Fund |
Class
A |
Class
C |
Institutional
Class |
Class
P |
Class
R6 |
Guggenheim
Alpha Opportunity Fund |
SAOAX |
SAOCX |
SAOIX |
SAOSX |
SAORX* |
Guggenheim
Diversified Income Fund |
GUDAX |
GUDCX |
GUDIX |
GUDPX |
GUDRX* |
Guggenheim
Floating Rate Strategies Fund |
GIFAX |
GIFCX |
GIFIX |
GIFPX |
GIFSX |
Guggenheim
High Yield Fund |
SIHAX |
SIHSX |
SHYIX |
SIHPX |
SHYSX |
Guggenheim
Core Bond Fund
|
SIUSX |
SDICX |
GIUSX |
SIUPX |
GICRX* |
Guggenheim
Large Cap Value Fund |
SECIX |
SEGIX |
GILCX |
SEGPX |
GILRX* |
Guggenheim
Limited Duration Fund |
GILDX |
GILFX |
GILHX |
GILPX |
GIKRX |
Guggenheim
Macro Opportunities Fund |
GIOAX |
GIOCX |
GIOIX |
GIOPX |
GIOSX |
Guggenheim
Market Neutral Real Estate Fund |
GUMAX |
GUMCX |
GUMNX |
GUMPX |
GUMRX* |
Guggenheim
Municipal Income Fund |
GIJAX |
GIJCX |
GIJIX |
GIJPX |
GIJRX* |
Guggenheim
Risk Managed Real Estate Fund |
GURAX |
GURCX |
GURIX |
GURPX |
GURRX* |
Guggenheim
Small Cap Value Fund |
SSUAX |
SSVCX |
SSUIX |
SSUPX |
SSURX* |
Guggenheim
SMid Cap Value Fund |
SEVAX |
SEVSX |
SVUIX |
SEVPX |
SVURX* |
Guggenheim
StylePlus—Large Core Fund |
SECEX |
SFECX |
GILIX |
SFEPX |
GIQRX* |
Guggenheim
StylePlus—Mid Growth Fund |
SECUX |
SUFCX |
GIUIX |
SEUPX |
GIURX* |
Guggenheim
Total Return Bond Fund |
GIBAX |
GIBCX |
GIBIX |
GIBLX |
GIBRX |
Guggenheim
Ultra Short Duration Fund |
GIYAX |
— |
GIYIX |
GIYPX* |
GIYRX* |
Guggenheim
World Equity Income Fund |
SEQAX |
SFGCX |
SEWIX |
SEQPX |
SEWRX* |
113 | |
119 | |
122 | |
124 | |
124 | |
127 | |
128 | |
130 | |
131 | |
132 | |
132 | |
133 | |
133 | |
134 | |
134 | |
137 | |
137 | |
137 | |
138 | |
139 | |
139 | |
139 | |
139 | |
140 | |
140 | |
141 | |
141 | |
141 | |
142 | |
142 | |
143 | |
143 | |
144 | |
144 | |
A-1 |
Individual/Entity |
Frequency |
Time
Lag |
Morningstar |
Monthly |
30
calendar days |
Lipper |
Monthly |
30
calendar days |
Bloomberg |
Quarterly |
60
calendar days |
Thompson
Financial |
Quarterly |
30
calendar days |
Vickers
Stock Research |
Monthly |
30
calendar days |
FactSet |
Monthly |
30
calendar days |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Independent
Trustees | |||||
Randall
C. Barnes
(1951) |
Trustee
and
Chair
of the
Valuation
Oversight
Committee |
Since
2014
(Trustee)
Since
2020
(Chair
of the
Valuation
Oversight
Committee) |
Current:
Private Investor
(2001-present).
Former:
Senior Vice
President
and Treasurer,
PepsiCo,
Inc.
(1993-1997);
President,
Pizza
Hut International
(1991-1993);
Senior Vice
President,
Strategic
Planning
and New
Business
Development,
PepsiCo,
Inc.
(1987-1990). |
155 |
Current:
Advent
Convertible
and Income
Fund
(2005-present);
Purpose
Investments
Funds
(2013-present).
Former:
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2004-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2005-2021);
Guggenheim
Credit
Allocation
Fund
(2013-2021). |
Angela
Brock-Kyle
(1959) |
Trustee |
Since
2019 |
Current:
Founder and
Chief
Executive Officer,
B.O.A.R.D.S.
(consulting
firm)
(2013-present);
Director,
Mutual Fund
Directors
Forum (2022-
present).
Former:
Senior Leader,
TIAA
(financial services
firm)
(1987-2012). |
154 |
Current:
Bowhead
Insurance
GP, LLC
(2020-present);
Hunt
Companies,
Inc. (2019-
present).
Former:
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2019-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2019-2021);
Guggenheim
Credit
Allocation
Fund
(2019-2021);
Infinity
Property
& Casualty
Corp.
(2014-2018). |
Thomas
F. Lydon, Jr.
(1960) |
Trustee
and
Chair
of the
Contracts
Review
Committee |
Since
2019
(Trustee)
Since
2020
(Chair
of the
Contracts
Review
Committee) |
Current:
President,
Global
Trends
Investments
(registered
investment
adviser)
(1996-present);
Chief
Executive
Officer, ETF
Flows,
LLC (financial
advisor
education and
research
provider) (2019-
present);
Chief Executive
Officer,
Lydon Media
(2016-present);
Director,
GDX
Index Partners, LLC
(index
provider) (2021-
present);
Vice Chairman,
VettaFi
(financial advisor
content,
research and
digital
distribution
provider)
(2022-present). |
154 |
Current:
US Global
Investors,
Inc. (GROW)
(1995-present).
Former:
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2019-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2019-2021);
Guggenheim
Credit
Allocation
Fund
(2019-2021);
Harvest
Volatility
Edge Trust (3)
(2017-2019). |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Ronald
A. Nyberg
(1953) |
Trustee
and
Chair
of the
Nominating
and
Governance
Committee |
Since
2014 |
Current:
Of Counsel
(formerly
Partner),
Momkus
LLP (law firm)
(2016-present).
Former:
Partner, Nyberg
&
Cassioppi, LLC (law
firm)
(2000-2016);
Executive
Vice President,
General
Counsel, and
Corporate
Secretary, Van
Kampen
Investments
(1982-1999). |
155 |
Current:
Advent
Convertible
and Income
Fund
(2003-present);
PPM
Funds (2) (2018-
present);
NorthShore-
Edward-Elmhurst
Health
(2012-present).
Former:
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2004-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2005-2021);
Guggenheim
Credit
Allocation
Fund
(2013-2021);
Western
Asset
Inflation-Linked
Opportunities
& Income
Fund
(2004-2020);
Western
Asset Inflation-
Linked
Income Fund
(2003-2020). |
Sandra
G. Sponem
(1958) |
Trustee
and
Chair
of the
Audit
Committee |
Since
2019
(Trustee)
Since
2020
(Chair
of the
Audit
Committee) |
Current:
Retired.
Former:
Senior Vice
President
and Chief
Financial
Officer, M.A.
Mortenson
Companies,
Inc.
(construction and real
estate
development
company)
(2007-2017). |
154 |
Current:
SPDR Series
Trust
(81) (2018-
present);
SPDR Index
Shares
Funds (30)
(2018-present);
SSGA
Active
Trust (14) (2018-
present).
Former:
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2019-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2019-2021);
Guggenheim
Credit
Allocation
Fund
(2019-2021);
SSGA
Master
Trust (1)
(2018-2020). |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Ronald
E. Toupin, Jr.
(1958) |
Trustee,
Chair
of the
Board
and
Chair
of the
Executive
Committee |
Since
2014 |
Current:
Portfolio
Consultant
(2010-
present);
Member,
Governing
Council,
Independent
Directors
Council
(2013-present);
Governor,
Board of
Governors,
Investment
Company
Institute (2018-
present).
Former:
Member,
Executive
Committee,
Independent
Directors
Council
(2016-2018);
Vice
President, Manager
and
Portfolio Manager,
Nuveen
Asset
Management
(1998-1999);
Vice
President,
Nuveen
Investment
Advisory
Corp.
