Investor Guggenheim Capital Llc
13D/G Filings

This page shows a list of all the recent 13D/G filings made by Guggenheim Capital Llc . Schedule 13D is commonly referred to as a “beneficial ownership report.” The term "beneficial owner" is defined under SEC rules. It includes any person who directly or indirectly shares voting power or investment power (the power to sell the security).

When a person or group of persons acquires beneficial ownership of more than 5% of a voting class of a company’s equity securities, they are required to file a Schedule 13D within ten days after the purchase. Click the link icon to see the full transaction history.

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Date Form Target Prev
Shares		 Current
Shares		 Change
(Percent)		 Ownership
(Percent)		 Change
(Percent)
2023-10-10 13G/A WAVC / Waverley Capital Acquisition Corp 1 - Class A 1,520,524 0
2023-09-11 13G/A AFTR.U / AfterNext HealthTech Acquisition Corp. Units, each consisting of one Class A ordinary share and one- 3,725,000 0
2023-08-09 13G/A ARBG / Aequi Acquisition Corp - Class A 999,157 0
2023-02-15 13G/A ACRO / Acropolis Infrastructure Acquisition Corp. 2,525,694 1,317,451
2023-02-15 13G/A AFTR / AfterNext HealthTech Acquisition Corp - Class A 1,798,300 1,798,300
2023-02-15 13G/A ARBG / Aequi Acquisition Corp - Class A 1,037,857 999,157
2023-02-15 13G/A KYG1330M1033 / Blue Whale Acquisition Corp. I 2,056,221 1,054,392
2023-02-15 13G/A ARDC / Ares Dynamic Credit Allocation Fund, Inc. 1,391,060 852,331
2023-02-15 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,401,625 717,598
2023-02-15 13G/A WAVC / Waverley Capital Acquisition Corp 1 - Class A 2,512,561 1,520,524
2023-02-15 13G/A YTPG / TPG Pace Beneficial II Corp - Class A 3,646,692 1,938,725
2023-01-17 13G/A KAHC / KKR Acquisition Holdings I Corp - Class A 0 0
2023-01-10 13G/A RXRA / RXR Acquisition Corp - Class A 3,426,282 0
2023-01-10 13G/A KAHC / KKR Acquisition Holdings I Corp - Class A 15,274,598 0
2022-12-12 13G/A ARBG / Aequi Acquisition Corp - Class A 1,786,600 1,037,857
2022-12-12 13G/A GIIX / Gores Holdings VIII Inc - Class A 3,000,000 0
2022-11-10 13G/A US38287A2006 / GORES HOLDING IX 6,000,000 0
2022-10-11 13G/A US21289P1021 / Conyers Park III Acquisition Corp 3,465,000 1,672,700
2022-09-12 13G/A AFTR / AfterNext HealthTech Acquisition Corp - Class A 1,798,300
2022-09-12 13G/A 38286T101 / Gores Holdings VII Inc 4,000,000 0
2022-09-12 13G/A GTPB / Gores Technology Partners II Inc - Class A 4,000,000 0
2022-09-12 13G/A 382870103 / Gores Technology Partners, Inc., Class A 2,400,000 0
2022-09-12 13G/A LITT / Logistics Innovation Technologies Corp - Class A 4,000,000 88,696
2022-07-26 13G/A PSTH / Pershing Square Tontine Holdings Ltd - Class A 22,329,700 0
2022-07-11 13G/A ARBG / Aequi Acquisition Corp - Class A 1,786,600
2022-02-14 13G/A WAVC / Waverley Capital Acquisition Corp 1 - Class A 2,512,561
2022-02-14 13G/A KAHC / KKR Acquisition Holdings I Corp - Class A 15,274,598
2022-02-14 13G KYG1330M1033 / Blue Whale Acquisition Corp. I 2,056,221
2022-02-14 13G/A PSTH / Pershing Square Tontine Holdings Ltd - Class A 22,329,700
2022-02-14 13G 38286T101 / Gores Holdings VII Inc 4,000,000
