a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155970 |
iii. Ticker symbol, if any | GIJPX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136525 |
iii. Ticker symbol, if any | GIJCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136526 |
iii. Ticker symbol, if any | GIJIX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136524 |
iii. Ticker symbol, if any | GIJAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,603,039.50000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,547,736.50000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 8,356,280.90000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | KeyBanc Capital Markets Inc. |
ii. SEC file number | 8-30177 |
iii. CRD number | 000000566 |
iv. LEI, if any | 2EQWV0180Z211YVAD813 |
v. State, if applicable |
OHIO
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,907,483.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,675,518.30000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Piper Sandler & Co |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,345,115.10000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,119,770.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | LOOP CAPITAL MARKETS LLC |
ii. SEC file number | 8-50140 |
iii. CRD number | 000043098 |
iv. LEI, if any | 254900FPPM2WN90D4786 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,418,364.80000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | U. S. Bancorp Investments, Inc. |
ii. SEC file number | 8-35359 |
iii. CRD number | 000017868 |
iv. LEI, if any | H85Z6XZP8B10ES0M2G89 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 12,750,000.00000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 15,286,806.60000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 5 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136522 |
iii. Ticker symbol, if any | GIOCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class R6 |
ii. Class identification number, if any | C000152104 |
iii. Ticker symbol, if any | GIOSX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136523 |
iii. Ticker symbol, if any | GIOIX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136521 |
iii. Ticker symbol, if any | GIOAX |
Shares Outstanding Record:
5 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155969 |
iii. Ticker symbol, if any | GIOPX |
Pricing Services Record:
1 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,371.50000000 |
Brokers Record:
2 |
i. Full name of broker | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,102.60000000 |
Brokers Record:
3 |
i. Full name of broker | Bank of America, N.A. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 59,178.89000000 |
Brokers Record:
4 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 59,206.73000000 |
Brokers Record:
5 |
i. Full name of broker | BLOOMBERG TRADEBOOK LLC |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4,108.00000000 |
Brokers Record:
6 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 49,408.87000000 |
Brokers Record:
7 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 184,022.23000000 |
Brokers Record:
8 |
i. Full name of broker | OPPENHEIMER & CO. INC. |
ii. SEC file number | 8-4077 |
iii. CRD number | 000000249 |
iv. LEI, if any | 254900VH02JQR2L8XD64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 253.08000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 363,651.90000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 728,000,742.65000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,171,874,037.58000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,461,198,947.43000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 581,173,142.48000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,375,423,184.22000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | Bank of America, N.A. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 846,873,120.82000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 589,468,497.51000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,336,724,066.95000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,105,805,705.13000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BMO Capital Markets Corp., New York Branch |
ii. SEC file number | 8-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 555,638,612.53000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 5 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136513 |
iii. Ticker symbol, if any | SHYIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136514 |
iii. Ticker symbol, if any | SIHAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155967 |
iii. Ticker symbol, if any | SIHPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136516 |
iii. Ticker symbol, if any | SIHSX |
Shares Outstanding Record:
5 |
i. Full name of Class | Class R6 |
ii. Class identification number, if any | C000152102 |
iii. Ticker symbol, if any | SHYSX |
Pricing Services Record:
1 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,840.00000000 |
Brokers Record:
2 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1.92000000 |
Brokers Record:
3 |
i. Full name of broker | BLOOMBERG TRADEBOOK LLC |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 640.00000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 9,481.92000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 35,109,787.75000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 42,533,331.17000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 39,254,876.99000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 162,287,438.21000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | JEFFERIES LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 30,268,194.13000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 104,486,963.76000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 51,299,941.46 |