(1992-1999); Vice
President
and Manager,
Nuveen
Unit Investment
Trusts
(1991-1999); and
Assistant
Vice President
and
Portfolio Manager,
Nuveen
Unit Investment
Trusts
(1988-1999), each
of
John Nuveen & Co.,
Inc.
(registered broker-
dealer)
(1982-1999). |
154 |
Former:
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2004-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2005-2021);
Guggenheim
Credit
Allocation
Fund
(2013-2021);
Western
Asset
Inflation-Linked
Opportunities
& Income
Fund
(2004-2020);
Western
Asset Inflation-
Linked
Income Fund
(2003-2020). |
Name,
Address*
and
Year
of Birth
of
Trustees |
Position(s)
Held
with
Trust |
Term
of
Office
and
Length
of
Time
Served** |
Principal
Occupation(s)
During
Past 5 Years |
Number
of
Portfolios
in
Fund
Complex
Overseen
by
Trustee |
Other
Directorships
Held
by Trustees
During
Past
5
Years*** |
Interested
Trustee | |||||
Amy
J. Lee****
(1961) |
Trustee,
Vice
President
and
Chief
Legal
Officer |
Since
2018
(Trustee)
Since
2014
(Chief
Legal
Officer)
Since
2007
(Vice
President) |
Current:
Interested
Trustee,
certain other
funds
in the Fund
Complex
(2018-present);
Chief
Legal Officer,
certain
other funds in the
Fund
Complex (2014-
present);
Vice President,
certain
other funds in the
Fund
Complex (2007-
present);
Senior
Managing
Director,
Guggenheim
Investments
(2012-present).
Former:
President,
certain
other funds in the
Fund
Complex
(2017-2019);
Vice
President,
Associate
General
Counsel and
Assistant
Secretary,
Security
Benefit Life
Insurance
Company and
Security
Benefit
Corporation
(2004-2012). |
154 |
Former:
Fiduciary/
Claymore
Energy
Infrastructure
Fund
(2018-2022);
Guggenheim
Enhanced
Equity
Income Fund
(2018-2021);
Guggenheim
Credit
Allocation
Fund
(2018-2021). |
Name,
Address*
and
Year of
Birth
of the
Officers |
Position(s)
Held
with
the Trust |
Term
of Office
and
Length of
Time
Served** |
Principal
Occupation(s) During
the
Past 5 Years |
Brian
E. Binder
(1972) |
President
and
Chief
Executive
Officer |
Since
2018 |
Current:
President, Mutual Funds
Boards,
Guggenheim Investments
(2022-present);
President and
Chief
Executive Officer, certain
other
funds in the Fund Complex
(2018-present);
President, Mutual
Funds
Board, Guggenheim Funds
Investment
Advisors, LLC and
Security
Investors, LLC (2018-
present);
Board Member,
Guggenheim
Partners Investment
Funds
plc (2022-present); Board
Member,
Guggenheim Global
Investments
plc (2022-present);
Board
Member, Guggenheim
Partners
Fund Management
(Europe)
Limited (2018-present).
Former:
Senior Managing Director
and
Chief Administrative Officer,
Guggenheim
Investments
(2018-2022);
Managing Director
and
President, Deutsche Funds,
and
Head of US Product, Trading
and
Fund Administration,
Deutsche
Asset Management
(2013-2018);
Managing Director,
Chairman
of North American
Executive
Committee and Head of
Business
Management and
Consulting,
Invesco Ltd.
(2010-2012). |
James
M. Howley
(1972) |
Chief
Accounting Officer, Chief Financial Officer,
Principal
Financial and Accounting Officer, and
Treasurer |
Since
2022 |
Current:
Managing Director,
Guggenheim
Investments (2004-
present);
Chief Financial Officer,
Chief
Accounting Officer, and
Treasurer,
certain other funds in
the
Fund Complex (2022-present).
Former:
Assistant Treasurer,
certain
other funds in the Fund
Complex
(2014-2022); Manager,
Mutual
Fund Administration of
Van
Kampen Investments, Inc.
(1996-2004). |
Mark
E. Mathiasen
(1978) |
Secretary |
Since
2014 |
Current:
Secretary, certain other
funds
in the Fund Complex (2007-
present);
Managing Director,
Guggenheim
Investments (2007-
present). |
Glenn
McWhinnie
(1969) |
Assistant
Treasurer |
Since
2016 |
Current:
Vice President,
Guggenheim
Investments (2009-
present);
Assistant Treasurer,
certain
other funds in the Fund
Complex
(2016-present). |
Name,
Address*
and
Year of
Birth
of the
Officers |
Position(s)
Held
with
the Trust |
Term
of Office
and
Length of
Time
Served** |
Principal
Occupation(s) During
the
Past 5 Years |
Michael
P. Megaris
(1984) |
Assistant
Secretary |
Since
2014 |
Current:
Assistant Secretary,
certain
other funds in the Fund
Complex
(2014-present);
Managing
Director, Guggenheim
Investments
(2012-present). |
Elisabeth
Miller
(1968) |
Chief
Compliance
Officer |
Since
2012 |
Current:
Chief Compliance
Officer,
certain other funds in the
Fund
Complex (2012-present);
Senior
Managing Director,
Guggenheim
Investments (2012-
present);
Senior Managing
Director,
Guggenheim Funds
Distributors,
LLC (2014-present).
Former:
Chief Compliance Officer,
Security
Investors, LLC and
Guggenheim
Funds Investment
Advisors,
LLC (2012-2018); Chief
Compliance
Officer, Guggenheim
Distributors,
LLC (2009-2014);
Senior
Manager, Security
Investors,
LLC (2004-2014);
Senior
Manager, Guggenheim
Distributors,
LLC (2004-2014). |
Margaux
Misantone
(1978) |
AML
Officer |
Since
2017 |
Current:
Chief Compliance
Officer,
Security Investors, LLC
and
Guggenheim Funds
Investment
Advisors, LLC (2018-
present);
AML Officer, Security
Investors,
LLC and certain other
funds
in the Fund Complex (2017-
present);
Managing Director,
Guggenheim
Investments (2015-
present).
Former:
Assistant Chief
Compliance
Officer, Security
Investors,
LLC and Guggenheim
Funds
Investment Advisors, LLC
(2015-2018). |
Kimberly
J. Scott
(1974) |
Assistant
Treasurer |
Since
2014 |
Current:
Director, Guggenheim
Investments
(2012-present);
Assistant
Treasurer, certain other
funds
in the Fund Complex (2012-
present).
Former:
Financial Reporting
Manager,
Invesco, Ltd.
(2010-2011);
Vice President/
Assistant
Treasurer, Mutual Fund
Administration
for Van Kampen
Investments,
Inc./Morgan Stanley
Investment
Management
(2009-2010);
Manager of Mutual
Fund
Administration, Van Kampen
Investments,
Inc./Morgan Stanley
Investment
Management
(2005-2009). |
Name,
Address*
and
Year of
Birth
of the
Officers |
Position(s)
Held
with
the Trust |
Term
of Office
and
Length of
Time
Served** |
Principal
Occupation(s) During
the
Past 5 Years |
Bryan
Stone
(1979) |
Vice
President |
Since
2014 |
Current:
Vice President, certain
other
funds in the Fund Complex
(2014-present);
Managing
Director,
Guggenheim Investments
(2013-present).
Former:
Senior Vice President,
Neuberger
Berman Group LLC
(2009-2013);
Vice President,
Morgan
Stanley (2002-2009). |
Jon
Szafran
(1989) |
Assistant
Treasurer |
Since
2017 |
Current:
Director, Guggenheim
Investments
(2017-present);
Assistant
Treasurer, certain other
funds
in the Fund Complex (2017-
present).
Former:
Assistant Treasurer of
Henderson
Global Funds and
Manager
of US Fund
Administration,
Henderson Global
Investors
(North America) Inc.
