Form 13-F position report

GUGGENHEIM S&P SMALLCAP 600 PU

Reported by LADENBURG THALMANN FINANCIAL SERVICES INC

ETF profile Manager portfolio Source filing
RZG CUSIP 78355W809 Manager CIK 0001029730
Latest reported change

Reported 8,914 shares, down 3,861 (30.2%) from the prior quarter.

Reported value -37.4%; share count -30.2% vs. the prior quarter.

Reduced
% of reported 13F value 0.01% This manager · Q3 2015
Shares 8,914 Quarter-end amount reported
Reported value $719,000 Fair value at quarter end
Consecutive quarters held 10 Through Q3 2015

Reported position value by quarter

Reported position value by quarter

Each bar is a Form 13-F quarter-end snapshot. It does not show trades made within the quarter.

Manager history

Quarterly position history

How this manager's reported quarter-end position changed over time.

15 quarters
Quarter Activity Shares Change % of reported 13F Reported value Filed
Q3 2018 Reduced 0 -127,933 (-100.0%) 0 $0 2018-11-14
Q2 2018 Unchanged 127,933 0 (0.0%) 0.14% $14,727,000 2018-08-15
Q1 2018 Reduced 127,933 -7,252 (-5.4%) 0.14% $14,727,000 2018-05-15
Q4 2017 Added 135,185 +1,280 (1.0%) 0.15% $15,483,000 2018-02-14
Q3 2017 Added 133,905 +132,693 (10948.3%) 0.16% $14,736,000 2017-11-15
Q2 2017 Reduced 1,212 -505 (-29.4%) < 0.01% $124,000 2017-08-14
Q1 2017 Added 1,717 +23 (1.4%) < 0.01% $173,000 2017-05-15
Q4 2016 Reduced 1,694 -266 (-13.6%) < 0.01% $165,000 2017-02-14
Q3 2016 Reduced 1,960 -156 (-7.4%) < 0.01% $174,000 2016-11-14
Q2 2016 Added 2,116 +22 (1.1%) < 0.01% $174,000 2016-08-15
Q1 2016 Reduced 2,094 -10,331 (-83.1%) < 0.01% $165,000 2016-05-16
Q4 2015 Added 12,425 +3,511 (39.4%) 0.02% $1,004,000 2016-02-16
Q3 2015 Reduced 8,914 -3,861 (-30.2%) 0.01% $719,000 2015-11-16
Q2 2015 Added 12,775 +7,558 (144.9%) 0.02% $1,149,000 2015-08-14
Q1 2015 Added 5,217 +3,656 (234.2%) < 0.01% $463,000 2015-05-15
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Institutional context

Who else reported the position

46 managers reported GUGGENHEIM S&P SMALLCAP 600 PU for Q3 2015.

Manager Activity Shares Change % of reported 13F Reported value Tenure
UBS Group AG Added 136,897 +92,869 < 0.01% $11,049,000 4 qtrs
LPL Financial LLC Added 101,066 +13,455 0.05% $8,486,000 10 qtrs
MORGAN STANLEY Added 89,638 +10,457 < 0.01% $7,235,000 10 qtrs
WELLS FARGO & COMPANY MN Added 79,402 +37,792 < 0.01% $6,408,000 10 qtrs
Bank of America Corporation Added 70,823 +57,777 < 0.01% $5,716,000 10 qtrs
American International Group Inc Added 69,088 +11,279 0.02% $5,576,000 10 qtrs
Transamerica Financial Advisors Inc Added 26,976 +289 0.17% $2,178,000 3 qtrs
AMERIPRISE FINANCIAL INC Added 25,398 +6,344 < 0.01% $2,050,000 10 qtrs
RAYMOND JAMES & ASSOCIATES Added 21,966 +1,829 < 0.01% $1,773,000 10 qtrs
BANK OF STOCKTON Added 20,880 +1,575 1.03% $1,685,000 10 qtrs
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Filing details and methodology As reported
Report period
September 30, 2015
Filed
November 16, 2015
Filing type
13F-HR
Position type
GUG S&P SC600 PG

Voting authority reported

Sole
0
Shared
0
None
8,914

“None” means the manager reported no voting authority for those shares on non-routine matters. It does not disclose why and is not evidence of securities lending.

Form 13-F is a delayed quarter-end snapshot of disclosed long Section 13(f) securities. It can be filed up to 45 days after quarter end, excludes short positions and most non-U.S. securities, and does not reveal intra-quarter trading. For options, reported shares and value describe the underlying-share exposure; strike, expiry, premium, and written positions are not disclosed.