2022-02-14 13G 382870103 / Gores Technology Partners, Inc., Class A 2,400,000
2022-02-14 13G IGA / Voya Global Advantage and Premium Opportunity Fund 553,033 1,401,625
2022-02-14 13G US21289P1021 / Conyers Park III Acquisition Corp 3,465,000
2022-02-14 13G YTPG / TPG Pace Beneficial II Corp - Class A 3,646,692
2022-02-14 13G RXRA / RXR Acquisition Corp - Class A 3,426,282
2022-02-14 13G GTPB / Gores Technology Partners II Inc - Class A 4,000,000
2022-02-14 13G GIIX / Gores Holdings VIII Inc - Class A 3,000,000
2022-02-14 13G ARDC / Ares Dynamic Credit Allocation Fund, Inc. 1,391,060
2022-02-14 13G ACRO / Acropolis Infrastructure Acquisition Corp. 2,525,694
2022-02-10 13G US38287A2006 / GORES HOLDING IX 6,000,000
2021-09-10 13G WAVC.U / Waverley Capital Acquisition Corp. 1 Units, each consisting of one Class A Ordinary Share and one-th 2,500,000
2021-09-10 13G AFTR.U / AfterNext HealthTech Acquisition Corp. Units, each consisting of one Class A ordinary share and one- 3,725,000
2021-08-10 13G/A MTTR / Matterport, Inc. 3,135,581
2021-07-09 13G LITT / Logistics Innovation Technologies Corp - Class A 4,000,000
2021-02-05 13G/A SD / SandRidge Energy, Inc. 2,109,062 63,058
2021-02-05 13G/A GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust 1,154,388 0
2021-01-11 13G US38286R2040 / Gores Holdings VI, Inc. Unit 4,000,000
2020-12-10 13G ARBGU / Aequi Acquisition Corp - Units (1 Ord Share Class A & 1/3 War) 2,980,000
2020-02-14 13G/A ACP / Abrdn Income Credit Strategies Fund 910,748 476,420
2020-02-14 13G/A SD / SandRidge Energy, Inc. 2,427,745 2,109,062
2020-02-14 13G/A BSL / Blackstone Senior Floating Rate 2027 Term Fund 644,046 520,291
2019-02-14 13G/A SD / SandRidge Energy, Inc. 2,942,596 2,427,745
2019-02-14 13G/A GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust 1,177,888 1,154,388
2019-02-14 13G/A JSD / Nuveen Short Duration Credit Opportunities Fund 599,174 441,144
2019-02-14 13G/A TTP / Tortoise Pipeline & Energy Fund, Inc. 544,983 356,052
2019-02-14 13G/A ACP / Abrdn Income Credit Strategies Fund 1,263,972 910,748
2019-02-14 13G BSL / Blackstone Senior Floating Rate 2027 Term Fund 644,046
2018-02-14 13G JSD / Nuveen Short Duration Credit Opportunities Fund 290,788 599,174
2018-02-14 13G/A TTP / Tortoise Pipeline & Energy Fund, Inc. 545,007 544,983
2018-02-14 13G/A SMM / Salient Midstream & MLP Fund 834,479
2018-02-14 13G/A SD / SandRidge Energy, Inc. 4,256,428 2,942,596
2018-02-14 13G/A NAP / Navios Maritime Midstream Partners LP 700,620 720,620
2018-02-14 13G/A ACP / Abrdn Income Credit Strategies Fund 1,263,972
2017-08-10 13G/A NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 0
2017-03-10 13G/A SD / SandRidge Energy, Inc. 4,256,088 4,256,428
2017-02-14 13G/A SMM / Salient Midstream & MLP Fund 996,345
2017-02-14 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 553,033
2017-02-14 13G/A GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust 1,177,888
2017-02-14 13G/A ACP / Abrdn Income Credit Strategies Fund 775,089 994,771
2017-02-14 13G US88829M1053 / Titan Energy LLC 538,175
2017-02-14 13G/A TTP / Tortoise Pipeline & Energy Fund, Inc. 634,086 545,007
2017-02-14 13G/A STK / Columbia Seligman Premium Technology Growth Fund 793,295 292,895