(“HGINA”)
(2017); Senior Analyst
of
US Fund Administration,
HGINA
(2014-2017); Senior
Associate
of Fund Administration,
Cortland
Capital Market Services,
LLC
(2013-2014); Experienced
Associate,
PricewaterhouseCoopers
LLP
(2012-2013). |
Name
of Independent Trustees |
Aggregate
Compensation
from
the Trust |
Aggregate
Compensation
from
the Fund Complex1,
including
the Family of
Funds |
Randall
C. Barnes |
$119,648 |
$448,000 |
Angela
Brock-Kyle |
$114,697 |
$347,500 |
Thomas
F. Lydon, Jr. |
$117,998 |
$357,500 |
Ronald
A. Nyberg |
$117,338 |
$439,000 |
Sandra
G. Sponem |
$127,075 |
$385,000 |
Ronald
E. Toupin, Jr. |
$143,908 |
$436,000 |
Name
of Independent
Trustee |
Name
of Fund |
Dollar
Range
of
Equity Securities
in
the Funds |
Aggregate Dollar Range of
Equity
Securities in all
Registered
Investment
Companies
Overseen by
Trustee in Fund Complex*,
Including
the Family of
Funds |
Randall
C. Barnes |
N/A |
None |
Over
$100,000 |
Angela
Brock-Kyle |
Macro
Opportunities Fund |
$10,001-$50,000 |
Over
$100,000 |
Total
Return Bond Fund |
$10,001-$50,000 | ||
Thomas
F. Lydon, Jr. |
SMid
Cap Value Fund |
Over
$100,000 |
Over
$100,000 |
Ronald
A. Nyberg |
N/A |
None |
Over
$100,000 |
Sandra
G. Sponem |
Total
Return Bond Fund |
$10,001-$50,000 |
Over
$100,000 |
Ronald
E. Toupin, Jr. |
Macro
Opportunities Fund |
$50,001-$100,000 |
Over
$100,000 |
Total
Return Bond Fund |
$50,001-$100,000 | ||
Ultra
Short Duration Fund |
$10,001-$50,000 |
Name
of Interested
Trustee |
Name
of Fund |
Dollar
Range of
Equity Securities in
the
Funds |
Aggregate Dollar Range of
Equity
Securities in all
Registered
Investment
Companies
Overseen by
Trustee in Fund Complex*,
Including
the Family of
Funds |
Amy
J. Lee |
StylePlus—Mid
Growth Fund |
$10,001-$50,000 |
Over
$100,000 |
Macro
Opportunities Fund |
$1-$10,000 | ||
World
Equity Income Fund |
$1-$10,000 |
Name
of Shareholder1
|
Address
of Shareholder |
Fund |
Class
|
Percent |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
ALPHA
OPPORTUNITY FUND |
A |
13.48% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN ST
SAN
FRANCISCO, CA 94105 |
ALPHA
OPPORTUNITY FUND |
A |
7.26% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
ALPHA
OPPORTUNITY FUND |
A |
14.66% |
JERRY
B FARLEY REVOCABLE
TRUST |
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
ALPHA
OPPORTUNITY FUND |
A |
10.94% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
ALPHA
OPPORTUNITY FUND |
C |
15.63% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS
|
211
MAIN ST
SAN
FRANCISCO, CA 94105 |
ALPHA
OPPORTUNITY FUND |
C |
8.16% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
ALPHA
OPPORTUNITY FUND |
C |
27.25% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
ALPHA
OPPORTUNITY FUND |
C |
10.53% |
VANGUARD
BROKERAGE
SERVICES |
P.
O. BOX 1170
VALLEY
FORGE PA 19482-1170 |
ALPHA
OPPORTUNITY FUND |
C |
30.52% |
GUGGENHEIM
MACRO
OPPORTUNITIES
FUND2
|
227
W MONROE ST, STE 4900
CHICAGO,
IL 60606 |
ALPHA
OPPORTUNITY FUND |
I |
97.33% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
ALPHA
OPPORTUNITY FUND |
P |
7.68% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
ALPHA
OPPORTUNITY FUND |
P |
32.08% |
INTERACTIVE
BROKERS LLC |
2
PICKWICK PLAZA
GREENWICH,
CT 06830 |
ALPHA
OPPORTUNITY FUND |
P |
57.93% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC2
|
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
DIVERSIFIED
INCOME FUND |
A |
43.24% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
DIVERSIFIED
INCOME FUND |
A |
28.32% |
PATRICIA
L KAUFFMAN
|
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
DIVERSIFIED
INCOME FUND |
A |
10.80% |
BETTE
ARLENE JEPPSON/TOD
ORVID
B JEPPSON |
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
DIVERSIFIED
INCOME FUND |
A |
10.43% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC2
|
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
DIVERSIFIED
INCOME FUND |
C |
52.02% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
DIVERSIFIED
INCOME FUND |
C |
6.24% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
DIVERSIFIED
INCOME FUND |
C |
7.40% |
DONNA
MARSH
|
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
DIVERSIFIED
INCOME FUND |
C |
34.35% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC2
|
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
DIVERSIFIED
INCOME FUND |
I |
92.87% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
DIVERSIFIED
INCOME FUND |
I |
5.58% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC2
|
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
DIVERSIFIED
INCOME FUND |
P |
25.56% |
TD
AMERITRADE INC FBO
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
DIVERSIFIED
INCOME FUND |
P |
74.27% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC./FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
FLOATING
RATE
STRATEGIES
FUND |
A |
12.31% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
FLOATING
RATE
STRATEGIES
FUND |
A |
5.58% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
FLOATING
RATE
STRATEGIES
FUND |
A |
23.63% |
MORGAN
STANLEY SMITH
BARNEY
LLC/FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
FLOATING
RATE
STRATEGIES
FUND |
A |
24.94% |
NFS
LLC FEBO CUSTOMERS |
200
LIBERTY STREET
NEW
YORK, NY 10281 |
FLOATING
RATE
STRATEGIES
FUND |
A |
12.03% |
NFS
LLC FEBO CUSTOMERS |
200
LIBERTY STREET
NEW
YORK, NY 10281 |
FLOATING
RATE
STRATEGIES
FUND |
C |
8.55% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
FLOATING
RATE
STRATEGIES
FUND |
C |
10.62% |
MORGAN
STANLEY SMITH
BARNEY
LLC/FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
FLOATING
RATE
STRATEGIES
FUND |
C |
21.76% |
UBS
FINANCIAL SERVICES INC.
FBO
CUSTOMERS |
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
FLOATING
RATE
STRATEGIES
FUND |
C |
7.07% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
FLOATING
RATE
STRATEGIES
FUND |
C |
6.57% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
FLOATING
RATE
STRATEGIES
FUND |
C |
9.55% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
FLOATING
RATE
STRATEGIES
FUND |
C |
12.74% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
FLOATING
RATE
STRATEGIES
FUND |
C |
9.82% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
FLOATING
RATE
STRATEGIES
FUND |
I |
13.85% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
FLOATING
RATE
STRATEGIES
FUND |
I |
14.38% |
NATIONAL
FINANCIAL SVCS
CORP
FBO CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
FLOATING
RATE
STRATEGIES
FUND |
I |
14.32% |
MORGAN
STANLEY SMITH
BARNEY
LLC FBO CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
FLOATING
RATE
STRATEGIES
FUND |
I |
15.73% |
UBS
FINANCIAL SERVICES INC.
