013000 0 074 R023000 0 074 R033000 0 074 R043000 14 074 S003000 0 074 T003000 6016 074 U013000 0 074 U023000 0 074 V013000 0.00 074 V023000 0.00 074 W003000 0.0000 074 X003000 18 074 Y003000 0 075 A003000 0 075 B003000 5766 076 003000 0.00 008 A003101 Guggenheim Partners Investment Management LLC 008 B003101 A 008 C003101 801-66786 008 D013101 Santa Monica 008 D023101 CA 008 D033101 90401 015 A003101 Bank of New York Mellon 015 B003101 C 015 C013101 East Syracuse 015 C023101 NY 015 C033101 13057 015 E013101 X 024 003100 N 028 A013100 25 028 A023100 0 028 A033100 0 PAGE 93 028 A043100 0 028 B013100 29 028 B023100 0 028 B033100 0 028 B043100 0 028 C013100 0 028 C023100 0 028 C033100 0 028 C043100 0 028 D013100 12 028 D023100 0 028 D033100 0 028 D043100 0 028 E013100 47 028 E023100 0 028 E033100 0 028 E043100 0 028 F013100 77 028 F023100 0 028 F033100 0 028 F043100 1 028 G013100 190 028 G023100 0 028 G033100 0 028 G043100 1 028 H003100 0 029 003100 Y 030 A003100 0 030 B003100 4.75 030 C003100 0.00 031 A003100 0 031 B003100 0 032 003100 0 033 003100 0 034 003100 Y 035 003100 0 036 A003100 Y 036 B003100 0 037 003100 N 038 003100 0 039 003100 Y 040 003100 Y 041 003100 Y 042 A003100 0 042 B003100 0 042 C003100 100 042 D003100 0 042 E003100 0 042 F003100 0 042 G003100 0 042 H003100 0 PAGE 94 043 003100 2 044 003100 0 045 003100 Y 046 003100 N 047 003100 Y 048 003100 1.100 048 A013100 0 048 A023100 0.000 048 B013100 0 048 B023100 0.000 048 C013100 0 048 C023100 0.000 048 D013100 0 048 D023100 0.000 048 E013100 0 048 E023100 0.000 048 F013100 0 048 F023100 0.000 048 G013100 0 048 G023100 0.000 048 H013100 0 048 H023100 0.000 048 I013100 0 048 I023100 0.000 048 J013100 0 048 J023100 0.000 048 K013100 0 048 K023100 0.000 049 003100 N 050 003100 N 051 003100 N 052 003100 N 053 A003100 Y 053 B003100 Y 053 C003100 N 055 A003100 Y 055 B003100 Y 056 003100 Y 057 003100 N 058 A003100 N 059 003100 Y 060 A003100 N 060 B003100 N 061 003100 2500 062 A003100 N 062 B003100 0.0 062 C003100 0.0 062 D003100 0.0 062 E003100 0.0 062 F003100 0.0 062 G003100 0.0 PAGE 95 062 H003100 0.0 062 I003100 0.0 062 J003100 0.0 062 K003100 0.0 062 L003100 0.0 062 M003100 0.0 062 N003100 0.0 062 O003100 0.0 062 P003100 0.0 062 Q003100 0.0 062 R003100 0.0 066 A003100 Y 066 B003100 N 066 C003100 Y 066 D003100 N 066 E003100 N 066 F003100 N 066 G003100 N 067 003100 N 068 A003100 N 068 B003100 N 069 003100 N 070 A013100 Y 070 A023100 N 070 B013100 Y 070 B023100 N 070 C013100 Y 070 C023100 N 070 D013100 Y 070 D023100 N 070 E013100 Y 070 E023100 N 070 F013100 Y 070 F023100 N 070 G013100 Y 070 G023100 N 070 H013100 Y 070 H023100 N 070 I013100 Y 070 I023100 N 070 J013100 Y 070 J023100 N 070 K013100 Y 070 K023100 Y 070 L013100 Y 070 L023100 N 070 M013100 Y 070 M023100 N 070 N013100 Y 070 N023100 N 070 O013100 Y PAGE 96 070 O023100 N 070 P013100 Y 070 P023100 N 070 Q013100 N 070 Q023100 N 070 R013100 Y 070 R023100 N 071 A003100 6951 071 B003100 6515 071 C003100 4502 071 D003100 145 072 A003100 12 072 B003100 4 072 C003100 99 072 D003100 0 072 E003100 0 072 F003100 58 072 G003100 25 072 H003100 0 072 I003100 15 072 J003100 2 072 K003100 0 072 L003100 2 072 M003100 5 072 N003100 79 072 O003100 0 072 P003100 1 072 Q003100 0 072 R003100 30 072 S003100 1 072 T003100 2 072 U003100 0 072 V003100 0 072 W003100 21 072 X003100 241 072 Y003100 165 072 Z003100 27 072AA003100 24 072BB003100 0 072CC013100 366 072CC023100 0 072DD013100 0 072DD023100 0 072EE003100 0 073 A013100 0.0000 073 A023100 0.0000 073 B003100 0.0000 073 C003100 0.0000 074 A003100 2 074 B003100 0 074 C003100 0 PAGE 97 074 D003100 0 074 E003100 0 074 F003100 5534 074 G003100 0 074 H003100 0 074 I003100 0 074 J003100 0 074 K003100 0 074 L003100 54 074 M003100 33 074 N003100 5623 074 O003100 0 074 P003100 0 074 Q003100 0 074 R013100 0 074 R023100 0 074 R033100 0 074 R043100 52 074 S003100 0 074 T003100 5571 074 U013100 0 074 U023100 0 074 V013100 0.00 074 V023100 0.00 074 W003100 0.0000 074 X003100 8 074 Y003100 162 075 A003100 0 075 B003100 5270 076 003100 0.00 SIGNATURE John L. Sullivan TITLE CFO, Treasurer EX-99.77B ACCT LTTR 2 fp0029430_ex9977b.htm