Principal Transactions Record:
8 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 29,671,546.27000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 54,507,772.64000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | MARKETAXESS CORPORATION |
ii. SEC file number | 8-50727 |
iii. CRD number | 000044542 |
iv. LEI, if any | GPSMMRI21JE7ZCVYF972 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 31,921,957.80000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136537 |
iii. Ticker symbol, if any | GIUIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136534 |
iii. Ticker symbol, if any | SECUX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136536 |
iii. Ticker symbol, if any | SUFCX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155973 |
iii. Ticker symbol, if any | SEUPX |
Pricing Services Record:
1 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 182.00000000 |
Brokers Record:
2 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,412.30000000 |
Brokers Record:
3 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,114.65000000 |
Brokers Record:
4 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 838.26000000 |
Brokers Record:
5 |
i. Full name of broker | BLOOMBERG TRADEBOOK LLC |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 0.71000000 |
Brokers Record:
6 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 15.11000000 |
Brokers Record:
7 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 245.73000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 12,809.78000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,320.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 151,210.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 53,462,020.98000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,320,424.00000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 69,294.50000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 31,450.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155968 |
iii. Ticker symbol, if any | SIUPX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136517 |
iii. Ticker symbol, if any | SIUSX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136520 |
iii. Ticker symbol, if any | GIUSX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136519 |
iii. Ticker symbol, if any | SDICX |
Pricing Services Record:
1 |
i. Full name | Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 104.50000000 |
Brokers Record:
2 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,197.52000000 |
Brokers Record:
3 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,907.88000000 |
Brokers Record:
4 |
i. Full name of broker | Bank of America, N.A. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,535.02000000 |
Brokers Record:
5 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,642.72000000 |
Brokers Record:
6 |
i. Full name of broker | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 226.40000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 17,614.04000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 244,217,644.63000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 393,974,310.17000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 268,752,337.15000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 352,888,985.33000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 307,099,721.12000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 177,390,719.34000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 533,566,055.74000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 636,527,565.56000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Citadel Securities Institutional LLC |
ii. SEC file number | 8-69663 |
iii. CRD number | 000281102 |
iv. LEI, if any | 549300MLQ1S3715IUK04 |
v. State, if applicable |
ILLINOIS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 136,633,110.36000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 122,196,593.82000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000162309 |
iii. Ticker symbol, if any | GUDCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000162308 |
iii. Ticker symbol, if any | GUDAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000162312 |
iii. Ticker symbol, if any | GUDPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000162310 |
iii. Ticker symbol, if any | GUDIX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11.50000000 |
Brokers Record:
2 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 742.69000000 |
Brokers Record:
3 |
i. Full name of broker | Bank of America, N.A. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 34.80000000 |
Brokers Record:
4 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 56.65000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 845.64000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000138554 |
iii. Ticker symbol, if any | GURAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000138555 |
iii. Ticker symbol, if any | GURCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155974 |
iii. Ticker symbol, if any | GURPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000138556 |
iii. Ticker symbol, if any | GURIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,461.11000000 |
Brokers Record:
2 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 157,998.12000000 |
Brokers Record:
3 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,504.93000000 |
Brokers Record:
4 |
i. Full name of broker | Stifel Nicolaus & Company, Incorporated |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 17,207.32000000 |
Brokers Record:
5 |
i. Full name of broker | Keefe, Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 22,258.58000000 |
Brokers Record:
6 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 54,404.69000000 |