FBO
CUSTOMERS |
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
FLOATING
RATE
STRATEGIES
FUND |
I |
13.05% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
FLOATING
RATE
STRATEGIES
FUND |
I |
6.59% |
TD
AMERITRADE INC FOR THE/
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
FLOATING
RATE
STRATEGIES
FUND |
P |
32.38% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
FLOATING
RATE
STRATEGIES
FUND |
P |
8.64% |
NATIONAL
FINANCIAL SVCS
CORP
FBO CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
FLOATING
RATE
STRATEGIES
FUND |
P |
53.22% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
BARCLAYS
CAPITAL INC. |
70
HUDSON ST
JERSEY
CITY, NJ 07302 |
FLOATING
RATE
STRATEGIES
FUND |
R6 |
94.83% |
SBL
VARIABLE ANNUITY
ACCOUNT
XIV/SECURITY
BENEFIT
LIFE INSURANCE CO |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
HIGH
YIELD FUND |
A |
6.57% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
HIGH
YIELD FUND |
A |
45.29% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
HIGH
YIELD FUND |
C |
25.62% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
HIGH
YIELD FUND |
C |
21.17% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN ST
SAN
FRANCISCO, CA 94105 |
HIGH
YIELD FUND |
C |
7.92% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
HIGH
YIELD FUND |
C |
5.27% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
HIGH
YIELD FUND |
C |
15.68% |
AMERICAN
ENTERPRISE
INVEST |
707
2ND AVE SOUTH
MINNEAPOLIS,
MN 55402-2405 |
HIGH
YIELD FUND |
C |
5.40% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
HIGH
YIELD FUND |
I |
16.41% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
HIGH
YIELD FUND |
I |
21.31% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
HIGH
YIELD FUND |
I |
5.84% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
HIGH
YIELD FUND |
I |
10.03% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
HIGH
YIELD FUND |
I |
16.74% |
AMERICAN
ENTERPRISE
INVEST |
707
2ND AVE SOUTH
MINNEAPOLIS,
MN 55402-2405 |
HIGH
YIELD FUND |
I |
6.53% |
NFS
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
HIGH
YIELD FUND |
I |
11.15% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
HIGH
YIELD FUND |
P |
29.32% |
NATIONAL
FINANCIAL SVCS FBO
CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
HIGH
YIELD FUND |
P |
52.70% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
HIGH
YIELD FUND |
P |
10.34% |
GUGGENHEIM
FUNDS TRUST/
GUGGENHEIM
DIVERSIFIED
INCOME
FUND |
805
KING FARM BLVD STE 600
ROCKVILLE,
MD 20850 |
HIGH
YIELD FUND |
R6 |
96.49% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC./FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
CORE
BOND FUND |
A |
10.17% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
CORE
BOND FUND |
A |
52.12% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
CORE
BOND FUND |
C |
9.00% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
CORE
BOND FUND |
C |
18.23% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
CORE
BOND FUND |
C |
11.38% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN ST
SAN
FRANCISCO, CA 94105 |
CORE
BOND FUND |
C |
6.22% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
CORE
BOND FUND |
C |
10.82% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
CORE
BOND FUND |
C |
8.98% |
AMERICAN
ENTERPRISE
INVEST |
707
2ND AVE SOUTH
MINNEAPOLIS,
MN 55402-2405 |
CORE
BOND FUND |
C |
7.29% |
CENTENNIAL
BANK TRUST |
PO
BOX 7514
JONESBORO
AR 72403 |
CORE
BOND FUND |
C |
14.07% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
CORE
BOND FUND |
I |
12.45% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
CORE
BOND FUND |
I |
16.95% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
CORE
BOND FUND |
I |
8.56% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
CORE
BOND FUND |
I |
8.49% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
CORE
BOND FUND |
I |
8.66% |
AMERICAN
ENTERPRISE
INVEST |
707
2ND AVE SOUTH
MINNEAPOLIS,
MN 55402-2405 |
CORE
BOND FUND |
I |
12.69% |
BENEFIT
TRUST COMPANY FBO
CUSTOMERS |
PO
BOX 12765
OVERLAND
PARK KS 66282 |
CORE
BOND FUND |
I |
13.53% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
CORE
BOND FUND |
P |
32.83% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
CORE
BOND FUND |
P |
56.50% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
CORE
BOND FUND |
P |
8.13% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
SECURITY
BENEFIT LIFE
INSURANCE
CO |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
LARGE
CAP VALUE FUND |
A |
23.43% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
LARGE
CAP VALUE FUND |
A |
19.29% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
LARGE
CAP VALUE FUND |
C |
37.27% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
LARGE
CAP VALUE FUND |
C |
22.21% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
LARGE
CAP VALUE FUND |
C |
10.27% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
LARGE
CAP VALUE FUND |
I |
52.86% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
LARGE
CAP VALUE FUND |
I |
30.69% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
LARGE
CAP VALUE FUND |
I |
6.76% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC |
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
LARGE
CAP VALUE FUND |
P |
19.83% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
LARGE
CAP VALUE FUND |
P |
65.64% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
LARGE
CAP VALUE FUND |
P |
6.80% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
LARGE
CAP VALUE FUND |
P |
5.54% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
LIMITED
DURATION FUND |
A |
13.00% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
LIMITED
DURATION FUND |
A |
29.06% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
LIMITED
DURATION FUND |
A |
16.63% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR
CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
LIMITED
DURATION FUND |
A |
9.03% |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
LIMITED
DURATION FUND |
A |
5.49% |
RBC
CAPITAL MARKETS LLC
|
60
SOUTH SIXTH ST-P08
MINNEAPOLIS,
MN 55402-4400 |
LIMITED
DURATION FUND |
A |
5.63% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
LIMITED
DURATION FUND |
A |
5.25% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
LIMITED
DURATION FUND |
C |
12.06% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
LIMITED
DURATION FUND |
C |
29.45% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
LIMITED
DURATION FUND |
C |
18.06% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
LIMITED
DURATION FUND |
C |
6.76% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
LIMITED
DURATION FUND |
C |
10.82% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
LIMITED
DURATION FUND |
C |
8.20% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
LIMITED
DURATION FUND |
I |
12.94% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
LIMITED
DURATION FUND |
I |
12.18% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR
CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
LIMITED
DURATION FUND |
I |
19.97% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
LIMITED
DURATION FUND |
I |
20.66% |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
LIMITED
DURATION FUND |
I |
7.39% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
LIMITED
DURATION FUND |
I |
5.22% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
LIMITED
DURATION FUND |
P |
60.83% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
LIMITED
DURATION FUND |
P |
28.64% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
LIMITED
DURATION FUND |
P |
7.48% |
MORGAN
STANLEY SMITH
BARNEY
LLC/FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
LIMITED
DURATION FUND |
R6 |
27.99% |
J.P.
MORGAN SECURITIES LLC
FBO
CUSTOMERS |
4
CHASE METROTECH CENTER
BROOKLYN,
NY 11245-0001 |
LIMITED
DURATION FUND |
R6 |
71.90% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
MACRO
OPPORTUNITIES
FUND |
A |
11.19% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
MACRO
OPPORTUNITIES
FUND |
A |
13.47% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
MACRO
OPPORTUNITIES
FUND |
A |
23.43% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
MACRO
OPPORTUNITIES
FUND |
A |
9.30% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
MACRO
OPPORTUNITIES
FUND |
A |
5.16% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
MACRO
OPPORTUNITIES
FUND |
A |
6.02% |
NFS
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MACRO
OPPORTUNITIES
FUND |
A |
8.91% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
MACRO
OPPORTUNITIES
FUND |
C |
8.83% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT
OF
ITS CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
MACRO
OPPORTUNITIES
FUND |
C |
19.51% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
MACRO
OPPORTUNITIES
FUND |
C |
19.61% |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
MACRO
OPPORTUNITIES
FUND |
C |
7.43% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
MACRO
OPPORTUNITIES
FUND |
C |
5.79% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN ST
SAN
FRANCISCO, CA 94105 |
MACRO
OPPORTUNITIES
FUND |
C |
6.60% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
MACRO
OPPORTUNITIES
FUND |
C |
9.80% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
MACRO
OPPORTUNITIES
FUND |
C |
5.73% |
NFS
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MACRO
OPPORTUNITIES
FUND |
C |
5.89% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
MACRO
OPPORTUNITIES
FUND |
I |
12.74% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
MACRO
OPPORTUNITIES
FUND |
I |
15.57% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MACRO
OPPORTUNITIES
FUND |
I |
13.78% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
MACRO
OPPORTUNITIES
FUND |
I |
17.33% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
MACRO
OPPORTUNITIES
FUND |
I |
8.08% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
MACRO
OPPORTUNITIES
FUND |
I |
6.96% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
MACRO
OPPORTUNITIES
FUND |
I |
6.72% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
MACRO
OPPORTUNITIES
FUND |
P |
39.66% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MACRO
OPPORTUNITIES
FUND |
P |
8.86% |
TD
AMERITRADE INC FOR THE/
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
MACRO
OPPORTUNITIES
FUND |
P |
46.21% |
J.P.