Report of Independent Registered Public Accounting Firm

 

To the Shareholders and Board of Trustees

of Guggenheim Funds Trust

 

In planning and performing our audits of the financial statements of Guggenheim Funds Trust (the “Trust”) as of and for the year ended September 30, 2017, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we considered the Trust’s internal control over financial reporting, including controls over safeguarding securities, as a basis for designing our auditing procedures for the purpose of expressing our opinions on the financial statements and to comply with the requirements of Form N-SAR, but not for the purpose of expressing an opinion on the effectiveness of the Trust’s internal control over financial reporting. Accordingly, we express no such opinion.

 

The management of the Trust is responsible for establishing and maintaining effective internal control over financial reporting. In fulfilling this responsibility, estimates and judgments by management are required to assess the expected benefits and related costs of controls. A company’s internal control over financial reporting is a process designed to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principles. A company’s internal control over financial reporting includes those policies and procedures that (1) pertain to the maintenance of records that, in reasonable detail, accurately and fairly reflect the transactions and dispositions of the assets of the company; (2) provide reasonable assurance that transactions are recorded as necessary to permit preparation of financial statements in accordance with generally accepted accounting principles, and that receipts and expenditures of the company are being made only in accordance with authorizations of management and directors of the company; and (3) provide reasonable assurance regarding prevention or timely detection of unauthorized acquisition, use or disposition of a company’s assets that could have a material effect on the financial statements.

 

Because of its inherent limitations, internal control over financial reporting may not prevent or detect misstatements. Also, projections of any evaluation of effectiveness to future periods are subject to the risk that controls may become inadequate because of changes in conditions, or that the degree of compliance with the policies or procedures may deteriorate.

 

A deficiency in internal control over financial reporting exists when the design or operation of a control does not allow management or employees, in the normal course of performing their assigned functions, to prevent or detect misstatements on a timely basis. A material weakness is a deficiency, or a combination of deficiencies, in internal control over financial reporting, such that there is a reasonable possibility that a material misstatement of the company’s annual or interim financial statements will not be prevented or detected on a timely basis.

 

Our consideration of the Trust’s internal control over financial reporting was for the limited purpose described in the first paragraph and would not necessarily disclose all deficiencies in internal control that might be material weaknesses under standards established by the Public Company Accounting Oversight Board (United States). However, we noted no deficiencies in the Trust’s internal control over financial reporting and its operation, including controls over safeguarding securities,that we consider to be a material weakness as defined above as of September 30, 2017.