Brokers Record:
7 |
i. Full name of broker | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 130,417.78000000 |
Brokers Record:
8 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 206,760.62000000 |
Brokers Record:
9 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 29,033.10000000 |
Brokers Record:
10 |
i. Full name of broker | TD SECURITIES (USA) LLC |
ii. SEC file number | 8-36747 |
iii. CRD number | 000018476 |
iv. LEI, if any | SUVUFHICNZMP2WKHG940 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,147.16000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 630,625.66000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 102,816.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,312,724.20000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 526,125.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 166,540.60000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,357,862.72000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 652,235.46000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Stifel Nicolaus & Company, Incorporated |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 131,580.37000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 5 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class R6 |
ii. Class identification number, if any | C000152100 |
iii. Ticker symbol, if any | GIKRX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136507 |
iii. Ticker symbol, if any | GILDX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155965 |
iii. Ticker symbol, if any | GILPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136508 |
iii. Ticker symbol, if any | GILFX |
Shares Outstanding Record:
5 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136509 |
iii. Ticker symbol, if any | GILHX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 89.00000000 |
Brokers Record:
2 |
i. Full name of broker | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 194.00000000 |
Brokers Record:
3 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 95.00000000 |
Brokers Record:
4 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,852.92000000 |
Brokers Record:
5 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 24,951.60000000 |
Brokers Record:
6 |
i. Full name of broker | Bank of America, N.A. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,062.75000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 28,245.27000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,163,499,290.06000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 584,682,336.84000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 975,054,931.020000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BNP Paribas |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | R0MUWSFPU8MPRO8K5P83 |
v. State, if applicable | |
vi. Foreign country, if applicable |
FRANCE
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 424,087,605.63000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,076,187,080.02000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 550,129,257.24000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 826,089,069.68000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 725,792,157.90000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 695,659,429.56000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 320,590,046.42 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000065508 |
iii. Ticker symbol, if any | SSVCX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000065507 |
iii. Ticker symbol, if any | SSUAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000065509 |
iii. Ticker symbol, if any | SSUIX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155963 |
iii. Ticker symbol, if any | SSUPX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Keefe, Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 623.92000000 |
Brokers Record:
2 |
i. Full name of broker | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,160.68000000 |
Brokers Record:
3 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,867.76000000 |
Brokers Record:
4 |
i. Full name of broker | STEPHENS |
ii. SEC file number | 8-1927 |
iii. CRD number | 000003496 |
iv. LEI, if any | 213800LH6T9XDYZCA534 |
v. State, if applicable |
ARKANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 349.68000000 |
Brokers Record:
5 |
i. Full name of broker | BMO Capital Markets Corp., New York Branch |
ii. SEC file number | 8-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,250.68000000 |
Brokers Record:
6 |
i. Full name of broker | COWEN AND COMPANY |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,311.76000000 |
Brokers Record:
7 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,635.82000000 |
Brokers Record:
8 |
i. Full name of broker | NEEDHAM & COMPANY, LLC |
ii. SEC file number | 8-33772 |
iii. CRD number | 000016360 |
iv. LEI, if any | 254900J2GFQ4J4NK1J89 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 425.68000000 |
Brokers Record:
9 |
i. Full name of broker | JEFFERIES LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,020.24000000 |
Brokers Record:
10 |
i. Full name of broker | ROBERT W. BAIRD & CO. INCORPORATED |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,887.20000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 15,127.51000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 1 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000149218 |
iii. Ticker symbol, if any | GFCIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 33,188.08000000 |
Brokers Record:
2 |
i. Full name of broker | UBS SECURITIES LLC |
ii. SEC file number | 8-22651 |
iii. CRD number | 000007654 |
iv. LEI, if any | T6FIZBDPKLYJKFCRVK44 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8,620.25000000 |
Brokers Record:
3 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 17,474.09000000 |
Brokers Record:
4 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,760.01000000 |
Brokers Record:
5 |
i. Full name of broker | ROBERT W. BAIRD & CO. INCORPORATED |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 9,505.19000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 79,547.62000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 5 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136510 |
iii. Ticker symbol, if any | GIFAX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class R6 |
ii. Class identification number, if any | C000152101 |
iii. Ticker symbol, if any | GIFSX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136512 |
iii. Ticker symbol, if any | GIFIX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136511 |
iii. Ticker symbol, if any | GIFCX |
Shares Outstanding Record:
5 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155966 |
iii. Ticker symbol, if any | GIFPX |
Pricing Services Record:
1 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,872.28000000 |
Brokers Record:
2 |
i. Full name of broker | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,000.00000000 |
Brokers Record:
3 |
i. Full name of broker | BLOOMBERG TRADEBOOK LLC |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,577.72000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 23,450.00000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 77,216,712.07000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 123,550,557.65 |
Principal Transactions Record:
3 |
i. Full name of dealer | RBC Capital Markets, LLC |
ii. SEC file number | 8-45411 |
iii. CRD number | 000031194 |
iv. LEI, if any | 549300LCO2FLSSVFFR64 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 161,627,828.55000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | DEUTSCHE BANK SECURITIES INC. |
ii. SEC file number | 8-17822 |
iii. CRD number | 000002525 |
iv. LEI, if any | 9J6MBOOO7BECTDTUZW19 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 67,246,154.36000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | JEFFERIES LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 119,913,411.30000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 85,962,987.62000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 161,090,798.14 |
Principal Transactions Record:
8 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 121,697,790.99000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 144,299,046.46000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 73,717,933.87000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000165923 |
iii. Ticker symbol, if any | GUMPX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000165922 |
iii. Ticker symbol, if any | GUMNX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000165920 |
iii. Ticker symbol, if any | GUMAX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000165921 |
iii. Ticker symbol, if any | GUMCX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 909.12000000 |
Brokers Record:
2 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 23,131.90000000 |
Brokers Record:
3 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,007.72000000 |
Brokers Record:
4 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,516.88000000 |
Brokers Record:
5 |
i. Full name of broker | Stifel Nicolaus & Company, Incorporated |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 715.90000000 |
Brokers Record:
6 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 27,015.33000000 |
Brokers Record:
7 |
i. Full name of broker | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 7,052.56000000 |
Brokers Record:
8 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 11,381.54000000 |
Brokers Record:
9 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 159.23000000 |
Brokers Record:
10 |
i. Full name of broker | COWEN AND COMPANY |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 150.29000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 75,040.47000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 49,883.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 674,648.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 23,184.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Stifel Nicolaus & Company, Incorporated |
ii. SEC file number | 8-1447 |
iii. CRD number | 000000793 |
iv. LEI, if any | 5WUVMA08EYG4KEUPW589 |
v. State, if applicable |
MISSOURI
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 30,066.27000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,358,229.92000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 148,364.54000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 86,000.00000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,213,937.50000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 2 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000205704 |
iii. Ticker symbol, if any | GIYIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000205703 |
iii. Ticker symbol, if any | GIYAX |
Pricing Services Record:
1 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Bank of America, N.A. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 632.14000000 |
Brokers Record:
2 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,206.50000000 |
Brokers Record:
3 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 85.20000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 5,923.84000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 188,592,475.62000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | MUFG Securities Americas Inc. |
ii. SEC file number | 8-43026 |
iii. CRD number | 000019685 |