MORGAN SECURITIES LLC
FBO
CUSTOMERS |
4
CHASE METROTECH CENTER
BROOKLYN,
NY 11245-0001 |
MACRO
OPPORTUNITIES
FUND |
R6 |
38.63% |
BENEFIT
TRUST COMPANY FBO
CUSTOMERS |
PO
BOX 12765
OVERLAND
PARK KS 66211 |
MACRO
OPPORTUNITIES
FUND |
R6 |
58.06% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
A |
52.43% |
SECURITY
INVESTORS LLC |
227
WEST MONROE ST STE
4900
CHICAGO,
IL 60606 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
A |
27.10% |
GAIL
KLIGMAN (RIRA) |
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
A |
6.60% |
DAVID
L DEMING (RIRA) |
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
A |
6.66% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
C |
35.10% |
SECURITY
INVESTORS LLC |
227
WEST MONROE ST STE
4900
CHICAGO,
IL 60606 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
C |
52.73% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
C |
11.62% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS2
|
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
I |
60.17% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
I |
14.34% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
I |
7.14% |
SECURITY
INVESTORS LLC |
227
WEST MONROE ST STE
4900
CHICAGO,
IL 60606 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
I |
12.21% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS2
|
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
P |
82.61% |
SECURITY
INVESTORS LLC |
227
WEST MONROE ST STE
4900
CHICAGO,
IL 60606 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
P |
7.81% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
MARKET
NEUTRAL REAL
ESTATE
FUND |
P |
9.03% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
MUNICIPAL
INCOME FUND |
A |
6.46% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
MUNICIPAL
INCOME FUND |
A |
7.32% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
MUNICIPAL
INCOME FUND |
A |
8.96% |
WELLS
FARGO CLEARING
SERVICES,
LLC2
|
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
MUNICIPAL
INCOME FUND |
A |
51.00% |
RBC
CAPITAL MARKETS LLC |
60
SOUTH SIXTH ST-P08
MINNEAPOLIS,
MN 55402-4400 |
MUNICIPAL
INCOME FUND |
A |
14.03% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
MUNICIPAL
INCOME FUND |
C |
18.03% |
WELLS
FARGO CLEARING
SERVICES,
LLC2
|
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
MUNICIPAL
INCOME FUND |
C |
23.35% |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
MUNICIPAL
INCOME FUND |
C |
22.49% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
MUNICIPAL
INCOME FUND |
C |
14.52% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
MUNICIPAL
INCOME FUND |
C |
8.28% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MUNICIPAL
INCOME FUND |
I |
9.65% |
WELLS
FARGO CLEARING
SERVICES,
LLC2
|
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
MUNICIPAL
INCOME FUND |
I |
35.47% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
MUNICIPAL
INCOME FUND |
I |
6.79% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
MUNICIPAL
INCOME FUND |
I |
5.43% |
E*TRADE |
PO
BOX 6503
ENGLEWOOD,
CO 801556503 |
MUNICIPAL
INCOME FUND |
I |
31.11% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC |
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
MUNICIPAL
INCOME FUND |
P |
6.85% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
MUNICIPAL
INCOME FUND |
P |
28.26% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
MUNICIPAL
INCOME FUND |
P |
38.34% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
MUNICIPAL
INCOME FUND |
P |
17.21% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
MUNICIPAL
INCOME FUND |
P |
8.52% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
RISK
MANAGED REAL
ESTATE
FUND |
A |
16.96% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
RISK
MANAGED REAL
ESTATE
FUND |
A |
27.98% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
RISK
MANAGED REAL
ESTATE
FUND |
A |
14.07% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
RISK
MANAGED REAL
ESTATE
FUND |
A |
11.48% |
NFS
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
RISK
MANAGED REAL
ESTATE
FUND |
A |
13.47% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
RISK
MANAGED REAL
ESTATE
FUND |
C |
37.92% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
RISK
MANAGED REAL
ESTATE
FUND |
C |
5.01% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
RISK
MANAGED REAL
ESTATE
FUND |
C |
17.94% |
CENTENNIAL
BANK TRUST |
PO
Box 7514
JONESBORO
AR 72403 |
RISK
MANAGED REAL
ESTATE
FUND |
C |
24.02% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
17.84% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
5.37% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
6.87% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
9.15% |
GUGGENHEIM
MACRO
OPPORTUNITIES
FUND |
227
W MONROE ST, STE 4900
CHICAGO,
IL 60606 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
14.66% |
NATIONAL
BANK OF CANADA |
1155
METCALFE ST 1ST FLOOR
MONTREAL,
QUEBEC, H3B 5G2
CANADA |
RISK
MANAGED REAL
ESTATE
FUND |
I |
8.63% |
GERLACH
& CO, LLC |
3800
CITIGROUP CENTER
TAMPA
FL 33610 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
5.83% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
11.30% |
SEI
PRIVATE TRUST COMPANY
|
ONE
FREEDOME VALLEY DRIVE
OAKS,
PA 19456 |
RISK
MANAGED REAL
ESTATE
FUND |
I |
10.35% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
RISK
MANAGED REAL
ESTATE
FUND |
P |
31.72% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
RISK
MANAGED REAL
ESTATE
FUND |
P |
46.69% |
TD
AMERITRADE INC FOR THE/
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
RISK
MANAGED REAL
ESTATE
FUND |
P |
17.24% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
SMALL
CAP VALUE FUND |
A |
35.71% |
WELLS
FARGO CLEARING
SERVICES,
LLC FBO
CUSTOMERS |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
SMALL
CAP VALUE FUND |
A |
8.68% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
SMALL
CAP VALUE FUND |
A |
10.03% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
SMALL
CAP VALUE FUND |
C |
50.99% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
SMALL
CAP VALUE FUND |
C |
9.61% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
SMALL
CAP VALUE FUND |
C |
12.36% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
SMALL
CAP VALUE FUND |
I |
7.84% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
SMALL
CAP VALUE FUND |
I |
28.21% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
SMALL
CAP VALUE FUND |
I |
45.07% |
NATIONWIDE
TRUST COMPANY |
PO
BOX 182029
COLUMBUS
OH 43218-2029 |
SMALL
CAP VALUE FUND |
I |
8.91% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC |
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
SMALL
CAP VALUE FUND |
P |
8.66% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
SMALL
CAP VALUE FUND |
P |
8.89% |
TD
AMERITRADE INC FOR THE/
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
SMALL
CAP VALUE FUND |
P |
80.85% |
NFS
LLC FEBO CUSTOMERS |
200
LIBERTY STREET
NEW
YORK, NY 10281 |
SMID
CAP VALUE FUND |
A |
6.81% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
SMID
CAP VALUE FUND |
A |
39.37% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
SMID
CAP VALUE FUND |
A |
6.50% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
SMID
CAP VALUE FUND |
C |
20.93% |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
SMID
CAP VALUE FUND |
C |
5.27% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN ST
SAN
FRANCISCO, CA 94105 |
SMID
CAP VALUE FUND |
C |
5.27% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
SMID
CAP VALUE FUND |
C |
13.46% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
SMID
CAP VALUE FUND |
C |
10.07% |
NFS
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