 

This report is intended solely for the information and use of management and the Board of Trustees of Guggenheim Funds Trust and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties.

 

  /s/ Ernst & Young LLP

 

Tysons, Virginia

November 29, 2017

 EX-99.77Q3 3 fp0029430_ex9977q3.htm

 

  A C Institutional P R6
           
72. DD) Total income distributions          
Alpha Opportunity Fund n/a n/a n/a n/a n/a
Large Cap Value Fund 784 26 2 2 n/a
Market Neutral Real Estate Fund n/a n/a n/a n/a n/a
Risk Managed Real Estate Fund 19 8 2,442 16 n/a
Small Cap Value Fund 88 n/a 4 1 n/a
StylePlus—Large Core Fund 1,415 n/a 47 3 n/a
StylePlus—Mid Growth Fund 439 n/a 1 1 n/a
World Equity Income Fund 1,967 114 76 4 n/a
Mid Cap Value Fund 4,950 780 n/a 50 n/a
Diversified Income Fund 5 4 199 4 n/a
Floating Rate Strategies Fund 18,831 6,085 89,039 9,381 n/a
High Yield Fund 6,233 1,439 10,719 656 3,231
Investment Grade Bond Fund 5,544 810 4,160 165 n/a
Limited Duration Fund 7,271 515 24,283 749 n/a
Macro Opportunities Fund 30,385 11,057 133,535 5,730 n/a
Municipal Income Fund 739 60 453 3 n/a
Total Return Bond Fund 22,444 6,346 170,419 11,837 106
72. EE) Total capital gains distributions          
Alpha Opportunity Fund 10 1 43 3 n/a
Large Cap Value Fund 1,895 127 2 4 n/a
Market Neutral Real Estate Fund n/a n/a n/a n/a n/a
Risk Managed Real Estate Fund 15 14 2,669 3 n/a
Small Cap Value Fund n/a n/a n/a n/a n/a
StylePlus—Large Core Fund 3,716 66 86 8 n/a
StylePlus—Mid Growth Fund n/a n/a n/a n/a n/a
World Equity Income Fund n/a n/a n/a n/a n/a
Mid Cap Value Fund 8,614 2,670 n/a 68 n/a
Diversified Income Fund 2 2 85 2 n/a
Floating Rate Strategies Fund n/a n/a n/a n/a n/a
High Yield Fund n/a n/a n/a n/a n/a
Investment Grade Bond Fund n/a n/a n/a n/a n/a
Limited Duration Fund 40 5 104 1 n/a
Macro Opportunities Fund n/a n/a n/a n/a n/a
Municipal Income Fund n/a n/a n/a n/a n/a
Total Return Bond Fund 2,596 929 13,066 771 0
73. A)  Total income distribution pershare          
Alpha Opportunity Fund n/a n/a n/a n/a n/a
Large Cap Value Fund 0.5822 0.2852 1.0952 0.5670 n/a
Market Neutral Real Estate Fund n/a n/a n/a n/a n/a
Risk Managed Real Estate Fund 0.5624 0.3869 0.6358 0.5599 n/a
Small Cap Value Fund 0.0856 n/a 0.1199 0.0710 n/a
StylePlus—Large Core Fund 0.1632 n/a 0.2355 0.1951 n/a
StylePlus—Mid Growth Fund 0.2408 n/a 0.3111 0.3329 n/a
World Equity Income Fund 0.3497 0.2311 0.3763 0.3257 n/a
Mid Cap Value Fund 0.3710 0.1887 n/a 0.4764 n/a
Diversified Income Fund 0.9451 0.7407 0.9991 0.9318 n/a
Floating Rate Strategies Fund 0.9426 0.7475 1.0067 0.9430 n/a
High Yield Fund 0.6541 0.5744 0.5711 0.6703 0.2414
Investment Grade Bond Fund 0.6125 0.4778 0.6717 0.6153 n/a
Limited Duration Fund 0.5768 0.3914 0.6411 0.5742 n/a
Macro Opportunities Fund 0.9685 0.7692 1.0612 0.9693 n/a
Municipal Income Fund 0.2755 0.1816 0.3069 0.2692 n/a