iv. LEI, if any | K5HU16E3LMSVCCJJJ255 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 116,384,585.58000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 216,536,684.26000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 154,629,564.48000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 198,110,565.13000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 80,894,848.63000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 315,419,058.81000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 149,107,061.34000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 152,945,289.64000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 69,407,975.90000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000071557 |
iii. Ticker symbol, if any | SAOIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000023963 |
iii. Ticker symbol, if any | SAOCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000023961 |
iii. Ticker symbol, if any | SAOAX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155960 |
iii. Ticker symbol, if any | SAOSX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 25,576.24000000 |
Brokers Record:
2 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 624.37000000 |
Brokers Record:
3 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 71.49000000 |
Brokers Record:
4 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 473.66000000 |
Brokers Record:
5 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 30,518.60000000 |
Brokers Record:
6 |
i. Full name of broker | BLOOMBERG TRADEBOOK LLC |
ii. SEC file number | 8-49219 |
iii. CRD number | 000040881 |
iv. LEI, if any | 549300P0PVQNO43T7K36 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 4.15000000 |
Brokers Record:
7 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 495.12000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 57,763.63000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 12,242.50000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,355,730.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 83,125.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 33,250.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000100456 |
iii. Ticker symbol, if any | SEWIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000023964 |
iii. Ticker symbol, if any | SEQAX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155961 |
iii. Ticker symbol, if any | SEQPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000023966 |
iii. Ticker symbol, if any | SFGCX |
Pricing Services Record:
1 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,151.26000000 |
Brokers Record:
2 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,467.20000000 |
Brokers Record:
3 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 5,432.41000000 |
Brokers Record:
4 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 8.95000000 |
Brokers Record:
5 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 688.39000000 |
Brokers Record:
6 |
i. Full name of broker | Instinet, LLC |
ii. SEC file number | 8-23669 |
iii. CRD number | 000007897 |
iv. LEI, if any | 549300MGMN3RKMU8FT57 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 72,008.25000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 82,756.46000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155959 |
iii. Ticker symbol, if any | SFEPX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000023960 |
iii. Ticker symbol, if any | SFECX |
Shares Outstanding Record:
3 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000110205 |
iii. Ticker symbol, if any | GILIX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000023958 |
iii. Ticker symbol, if any | SECEX |
Pricing Services Record:
1 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 16,795.33000000 |
Brokers Record:
2 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 460.90000000 |
Brokers Record:
3 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1.85000000 |
Brokers Record:
4 |
i. Full name of broker | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,382.25000000 |
Brokers Record:
5 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 169.76000000 |
Brokers Record:
6 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 2,383.82000000 |
Brokers Record:
7 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 174.51000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 22,368.42000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 268,830.00000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,083,800.00000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 12,255.00000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 29,582,929.81000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,670,000.00000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 30,685.00000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 1 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000215565 |
iii. Ticker symbol, if any | SVUIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000023972 |
iii. Ticker symbol, if any | SEVSX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155962 |
iii. Ticker symbol, if any | SEVPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000023970 |
iii. Ticker symbol, if any | SEVAX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | COWEN AND COMPANY |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 60,360.16000000 |
Brokers Record:
2 |
i. Full name of broker | Keefe, Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 36,259.52000000 |
Brokers Record:
3 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,589.00000000 |
Brokers Record:
4 |
i. Full name of broker | Piper Sandler & Co |
ii. SEC file number | 8-15204 |
iii. CRD number | 000000665 |
iv. LEI, if any | 549300GRQCWQ3XGH0H10 |
v. State, if applicable |
MINNESOTA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 18,466.76000000 |
Brokers Record:
5 |
i. Full name of broker | NEEDHAM & COMPANY, LLC |