SMID
CAP VALUE FUND |
C |
15.46% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC./FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
SMID
CAP VALUE FUND |
I |
18.42% |
WELLS
FARGO CLEARING
SERVICES,
LLC FBO
CUSTOMERS |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
SMID
CAP VALUE FUND |
I |
9.12% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
SMID
CAP VALUE FUND |
I |
16.34% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
SMID
CAP VALUE FUND |
I |
8.23% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN ST
SAN
FRANCISCO, CA 94105 |
SMID
CAP VALUE FUND |
I |
7.99% |
RAYMOND
JAMES FBO
CUSTOMERS |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
SMID
CAP VALUE FUND |
I |
12.30% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
SMID
CAP VALUE FUND |
P |
14.17% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
SMID
CAP VALUE FUND |
P |
69.07% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
SMID
CAP VALUE FUND |
P |
6.84% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
SMID
CAP VALUE FUND |
P |
6.24% |
SECURITY
BENEFIT LIFE
INSURANCE
CO |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
STYLEPLUS—LARGE
CORE
FUND
|
A |
7.67% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
STYLEPLUS—LARGE
CORE
FUND |
A |
11.58% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
STYLEPLUS—LARGE
CORE
FUND |
C |
5.02% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
STYLEPLUS—LARGE
CORE
FUND |
C |
54.76% |
NATIONAL
FINANCIAL SVCS
CORP/FOR
EXCLUSIVE BENEFIT
OF
OUR CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
STYLEPLUS—LARGE
CORE
FUND |
I |
9.03% |
RBC
CAPITAL MARKETS LLC |
60
SOUTH SIXTH ST-P08
MINNEAPOLIS,
MN 55402-4400 |
STYLEPLUS—LARGE
CORE
FUND |
I |
5.27% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
STYLEPLUS—LARGE
CORE
FUND |
I |
21.72% |
RAYMOND
JAMES FBO
CUSTOMERS |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
STYLEPLUS—LARGE
CORE
FUND |
I |
8.32% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
STYLEPLUS—LARGE
CORE
FUND |
I |
8.29% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
STYLEPLUS—LARGE
CORE
FUND |
I |
11.87% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC |
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
STYLEPLUS—LARGE
CORE
FUND |
P |
9.64% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
STYLEPLUS—LARGE
CORE
FUND |
P |
16.70% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
STYLEPLUS—LARGE
CORE
FUND |
P |
67.88% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
STYLEPLUS—LARGE
CORE
FUND |
P |
5.14% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
STYLEPLUS—MID
GROWTH
FUND |
A |
10.58% |
WELLS
FARGO CLEARING
SERVICES,
LLC FBO
CUSTOMERS |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
STYLEPLUS—MID
GROWTH
FUND |
C |
12.77% |
D
BRIAN COPE/TOD ALLISON
COPE |
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
STYLEPLUS—MID
GROWTH
FUND |
C |
5.22% |
BARRY
CROWDER (RIRA) |
702
KING FARM BLVD, SUITE
200,
ROCKVILLE, MD 20850 |
STYLEPLUS—MID
GROWTH
FUND |
C |
5.33% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
STYLEPLUS—MID
GROWTH
FUND |
I |
27.33% |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
STYLEPLUS—MID
GROWTH
FUND |
I |
6.82% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
STYLEPLUS—MID
GROWTH
FUND |
I |
5.64% |
RAYMOND
JAMES FBO
CUSTOMERS |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
STYLEPLUS—MID
GROWTH
FUND |
I |
12.93% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
STYLEPLUS—MID
GROWTH
FUND |
I |
15.77% |
LINCOLN
INVESTMENT
PLANNING,
LLC |
601
OFFICE CENTER DRIVE
SUITE
300
FORT
WASHINGTON, PA 19034 |
STYLEPLUS—MID
GROWTH
FUND |
I |
11.28% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC |
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
STYLEPLUS—MID
GROWTH
FUND |
P |
28.72% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
STYLEPLUS—MID
GROWTH
FUND |
P |
6.88% |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
STYLEPLUS—MID
GROWTH
FUND |
P |
56.85% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
TOTAL
RETURN BOND FUND |
A |
11.42% |
SECURITY
FINANCIAL
RESOURCES |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
TOTAL
RETURN BOND FUND |
A |
18.49% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
TOTAL
RETURN BOND FUND |
A |
15.20% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
TOTAL
RETURN BOND FUND |
A |
5.24% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
TOTAL
RETURN BOND FUND |
A |
10.86% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
TOTAL
RETURN BOND FUND |
A |
9.33% |
MATRIX
TRUST COMPANY FBO
CUSTOMERS |
717
17th Street
SUITE
1300
DENVER
CO 80202 |
TOTAL
RETURN BOND FUND |
A |
6.24% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
TOTAL
RETURN BOND FUND |
C |
12.15% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
TOTAL
RETURN BOND FUND |
C |
17.26% |
WELLS
FARGO CLEARING
SERVICES,
LLC |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
TOTAL
RETURN BOND FUND |
C |
19.10% |
UBS
FINANCIAL SERVICES INC.
|
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
TOTAL
RETURN BOND FUND |
C |
5.45% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
TOTAL
RETURN BOND FUND |
C |
7.17% |
RAYMOND
JAMES |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
TOTAL
RETURN BOND FUND |
C |
9.97% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
TOTAL
RETURN BOND FUND |
C |
11.40% |
MERRILL
LYNCH, PIERCE,
FENNER
& SMITH, INC. FOR THE
SOLE
BENEFIT OF ITS
CUSTOMERS |
4800
DEER LAKE DRIVE E, 3RD
FLOOR
JACKSONVILLE,
FL 32246 |
TOTAL
RETURN BOND FUND |
I |
7.50% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
TOTAL
RETURN BOND FUND |
I |
16.44% |
NATIONAL
FINANCIAL SVCS
CORP
FOR EXCLUSIVE BENEFIT
OF
OUR
CUSTOMERS |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
TOTAL
RETURN BOND FUND |
I |
16.15% |
MORGAN
STANLEY SMITH
BARNEY
LLC FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
TOTAL
RETURN BOND FUND |
I |
11.10% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
TOTAL
RETURN BOND FUND |
I |
5.60% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
TOTAL
RETURN BOND FUND |
I |
8.22% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
TD
AMERITRADE INC FOR THE
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
TOTAL
RETURN BOND FUND |
I |
5.46% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
TOTAL
RETURN BOND FUND |
P |
32.06% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
TOTAL
RETURN BOND FUND |
P |
49.88% |
TD
AMERITRADE INC FOR THE/
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
TOTAL
RETURN BOND FUND |
P |
14.65% |
NATIONAL
FINANCIAL SERVICES
LLC |
499
WASHINGTON BLVD
JERSEY
CITY, NJ 07310 |
TOTAL
RETURN BOND FUND |
R6 |
10.56% |
J.P.
MORGAN SECURITIES LLC
FBO
CUSTOMERS |
4
CHASE METROTECH CENTER
BROOKLYN,
NY 11245-0001 |
TOTAL
RETURN BOND FUND |
R6 |
24.15% |
EMPOWER
TRUST FBO
CUSTOMERS
|
8515
E ORCHARD RD 2T2
GREENWOOD
VILLAGE CO
80111 |
TOTAL
RETURN BOND FUND |
R6 |
8.33% |
MATRIX
TRUST COMPANY FBO
CUSTOMERS |
717
17th Street
SUITE
1300
DENVER
CO 80202 |
TOTAL
RETURN BOND FUND |
R6 |
10.02% |
DCGT
AS TTEE AND/OR CUST/
FBO
CUSTOMERS |
711
HIGH STREET
DES
MOINES, IA 50392 |
TOTAL
RETURN BOND FUND |
R6 |
13.77% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
ULTRA
SHORT DURATION
FUND |
A |
17.80% |
MORGAN
STANLEY SMITH
BARNEY
LLC/FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
ULTRA
SHORT DURATION
FUND |
A |
69.94% |
MORGAN
STANLEY SMITH
BARNEY
LLC/FOR THE
EXCLUSIVE
BENEFIT OF ITS
CUSTOMERS |
1
NEW YORK PLAZA FL 12
NEW
YORK, NY 10004-1901 |
ULTRA
SHORT DURATION
FUND |
I |
15.00% |
UBS
FINANCIAL SERVICES INC.