2017-02-14 13G/A IXYS / IXYS Corp. 1,890,127 918,190
2017-02-14 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 713,453 366,221
2017-02-14 13G/A ACP / Abrdn Income Credit Strategies Fund 775,089 994,771
2017-02-14 13G US88829M1053 / Titan Energy LLC 538,175
2017-02-14 13G/A MXWL / Maxwell Technologies, Inc. 2,934,263 1,500,367
2016-11-14 13G SD / SandRidge Energy, Inc. 4,256,088 4,256,088
2016-11-10 13G SD / SandRidge Energy, Inc. 0 4,256,088
2016-09-06 13D/A DRII / Diamond Resorts International, Inc. 6,173,281 0
2016-07-20 13D/A DRII / Diamond Resorts International, Inc. 6,173,281 6,173,281
2016-07-19 13D/A DRII / Diamond Resorts International, Inc. 6,173,281
2016-02-16 13G/A IDE / Voya Infrastructure, Industrials and Materials Fund 950,584
2016-02-16 13G IGA / Voya Global Advantage and Premium Opportunity Fund 991,554
2016-02-16 13G/A SMM / Salient Midstream & MLP Fund 1,181,482
2016-02-16 13G STK / Columbia Seligman Premium Technology Growth Fund 793,295
2016-02-16 13G/A LNDC / Landec Corp. 589,653
2016-02-16 13G/A ACP / Abrdn Income Credit Strategies Fund 775,089
2016-02-16 13G/A JSD / Nuveen Short Duration Credit Opportunities Fund 290,788
2016-02-16 13G/A TTP / Tortoise Pipeline & Energy Fund, Inc. 634,086
2016-02-16 13G/A CMCM / Cheetah Mobile Inc. - Depositary Receipt (Common Stock) 6,971,170
2016-02-16 13G NAP / Navios Maritime Midstream Partners LP 700,620
2016-02-16 13G/A MXWL / Maxwell Technologies, Inc. 3,043,980 2,934,263
2016-02-16 13G/A IXYS / IXYS Corp. 2,522,488 1,890,127
2016-02-16 13G/A IAE / Voya Asia Pacific High Dividend Equity Income Fund 713,453
2016-02-16 13G/A EHI / Western Asset Global High Income Fund Inc. 1,009,152
2016-02-16 13G/A NCI / Neo-Concept International Group Holdings Limited 836,071 836,071
2015-10-15 13D/A METI / Merge Tech Inc 12,080,926 0
2015-09-10 13G/A MXWL / Maxwell Technologies, Inc. 3,043,980
2015-07-10 13G/A IXYS / IXYS Corp. 2,522,488
2015-07-02 13D/A METI / Merge Tech Inc 12,081,603 12,080,926
2015-03-24 13D/A DRII / Diamond Resorts International, Inc. 9,651,566 9,448,697
2015-03-11 13D/A DRII / Diamond Resorts International, Inc. 9,651,566
2015-03-09 13D METI / Merge Tech Inc 12,081,603
2015-03-04 13D/A DRII / Diamond Resorts International, Inc. 11,338,566
2015-02-17 13G/A MXWL / Maxwell Technologies, Inc. 4,427,287
2015-02-17 13G/A MFD / Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund 9,334
2015-02-17 13G/A TMEN / ThermoEnergy Corporation 20,833,340
2015-02-17 13G/A ICFI / ICF International, Inc. 709,060
2015-02-17 13G CMCM / Cheetah Mobile Inc. - Depositary Receipt (Common Stock) 10,166,760
2015-02-17 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 841,488
2015-02-17 13G/A ACP / Abrdn Income Credit Strategies Fund 782,434
2015-02-17 13G/A BSL / Blackstone Senior Floating Rate 2027 Term Fund 220,024
2015-02-17 13G/A GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust 1,154,388
2015-02-17 13G/A NCI / Neo-Concept International Group Holdings Limited 2,892,463
2015-02-17 13G/A IXYS / IXYS Corp. 4,683,846
2015-02-17 13G/A PHD / Pioneer Floating Rate Fund, Inc. 1,063,402
2015-02-17 13G/A JSD / Nuveen Short Duration Credit Opportunities Fund 618,457
2015-02-17 13G IDE / Voya Infrastructure, Industrials and Materials Fund 1,010,411