ii. SEC file number | 8-33772 |
iii. CRD number | 000016360 |
iv. LEI, if any | 254900J2GFQ4J4NK1J89 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 26,612.92000000 |
Brokers Record:
6 |
i. Full name of broker | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 27,201.80000000 |
Brokers Record:
7 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 87,710.00000000 |
Brokers Record:
8 |
i. Full name of broker | STEPHENS |
ii. SEC file number | 8-1927 |
iii. CRD number | 000003496 |
iv. LEI, if any | 213800LH6T9XDYZCA534 |
v. State, if applicable |
ARKANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 42,387.68000000 |
Brokers Record:
9 |
i. Full name of broker | BMO Capital Markets Corp., New York Branch |
ii. SEC file number | 8-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 44,507.56000000 |
Brokers Record:
10 |
i. Full name of broker | JEFFERIES LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 66,736.56000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 458,339.52000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | COWEN AND COMPANY |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,169,493.08000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | ROBERT W. BAIRD & CO. INCORPORATED |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,611,385.54000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Keefe, Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,959,969.88000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | JEFFERIES LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,282,633.17000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | BMO Capital Markets Corp., New York Branch |
ii. SEC file number | 8-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,888,778.28000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | STEPHENS |
ii. SEC file number | 8-1927 |
iii. CRD number | 000003496 |
iv. LEI, if any | 213800LH6T9XDYZCA534 |
v. State, if applicable |
ARKANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,455,668.25000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | Tudor, Pickering, Holt & Co. Securities, Inc. |
ii. SEC file number | 8-66251 |
iii. CRD number | 000129772 |
iv. LEI, if any | 254900QNRC4536M3YW31 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,264,078.20000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | NEEDHAM & COMPANY, LLC |
ii. SEC file number | 8-33772 |
iii. CRD number | 000016360 |
iv. LEI, if any | 254900J2GFQ4J4NK1J89 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 2,465,023.43000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 10,996,308.05000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,649,477.03000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 4 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136530 |
iii. Ticker symbol, if any | SECIX |
Shares Outstanding Record:
2 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136533 |
iii. Ticker symbol, if any | GILCX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155972 |
iii. Ticker symbol, if any | SEGPX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136532 |
iii. Ticker symbol, if any | SEGIX |
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | Keefe, Bruyette & Woods, Inc. |
ii. SEC file number | 8-10888 |
iii. CRD number | 000000481 |
iv. LEI, if any | 549300OM47DQV01G4854 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,396.60000000 |
Brokers Record:
2 |
i. Full name of broker | COWEN AND COMPANY |
ii. SEC file number | 8-22522 |
iii. CRD number | 000007616 |
iv. LEI, if any | 549300WR155U7DVMIW58 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 854.44000000 |
Brokers Record:
3 |
i. Full name of broker | STEPHENS |
ii. SEC file number | 8-1927 |
iii. CRD number | 000003496 |
iv. LEI, if any | 213800LH6T9XDYZCA534 |
v. State, if applicable |
ARKANSAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 811.12000000 |
Brokers Record:
4 |
i. Full name of broker | ROBERT W. BAIRD & CO. INCORPORATED |
ii. SEC file number | 8-497 |
iii. CRD number | 000008158 |
iv. LEI, if any | 549300772UJAHRD6LO53 |
v. State, if applicable |
WISCONSIN
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 12,590.91000000 |
Brokers Record:
5 |
i. Full name of broker | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,309.96000000 |
Brokers Record:
6 |
i. Full name of broker | Tudor, Pickering, Holt & Co. Securities, Inc. |
ii. SEC file number | 8-66251 |
iii. CRD number | 000129772 |
iv. LEI, if any | 254900QNRC4536M3YW31 |
v. State, if applicable |
TEXAS
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 908.08000000 |
Brokers Record:
7 |
i. Full name of broker | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,776.68000000 |
Brokers Record:
8 |
i. Full name of broker | JEFFERIES LLC |
ii. SEC file number | 8-15074 |
iii. CRD number | 000002347 |
iv. LEI, if any | 58PU97L1C0WSRCWADL48 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,137.92000000 |
Brokers Record:
9 |
i. Full name of broker | TRUIST SECURITIES, INC. |
ii. SEC file number | 8-17212 |
iii. CRD number | 000006271 |
iv. LEI, if any | CSVTK36R0PNGXEM7NS14 |
v. State, if applicable |
GEORGIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,727.04000000 |
Brokers Record:
10 |
i. Full name of broker | BMO Capital Markets Corp., New York Branch |
ii. SEC file number | 8-34344 |
iii. CRD number | 000016686 |
iv. LEI, if any | RUC0QBLBRPRCU4W1NE59 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 878.48000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 27,148.69000000 |
a. How many Classes of shares of the Fund (if
any) are
authorized?
| 5 |
b. How many new Classes of shares of the Fund
were
added
during the reporting period?
| 0 |
c. How many Classes of shares of the Fund were
terminated during the reporting period?