FBO
CUSTOMERS2 |
1000
HARBOR BLVD
WEEHAWKEN
NJ 07086-6761 |
ULTRA
SHORT DURATION
FUND |
I |
11.57% |
GUGGENHEIM
STYLEPLUS
LARGE
CORE |
227
W MONROE ST STE 4900
CHICAGO,
IL 60606 |
ULTRA
SHORT DURATION
FUND |
I |
8.11% |
GUGGENHEIM
STYLEPLUS
/LARGE
CORE SERIES A |
227
W MONROE ST STE 4900
CHICAGO,
IL 60606 |
ULTRA
SHORT DURATION
FUND |
I |
6.12% |
GUGGENHEIM
MACRO
OPPORTUNITIES
FUND |
227
W MONROE ST STE 4900
CHICAGO,
IL 60606 |
ULTRA
SHORT DURATION
FUND |
I |
10.98% |
RYDEX
NASDAQ 100 FUND |
805
KING FARM BLVD STE 600
ROCKVILLE,
MD 20850 |
ULTRA
SHORT DURATION
FUND |
I |
6.98% |
GUGGENHEIM
TOTAL RETURN
BOND
FUND |
227
W MONROE ST, STE 4900
CHICAGO,
IL 60606 |
ULTRA
SHORT DURATION
FUND |
I |
6.27% |
GUGGENHEIM
LIMITED
DURATION
FUND |
227
W MONROE ST STE 4900
CHICAGO,
IL 60606 |
ULTRA
SHORT DURATION
FUND |
I |
6.85% |
SECURITY
BENEFIT LIFE
INSURANCE
CO |
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
WORLD
EQUITY INCOME
FUND |
A |
12.31% |
SECURITY
FINANCIAL
RESOURCES2
|
5801
SW 6TH AVE
TOPEKA
KS 66636-1000 |
WORLD
EQUITY INCOME
FUND |
A |
51.25% |
Name
of Shareholder1 |
Address
of Shareholder |
Fund |
Class
|
Percent |
WELLS
FARGO CLEARING
SERVICES,
LLC FBO
CUSTOMERS |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
WORLD
EQUITY INCOME
FUND |
C |
31.73% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
WORLD
EQUITY INCOME
FUND |
C |
9.15% |
RAYMOND
JAMES FBO
CUSTOMERS |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
WORLD
EQUITY INCOME
FUND |
C |
40.28% |
WELLS
FARGO CLEARING
SERVICES,
LLC FBO
CUSTOMERS |
2801
MARKET STREET
SAINT
LOUIS, MO 63103 |
WORLD
EQUITY INCOME
FUND |
I |
29.39% |
LPL
FINANCIAL |
4707
EXECUTIVE DRIVE
SAN
DIEGO CA 92121-3091 |
WORLD
EQUITY INCOME
FUND |
I |
8.32% |
RAYMOND
JAMES FBO
CUSTOMERS |
880
CARILLON PARKWAY
SAINT
PETERSBURG, FL 33716 |
WORLD
EQUITY INCOME
FUND |
I |
6.20% |
PERSHING
LLC |
1
PERSHING PLAZA
JERSEY
CITY, NJ 07399-0002 |
WORLD
EQUITY INCOME
FUND |
I |
7.58% |
GUGGENHEIM
FUNDS TRUST/
GUGGENHEIM
DIVERSIFIED
INCOME
FUND |
805
KING FARM BLVD STE 600
ROCKVILLE,
MD 20850 |
WORLD
EQUITY INCOME
FUND |
I |
12.26% |
GUGGENHEIM
FUNDS
DISTRIBUTORS
LLC |
227
WEST MONROE ST
STE
4800
CHICAGO,
IL 60606 |
WORLD
EQUITY INCOME
FUND |
P |
21.93% |
CHARLES
SCHWAB & CO INC
FBO
CUSTOMERS |
211
MAIN STREET
SAN
FRANCISCO, CA 94105 |
WORLD
EQUITY INCOME
FUND |
P |
8.12% |
TD
AMERITRADE INC FOR THE/
EXCLUSIVE
BENEFIT OF OUR
CLIENTS |
PO
BOX 2226
OMAHA
NE 68103-2226 |
WORLD
EQUITY INCOME
FUND |
P |
69.95% |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $100,000 |
4.75% |
4.99% |
4.00% |
$100,000
but less than
$250,000 |
3.75% |
3.90% |
3.00% |
$250,000
but less than
$500,000 |
2.75% |
2.83% |
2.25% |
$500,000
but less than
$1,000,000 |
2.00% |
2.04% |
1.75% |
$1,000,000
or greater |
None |
None |
None* |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $50,000 |
4.00% |
4.17% |
3.25% |
$50,000
but less than
$100,000 |
3.75% |
3.90% |
3.00% |
$100,000
but less than
$250,000 |
2.75% |
2.83% |
2.20% |
$250,000
but less than
$1,000,000 |
1.75% |
1.78% |
1.40% |
$1,000,000
or greater |
None |
None |
None* |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $50,000 |
3.00% |
3.09% |
2.50% |
$50,000
but less than
$100,000 |
2.75% |
2.83% |
2.25% |
$100,000
but less than
$250,000 |
2.25% |
2.30% |
1.75% |
$250,000
but less than
$1,000,000 |
1.25% |
1.27% |
1.00% |
$1,000,000
or greater |
None |
None |
None* |
Amount
of Investment |
Sales
Charge | ||
Percentage of
Offering Price |
Percentage of Net
Amount
Invested |
Percentage
Reallowable to Dealers | |
Less
than $100,000 |
2.25% |
2.30% |
2.00% |
$100,000
to $249,999 |
1.25% |
1.27% |
1.00% |
$250,000
or greater |
None |
None |
None* |
Compensation
to Guggenheim Funds Distributors, LLC | |||
|
Class
A |
Class
C |
Class
P |
Alpha
Opportunity Fund |
$7,410 |
$2,473 |
$4,602 |
Diversified
Income Fund |
$881 |
$6,788 |
$682 |
Floating
Rate Strategies Fund |
$374,104 |
$516,181 |
$107,299 |
High
Yield Fund |
$126,331 |
$129,515 |
$12,232 |
Core
Bond Fund |
$331,105 |
$269,054 |
$192,325 |
Large
Cap Value Fund |
$91,224 |
$14,589 |
$375 |
Limited
Duration Fund |
$1,797,980 |
$769,466 |
$251,891 |
Macro
Opportunities Fund |
$982,746 |
$1,828,019 |
$460,055 |
Market
Neutral Real Estate Fund |
$2,307 |
$2,158 |
$5,580 |
Municipal
Income Fund |
$132,813 |
$16,037 |
$430 |
Risk
Managed Real Estate Fund |
$27,771 |
$41,315 |
$59,035 |
Small
Cap Value Fund |
$11,197 |
$6,296 |
$209 |
SMid
Cap Value Fund |
$772,819 |
$76,835 |
$16,766 |
StylePlus—Large
Core Fund |
$593,325 |
$9,734 |
$839 |
StylePlus—Mid
Growth Fund |
$226,838 |
$9,996 |
$409 |
Total
Return Bond Fund |
$1,401,684 |
$2,661,319 |
$2,126,786 |
Ultra
Short Duration Fund |
$435,172 |
$0 |
$0 |
World
Equity Income Fund |
$107,254 |
$30,986 |
$252 |
Financial
Intermediary |
Dollar
Amount of Compensation |
Morgan
Stanley Smith Barney |
$3,166,764 |
UBS
Financial Services, Inc. |
$1,382,933 |
Wells
Fargo Advisors, LLC
|
$1,337,557 |
Raymond
James |
$1,070,148 |
LPL
Financial |
$967,002 |
American
Enterprise Investment Services
|
$675,723 |
Merrill
Lynch
|
$333,972 |
PNC
Investments LLC |
$243,004 |
National
Financial Services LLC
|
$53,497 |
Citigroup
Global Markets |
$70,973 |
Charles
Schwab |
$21,739 |
RBC
Capital Markets |
$18,921 |
Axos
Advisor Services |
$18,558 |
Great
West Equities |
$11,250 |
Financial
Intermediary |
Dollar
Amount of Compensation |
Principal
Life Insurance |
$3,750 |
E*Trade
Securities
|
$2,158 |
Contractual
