<SEC-DOCUMENT>0001398344-18-012862-index.html : 20180829 <SEC-HEADER>0001398344-18-012862.hdr.sgml : 20180829 <ACCEPTANCE-DATETIME>20180829172801 ACCESSION NUMBER: 0001398344-18-012862 CONFORMED SUBMISSION TYPE: N-Q PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180630 FILED AS OF DATE: 20180829 DATE AS OF CHANGE: 20180829 EFFECTIVENESS DATE: 20180829 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-Q SEC ACT: 1940 Act SEC FILE NUMBER: 811-01136 FILM NUMBER: 181045034 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>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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155959 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SFEPX </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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155960 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SAOSX </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>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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155961 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SEQPX </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>C000023972 <CLASS-CONTRACT-NAME>C <CLASS-CONTRACT-TICKER-SYMBOL>SEVSX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155962 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SEVPX </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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155963 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SSUPX </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>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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155965 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>GILPX </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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155966 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>GIFPX </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>C000136516 <CLASS-CONTRACT-NAME>C-Class <CLASS-CONTRACT-TICKER-SYMBOL>SIHSX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155967 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SIHPX </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>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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155968 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SIUPX </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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155969 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>GIOPX </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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155970 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>GIJPX </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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000152106 <CLASS-CONTRACT-NAME>R6 <CLASS-CONTRACT-TICKER-SYMBOL>GIBRX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155971 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>GIBLX </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>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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155972 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SEGPX </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>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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155973 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>SEUPX </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> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000155974 <CLASS-CONTRACT-NAME>P <CLASS-CONTRACT-TICKER-SYMBOL>GURPX </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-TICKER-SYMBOL>GFCIX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000051594 <SERIES-NAME>Guggenheim Diversified Income Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000162308 <CLASS-CONTRACT-NAME>Class A <CLASS-CONTRACT-TICKER-SYMBOL>GUDAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000162309 <CLASS-CONTRACT-NAME>Class C <CLASS-CONTRACT-TICKER-SYMBOL>GUDCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000162310 <CLASS-CONTRACT-NAME>Institutional <CLASS-CONTRACT-TICKER-SYMBOL>GUDIX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000162312 <CLASS-CONTRACT-NAME>Class P <CLASS-CONTRACT-TICKER-SYMBOL>GUDPX </CLASS-CONTRACT> </SERIES> <SERIES> <OWNER-CIK>0000088525 <SERIES-ID>S000052809 <SERIES-NAME>Guggenheim Market Neutral Real Estate Fund <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000165920 <CLASS-CONTRACT-NAME>Class A <CLASS-CONTRACT-TICKER-SYMBOL>GUMAX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000165921 <CLASS-CONTRACT-NAME>Class C <CLASS-CONTRACT-TICKER-SYMBOL>GUMCX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000165922 <CLASS-CONTRACT-NAME>Institutional <CLASS-CONTRACT-TICKER-SYMBOL>GUMNX </CLASS-CONTRACT> <CLASS-CONTRACT> <CLASS-CONTRACT-ID>C000165923 <CLASS-CONTRACT-NAME>Class P <CLASS-CONTRACT-TICKER-SYMBOL>GUMPX </CLASS-CONTRACT> </SERIES> </EXISTING-SERIES-AND-CLASSES-CONTRACTS> </SERIES-AND-CLASSES-CONTRACTS-DATA> </SEC-HEADER> <DOCUMENT> <TYPE>N-Q <SEQUENCE>1 <FILENAME>fp0034137_nq.htm <TEXT> Document 1 - file: fp0034137_nq.htm
</DOCUMENT> <DOCUMENT> <TYPE>EX-99.CERT <SEQUENCE>2 <FILENAME>fp0034137_ex99cert.htm <TEXT> Document 2 - file: fp0034137_ex99cert.htm
</DOCUMENT> </SEC-DOCUMENT>