| 0 |
d. For each Class with shares outstanding,
provide the
information requested below: |
|
Shares Outstanding Record:
1 |
i. Full name of Class | Class P |
ii. Class identification number, if any | C000155971 |
iii. Ticker symbol, if any | GIBLX |
Shares Outstanding Record:
2 |
i. Full name of Class | Class R6 |
ii. Class identification number, if any | C000152106 |
iii. Ticker symbol, if any | GIBRX |
Shares Outstanding Record:
3 |
i. Full name of Class | Class A |
ii. Class identification number, if any | C000136527 |
iii. Ticker symbol, if any | GIBAX |
Shares Outstanding Record:
4 |
i. Full name of Class | Class C |
ii. Class identification number, if any | C000136528 |
iii. Ticker symbol, if any | GIBCX |
Shares Outstanding Record:
5 |
i. Full name of Class | Institutional |
ii. Class identification number, if any | C000136529 |
iii. Ticker symbol, if any | GIBIX |
Pricing Services Record:
1 |
i. Full name | Markit Ltd. |
ii. LEI, if any, or provide and describe other
identifying number
| 549300HLPTRASHS0E726 |
Description of other identifying number | |
iii. State, if applicable | |
iv. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
2 |
i. Full name | Refinitiv US LLC |
ii. LEI, if any, or provide and describe other
identifying number
| 213800HQORQAP68CJJ04 |
Description of other identifying number | |
iii. State, if applicable |
DELAWARE
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
3 |
i. Full name | ICE Data Services |
ii. LEI, if any, or provide and describe other
identifying number
| 5493000NQ9LYLDBCTL34 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
Pricing Services Record:
4 |
i. Full name | Bloomberg |
ii. LEI, if any, or provide and describe other
identifying number
| 549300B56MD0ZC402L06 |
Description of other identifying number | |
iii. State, if applicable |
NEW YORK
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the pricing service an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
|
Shareholder servicing agents Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or provide and describe
other
identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the shareholder servicing agent an
affiliated
person
of the
Fund or its investment adviser(s)?
|
Yes
No
|
vi. Is the shareholder servicing agent a
sub-shareholder servicing agent?
|
Yes
No
|
|
Administrators Record:
1 |
i. Full name | MUFG Investor Services (US), LLC |
ii. LEI, if any, or other identifying number | 084-05475 |
Description of other identifying number | SEC File Number |
iii. State, if applicable |
MARYLAND
|
iv. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
v. Is the administrator an affiliated person of the
Fund or its
investment adviser(s)?
|
Yes
No
|
vi. Is the administrator a sub-administrator?
|
Yes
No
|
|
Broker Dealers Record:
1 |
a. Full name | Guggenheim Securities International Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED KINGDOM OF GREAT BRITAIN AND NORTHERN IRELAND
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
2 |
a. Full name | GUGGENHEIM SECURITIES, LLC |
b. SEC file number | 8-49107 |
c. CRD number | 000040638 |
d. LEI, if any | 5493005G25VHYWLYJU59 |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
3 |
a. Full name | Guggenheim KBBO Partners Ltd |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
UNITED ARAB EMIRATES
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
4 |
a. Full name | Guggenheim Partners Japan, Ltd. |
b. SEC file number | N/A |
c. CRD number | N/A |
d. LEI, if any | N/A |
e. State, if applicable | |
f. Foreign country, if applicable |
JAPAN
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
5 |
a. Full name | Sammons Financial Network LLC |
b. SEC file number | 8-68905 |
c. CRD number | 000158538 |
d. LEI, if any | N/A |
e. State, if applicable |
IOWA
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
6 |
a. Full name | Guggenheim Funds Distributors, LLC |
b. SEC file number | 8-48842 |
c. CRD number | 000039805 |
d. LEI, if any | 549300YLHACOJHH3DN20 |
e. State, if applicable |
ILLINOIS
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
Broker Dealers Record:
7 |
a. Full name | Guggenheim Investor Services, LLC |
b. SEC file number | 8-44742 |