2015-02-17 13G/A ANV / 463,115
2015-02-17 13G/A FLC / Flaherty & Crumrine Total Return Fund Inc. 271,830
2015-02-17 13G/A TTP / Tortoise Pipeline & Energy Fund, Inc. 851,819
2015-02-17 13G IAE / Voya Asia Pacific High Dividend Equity Income Fund 723,409
2015-02-17 13G EHI / Western Asset Global High Income Fund Inc. 1,571,552
2015-02-17 13G SMM / Salient Midstream & MLP Fund 1,360,739
2015-02-17 13G/A ZOLT / Zoltek Companies Inc 0
2015-02-17 13G/A THG / The Hanover Insurance Group, Inc. 1,340,188
2015-02-17 13G/A LNDC / Landec Corp. 1,958,730
2015-02-17 13G/A EXD / Eaton Vance Tax-Managed Buy-Write Strategy Fund 127,995
2015-02-17 13G/A US00770F1049 / Aegion Corp 1,522,568
2014-08-18 13D/A DRII / Diamond Resorts International, Inc. 11,338,566
2014-03-12 13G GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust 1,261,805
2014-02-13 13G/A EHI / Western Asset Global High Income Fund Inc. 1,599,527
2014-02-13 13G/A FLC / Flaherty & Crumrine Total Return Fund Inc. 604,237
2014-02-13 13G/A FRA / BlackRock Floating Rate Income Strategies Fund, Inc. 1,580,565
2014-02-13 13G/A US44887Q1085 / HydroGen Corp. 1,949,246
2014-02-13 13G/A LNDC / Landec Corp. 2,508,133
2014-02-13 13G/A NCI / Neo-Concept International Group Holdings Limited 3,808,767
2014-02-13 13G/A NSL / Nuveen Senior Income Fund 1,818,927
2014-02-13 13G/A SAIA / Saia, Inc. 536,379
2014-02-13 13G/A US95790J1025 / Western Asset Corporate Loan Fund Inc. 315,553
2014-02-13 13G MFD / Macquarie/First Trust Global Infrastructure/Utilities Dividend & Income Fund 441,706
2014-02-13 13G/A PHD / Pioneer Floating Rate Fund, Inc. 1,675,241
2014-02-13 13G/A FHY / First Trust Strategic High Income Fund II 155,567
2014-02-13 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,013,034
2014-02-13 13G/A ICFI / ICF International, Inc. 1,053,047
2014-02-13 13G/A US92913C1062 / Voya Natural Resources Equity Income Fnd 862,574
2014-02-13 13G/A DHG / Deutsche High Income Opportunities Fund, Inc. 688,380
2014-02-13 13G ANV / 5,198,301
2014-02-13 13G/A WMLP / Westmoreland Resource Partners, LP 365,000
2014-02-13 13G WMLP / Westmoreland Resource Partners, LP 730,000
2014-02-13 13G/A CAL / Caleres, Inc. 2,097,148
2014-02-13 13G/A EXD / Eaton Vance Tax-Managed Buy-Write Strategy Fund 545,972
2014-02-13 13G ACP / Abrdn Income Credit Strategies Fund 963,357
2014-02-13 13G BSL / Blackstone Senior Floating Rate 2027 Term Fund 700,089
2014-02-13 13G/A JSD / Nuveen Short Duration Credit Opportunities Fund 907,415
2014-02-13 13G TTP / Tortoise Pipeline & Energy Fund, Inc. 882,632
2014-02-13 13G/A SXE / Southcross Energy Partners, L.P. 532,660
2014-02-13 13G SXE / Southcross Energy Partners, L.P. 1,065,320
2014-02-13 13G/A DKL / Delek Logistics Partners, LP - Limited Partnership 397,285
2014-02-13 13G DKL / Delek Logistics Partners, LP - Limited Partnership 794,570
2014-02-13 13G/A ARCX / Investment Managers Series Trust II - Tradr 2x Long ACHR Daily ETF 303,890
2014-02-13 13G ARCX / Investment Managers Series Trust II - Tradr 2x Long ACHR Daily ETF 607,780
2014-02-13 13G/A MXWL / Maxwell Technologies, Inc. 4,609,737
2014-02-13 13G/A US00770F1049 / Aegion Corp 2,476,726
2014-02-13 13G/A PAI / Western Asset Investment Grade Income Fund Inc. 174,827