Total Return Bond Fund 0.9440 0.7478 1.0470 0.9568 0.9864
73. B) Total capital gains distribution pershare          
Alpha Opportunity Fund 0.0107 0.0107 0.0107 0.0107 n/a
Large Cap Value Fund 1.4063 1.4063 1.4063 1.4063 n/a
Market Neutral Real Estate Fund n/a n/a n/a n/a n/a
Risk Managed Real Estate Fund 0.7134 0.7134 0.7134 0.7134 n/a
Small Cap Value Fund n/a n/a n/a n/a n/a
StylePlus—Large Core Fund 0.4288 0.4288 0.4288 0.4288 n/a
StylePlus—Mid Growth Fund n/a n/a n/a n/a n/a
World Equity Income Fund n/a n/a n/a n/a n/a
Mid Cap Value Fund 0.6456 0.6456 n/a 0.6456 n/a
Diversified Income Fund 0.4350 0.4350 0.4350 0.4350 n/a
Floating Rate Strategies Fund n/a n/a n/a n/a n/a
High Yield Fund n/a n/a n/a n/a n/a
Investment Grade Bond Fund n/a n/a n/a n/a n/a
Limited Duration Fund 0.0043 0.0043 0.0043 0.0043 n/a
Macro Opportunities Fund n/a n/a n/a n/a n/a
Municipal Income Fund n/a n/a n/a n/a n/a
Total Return Bond Fund 0.1129 0.1129 0.1129 0.1129 0.1129
74.U) Shares outstanding          
Alpha Opportunity Fund 711 135 6,569 364 n/a
Large Cap Value Fund 1,281 80 36 3 n/a
Market Neutral Real Estate Fund 4 5 188 12 n/a
Risk Managed Real Estate Fund 74 25 4,095 86 n/a
Small Cap Value Fund 759 295 330 1 n/a
StylePlus—Large Core Fund 8,166 120 224 20 n/a
StylePlus—Mid Growth Fund 1,628 112 37 3 n/a
World Equity Income Fund 5,430 507 253 24 n/a
Mid Cap Value Fund 11,209 3,323 n/a 632 n/a
Diversified Income Fund 5 5 204 4 n/a
Floating Rate Strategies Fund 20,565 7,846 99,501 13,865 n/a
High Yield Fund 10,961 2,626 20,713 1,467 17,415
Investment Grade Bond Fund 9,199 1,520 7,667 932 n/a
Limited Duration Fund 20,493 2,043 65,893 3,721 n/a
Macro Opportunities Fund 33,484 16,306 171,926 7,083 n/a
Municipal Income Fund 2,638 297 1,252 9 n/a
Total Return Bond Fund 27,540 9,285 237,095 21,175 506
74. V) Net asset value pershare          
Alpha Opportunity Fund $21.10 $18.62 $29.86 $21.19 $n/a
Large Cap Value Fund $46.96 $43.29 $46.56 $46.91 $n/a
Market Neutral Real Estate Fund $26.50 $26.19 $26.60 $26.49 $n/a
Risk Managed Real Estate Fund $29.70 $29.54 $30.04 $29.85 $n/a
Small Cap Value Fund $15.74 $14.51 $14.50 $15.76 $n/a
StylePlus—Large Core Fund $25.23 $19.74 $25.13 $25.03 $n/a
StylePlus—Mid Growth Fund $47.34 $35.64 $47.48 $46.83 $n/a
World Equity Income Fund $14.84 $12.72 $14.74 $15.08 $n/a
Mid Cap Value Fund $35.37 $26.33 $n/a $35.15 $n/a
Diversified Income Fund $27.58 $27.56 $27.59 $27.58 $n/a
Floating Rate Strategies Fund $26.01 $26.00 $26.03 $26.02 $n/a
High Yield Fund $11.50 $11.60 $9.38 $11.51 $11.49
Investment Grade Bond Fund $18.55 $18.47 $18.52 $18.56 $n/a
Limited Duration Fund $24.86 $24.84 $24.85 $24.86 $n/a
Macro Opportunities Fund $26.67 $26.65 $26.71 $26.68 $n/a
Municipal Income Fund $12.70 $12.69 $12.71 $12.70 $n/a
Total Return Bond Fund $27.05 $27.05 $27.07 $27.04 $27.09