c. CRD number | 000030096 |
d. LEI, if any | N/A |
e. State, if applicable |
NEW YORK
|
f. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
g. Total commissions paid to the affiliated
broker-dealer for the reporting period:
| 0.00000000 |
|
Brokers Record:
1 |
i. Full name of broker | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 31,900.03000000 |
Brokers Record:
2 |
i. Full name of broker | Bank of America, N.A. |
ii. SEC file number | N/A |
iii. CRD number | N/A |
iv. LEI, if any | B4TYDEB6GKMZO031MB27 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 24,320.88000000 |
Brokers Record:
3 |
i. Full name of broker | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 3,638.40000000 |
Brokers Record:
4 |
i. Full name of broker | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 1,696.00000000 |
Brokers Record:
5 |
i. Full name of broker | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 167,811.32000000 |
Brokers Record:
6 |
i. Full name of broker | JONESTRADING |
ii. SEC file number | 8-26089 |
iii. CRD number | 000006888 |
iv. LEI, if any | 2138008JJ5PA8H5UIL69 |
v. State, if applicable |
CALIFORNIA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Gross commissions paid by the Fund for
the
reporting period | 10,749.30000000 |
b. Aggregate brokerage commissions paid by Fund
during
the reporting period:
| 240,115.93000000 |
|
Principal Transactions Record:
1 |
i. Full name of dealer | BARCLAYS CAPITAL INC. |
ii. SEC file number | 8-41342 |
iii. CRD number | 000019714 |
iv. LEI, if any | AC28XWWI3WIBK2824319 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,476,114,859.06000000 |
Principal Transactions Record:
2 |
i. Full name of dealer | WELLS FARGO SECURITIES, LLC |
ii. SEC file number | 8-65876 |
iii. CRD number | 000126292 |
iv. LEI, if any | VYVVCKR63DVZZN70PB21 |
v. State, if applicable |
NORTH CAROLINA
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,572,127,325.95000000 |
Principal Transactions Record:
3 |
i. Full name of dealer | Nomura Securities International, Inc. |
ii. SEC file number | 8-15255 |
iii. CRD number | 000004297 |
iv. LEI, if any | OXTKY6Q8X53C9ILVV871 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,186,161,064.54000000 |
Principal Transactions Record:
4 |
i. Full name of dealer | BOFA SECURITIES, INC. |
ii. SEC file number | 8-69787 |
iii. CRD number | 000283942 |
iv. LEI, if any | 549300HN4UKV1E2R3U73 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 6,037,005,124.06000000 |
Principal Transactions Record:
5 |
i. Full name of dealer | Citigroup Global Markets Inc. |
ii. SEC file number | 8-8177 |
iii. CRD number | 000007059 |
iv. LEI, if any | MBNUM2BPBDO7JBLYG310 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 5,111,016,298.97000000 |
Principal Transactions Record:
6 |
i. Full name of dealer | CREDIT SUISSE SECURITIES (USA) LLC |
ii. SEC file number | 8-422 |
iii. CRD number | 000000816 |
iv. LEI, if any | 1V8Y6QCX6YMJ2OELII46 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,722,066,384.44000000 |
Principal Transactions Record:
7 |
i. Full name of dealer | J.P. MORGAN SECURITIES LLC |
ii. SEC file number | 8-35008 |
iii. CRD number | 000000079 |
iv. LEI, if any | ZBUT11V806EZRVTWT807 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 7,413,434,199.28000000 |
Principal Transactions Record:
8 |
i. Full name of dealer | Morgan Stanley & Co. LLC |
ii. SEC file number | 8-15869 |
iii. CRD number | 000008209 |
iv. LEI, if any | 9R7GPTSO7KV3UQJZQ078 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 4,980,048,100.81000000 |
Principal Transactions Record:
9 |
i. Full name of dealer | GOLDMAN SACHS & CO. LLC |
ii. SEC file number | 8-129 |
iii. CRD number | 000000361 |
iv. LEI, if any | FOR8UP27PHTHYVLBNG30 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 3,010,380,348.15000000 |
Principal Transactions Record:
10 |
i. Full name of dealer | BNP PARIBAS SECURITIES CORP. |
ii. SEC file number | 8-32682 |
iii. CRD number | 000015794 |
iv. LEI, if any | 2J5703FH5U5M97R1I237 |
v. State, if applicable |
NEW YORK
|
vi. Foreign country, if applicable |
UNITED STATES OF AMERICA
|
vii. Total value of purchases and sales
(excluding
maturing securities) with Fund:
| 1,358,536,185.76000000 |