2014-02-13 13G/A JHS / John Hancock Income Securities Trust 368,510
2014-02-13 13G/A PCF / High Income Securities Fund 518,281
2014-02-13 13G/A 0
2014-02-13 13G/A HTR / Brookfield Total Return Fund Inc. 715,810
2014-02-13 13G/A TMEN / ThermoEnergy Corporation 24,441,140
2014-02-13 13G/A ZOLT / Zoltek Companies Inc 2,354,181
2014-02-13 13G/A ICB / Morgan Stanley Income Securities, Inc. 113,265
2014-02-13 13G/A GDP / Goodrich Petroleum Corp. 35,473
2014-02-13 13G/A THG / The Hanover Insurance Group, Inc. 2,613,069
2014-02-13 13G/A IXYS / IXYS Corp. 5,226,907
2014-01-10 13G/A VPG / Vishay Precision Group, Inc. 7,746
2014-01-10 13G/A FENG / Phoenix New Media Limited - Depositary Receipt (Common Stock) 947,808
2014-01-10 13G/A GNE / Genie Energy Ltd. 221,196
2013-12-10 13G VPG / Vishay Precision Group, Inc. 1,329,649
2013-12-10 13G FENG / Phoenix New Media Limited - Depositary Receipt (Common Stock) 35,055,688
2013-12-10 13G GNE / Genie Energy Ltd. 2,078,225
2013-12-04 13G NRO / Neuberger Berman Real Estate Securities Income Fund Inc. 800
2013-08-12 13G/A JSD / Nuveen Short Duration Credit Opportunities Fund 1,024,033
2013-08-05 13D DRII / Diamond Resorts International, Inc. 11,338,566
2013-02-14 13G/A EHI / Western Asset Global High Income Fund Inc. 1,648,082
2013-02-14 13G/A FLC / Flaherty & Crumrine Total Return Fund Inc. 608,266
2013-02-14 13G/A US44887Q1085 / HydroGen Corp. 1,949,246
2013-02-14 13G/A LNDC / Landec Corp. 2,377,509
2013-02-14 13G/A NCI / Neo-Concept International Group Holdings Limited 3,865,712
2013-02-14 13G/A SAIA / Saia, Inc. 1,472,433
2013-02-14 13G FRA / BlackRock Floating Rate Income Strategies Fund, Inc. 2,428,076
2013-02-14 13G NSL / Nuveen Senior Income Fund 1,901,432
2013-02-14 13G US95790J1025 / Western Asset Corporate Loan Fund Inc. 565,308
2013-02-14 13G/A PHD / Pioneer Floating Rate Fund, Inc. 1,945,192
2013-02-14 13G FHY / First Trust Strategic High Income Fund II 483,757
2013-02-14 13G/A IGA / Voya Global Advantage and Premium Opportunity Fund 1,336,882
2013-02-14 13G/A ICFI / ICF International, Inc. 1,060,053
2013-02-14 13G US92913C1062 / Voya Natural Resources Equity Income Fnd 1,219,356
2013-02-14 13G DHG / Deutsche High Income Opportunities Fund, Inc. 940,293
2013-02-14 13G/A CAL / Caleres, Inc. 2,683,174
2013-02-14 13G EXD / Eaton Vance Tax-Managed Buy-Write Strategy Fund 917,801
2013-02-14 13G JSD / Nuveen Short Duration Credit Opportunities Fund 607,472
2013-02-14 13G/A MXWL / Maxwell Technologies, Inc. 4,407,530
2013-02-14 13G/A US00770F1049 / Aegion Corp 2,418,904
2013-02-14 13G/A PAI / Western Asset Investment Grade Income Fund Inc. 646,168
2013-02-14 13G/A JHS / John Hancock Income Securities Trust 786,247
2013-02-14 13G/A PCF / High Income Securities Fund 1,303,669
2013-02-14 13G/A 1,640,101
2013-02-14 13G/A HTR / Brookfield Total Return Fund Inc. 600,773
2013-02-14 13G/A TMEN / ThermoEnergy Corporation 24,441,140
2013-02-14 13G ZOLT / Zoltek Companies Inc 2,606,866
2013-02-14 13G/A ICB / Morgan Stanley Income Securities, Inc. 500,521
2013-02-14 13G/A GDP / Goodrich Petroleum Corp. 2,511,091
2013-02-14 13G/A THG / The Hanover Insurance Group, Inc. 2,947,728
2013-02-14 13G/A IXYS / IXYS Corp. 5,314,468