Management Fees
(expressed as a percentage of average daily net assets, calculated daily
and
paid
monthly) | |
Alpha
Opportunity Fund1
|
0.90% |
Diversified
Income Fund |
0.75% |
Floating
Rate Strategies Fund2
|
0.65% |
High
Yield Fund |
0.60% |
Core
Bond Fund3
|
0.39% |
Large
Cap Value Fund |
0.65% |
Limited
Duration Fund4
|
0.39% |
Macro
Opportunities Fund2
|
0.89% |
Market
Neutral Real Estate Fund |
1.10% |
Municipal
Income Fund |
0.50% |
Risk
Managed Real Estate Fund |
0.75% |
Small
Cap Value Fund5
|
0.75% |
SMid
Cap Value Fund6
|
0.75% |
StylePlus—Large
Core Fund |
0.75% |
StylePlus—Mid
Growth Fund |
0.75% |
Total
Return Bond Fund3
|
0.39% |
Ultra
Short Duration Fund |
0.25% |
World
Equity Income Fund |
0.70% |
Fund |
|
Class |
|
Expense Cap |
Alpha
Opportunity Fund1
|
|
A
C
Institutional
P
R6 |
|
1.76%
2.51%
1.51%
1.76%
1.51% |
Diversified
Income Fund |
|
A
C
Institutional
P
R6 |
|
1.30%
2.05%
1.05%
1.30%
1.05% |
Floating
Rate Strategies Fund |
|
A
C
Institutional
P
R6 |
|
1.02%
1.77%
0.78%
1.02%
0.78% |
High
Yield Fund |
|
A
C
Institutional
P
R6 |
|
1.16%
1.91%
0.91%
1.16%
0.91% |
Core
Bond Fund2
|
|
A
C
Institutional
P
R6 |
|
0.79%
1.54%
0.50%
0.79%
0.50% |
Large
Cap Value Fund |
|
A
C
Institutional
P
R6 |
|
1.15%
1.90%
0.90%
1.15%
0.90% |
Limited
Duration Fund3
|
|
A
C
Institutional
P
R6 |
|
0.75%
1.50%
0.50%
0.75%
0.50% |
Macro
Opportunities Fund |
|
A
C
Institutional
P
R6 |
|
1.36%
2.11%
0.95%
1.36%
0.95% |
Market
Neutral Real Estate Fund |
|
A
C
Institutional
P
R6 |
|
1.65%
2.40%
1.40%
1.65%
1.40% |
Municipal
Income Fund |
|
A
C
Institutional
P
R6 |
|
0.80%
1.55%
0.55%
0.80%
0.55% |
Fund |
|
Class |
|
Expense Cap |
Risk
Managed Real Estate Fund |
|
A
C
Institutional
P
R6 |
|
1.30%
2.05%
1.10%
1.30%
1.10% |
Small
Cap Value Fund |
|
A
C
Institutional
P
R6 |
|
1.30%
2.05%
1.05%
1.30%
1.05% |
SMid
Cap Value Fund4
|
|
A
C
Institutional
P
R6 |
|
1.30%
2.05%
1.05%
1.30%
1.05% |
StylePlus—Large
Core Fund |
|
R6 |
|
1.39% |
StylePlus—Mid
Growth Fund |
|
R6 |
|
1.81% |
Total
Return Bond Fund5
|
|
A
C
Institutional
P
R6 |
|
0.79%
1.54%
0.50%
0.79%
0.50% |
Ultra
Short Duration Fund |
|
A
Institutional
P
R6 |
|
0.58%
0.33%
0.58%
0.33% |
World
Equity Income Fund |
|
A
C
Institutional
P
R6 |
|
1.22%
1.97%
0.97%
1.22%
0.97% |
Fund |
Fiscal
Year/
Period |
Investment
Advisory
Fees
Paid |
Investment
Advisory
Fees
Waived
by and
Reimbursements
from
Investment
Managers* |
Accounting
and
Administrative
Service
Fees
Paid |
Alpha
Opportunity Fund |
2022 |
$310,045 |
$14,639 |
$30,736 |
2021 |
$328,770 |
$34,736 |
$32,934 | |
2020 |
$526,833 |
$6,244 |
$53,490 | |
Diversified
Income Fund |
2022 |
$62,862 |
$214,818 |
$28,414 |
2021 |
$54,840 |
$221,590 |
$33,711 | |
2020 |
$51,352 |
$219,933 |
$34,224 | |
Floating
Rate Strategies Fund |
2022 |
$7,873,587 |
$1,043,179 |
$720,264 |
2021 |
$5,201,077 |
$326,697 |
$539,742 | |
2020 |
$6,888,006 |
$1,383,299 |
$809,552 | |
High Yield
Fund |
2022 |
$1,603,619 |
$125,283 |
$171,200 |
2021 |
$2,325,386 |
$72,154 |
$265,815 | |
2020 |
$2,311,170 |
$39,884 |
$297,854 | |
Core Bond
Fund |
2022 |
$5,788,622 |
$1,554,039 |
$893,202 |
2021 |
$6,225,103 |
$1,539,717 |
$1,073,376 | |
2020 |
$4,064,095 |
$816,005 |
$777,116 | |
Large Cap
Value Fund |
2022 |
$264,776 |
$115,391 |
$32,956 |
2021 |
$243,618 |
$124,838 |
$34,468 | |
2020 |
$271,905 |
$133,315 |
$41,005 | |
Limited
Duration Fund |
2022 |
$21,572,847 |
$4,304,085 |
$3,308,297 |
2021 |
$19,389,700 |
$3,193,434 |
$3,304,666 | |
2020 |
$12,556,471 |
$2,302,623 |
$2,414,876 | |
Macro
Opportunities Fund |
2022 |
$66,611,239 |
$9,243,002 |
$4,556,515 |
2021 |
$57,582,737 |
$7,780,238 |
$4,335,782 | |
2020 |
$44,783,666 |
$8,444,246 |
$3,744,848 | |
Market
Neutral Real Estate Fund |
2022 |
$584,420 |
$140,394 |
$40,623 |
2021 |
$702,614 |
$140,297 |
$51,208 | |
2020 |
$304,566 |
$144,878 |
$28,610 | |
Municipal
Income Fund |
2022 |
$320,076 |
$256,181 |
$47,327 |
2021 |
$390,088 |
$300,282 |
$60,572 | |
2020 |
$316,162 |
$261,850 |
$56,255 | |
Risk
Managed Real Estate |
2022 |
$3,982,655 |
$100,700 |
$324,510 |
2021 |
$3,139,809 |
$22,682 |
$286,199 | |
2020 |
$1,942,011 |
$27,960 |
$192,807 | |
Small Cap
Value Fund |
2022 |
$54,365 |
$160,751 |
$28,421 |
2021 |
$51,148 |
$190,392 |
$34,104 | |
2020 |
$69,379 |
$180,401 |
$25,026 | |
SMid Cap
Value Fund |
2022 |
$3,131,103 |
$59,046 |
$256,988 |
2021 |
$3,162,515 |
$45,345 |
$288,997 | |
2020 |
$2,694,481 |
$64,758 |
$278,034 | |
StylePlus—Large
Core Fund |
2022 |
$1,838,628 |
$129,491 |
$154,756 |
2021 |
$1,811,028 |
$148,895 |
$169,009 | |
2020 |
$1,498,496 |
$81,884 |
$149,331 | |
StylePlus—Mid
Growth Fund |
2022 |
$698,519 |
$17,208 |
$64,786 |
2021 |
$815,785 |
$64,182 |
$80,965 | |
2020 |
$638,184 |
$35,298 |
$63,561 |
Fund |
Fiscal
Year/
Period |
Investment
Advisory
Fees
Paid |
Investment
Advisory
Fees
Waived
by and
Reimbursements
from
Investment
Managers* |
Accounting
and
Administrative
Service
Fees
Paid |
Total
Return Bond Fund |
2022 |
$92,491,890 |
$22,281,402 |
$14,216,829 |
2021 |
$96,284,021 |
$17,522,597 |
$16,402,145 | |
2020 |
$63,223,246 |
$9,967,932 |
$12,061,656 | |
Ultra Short
Duration Fund |
2022 |
$2,364,218 |
$287,761 |
$292,728 |
2021 |
$2,112,403 |
$90,487 |
$260,012 | |
2020 |
$1,242,286 |
$93,312 |
$158,383 | |
World
Equity Income Fund |
2022 |
$355,927 |
$97,942 |
$39,180 |
2021 |
$350,857 |
$121,284 |
$41,994 | |
2020 |
$368,923 |
$149,953 |
$48,875 |
|
Registered
Investment
Companies |
Other Pooled
Investment
Vehicles |
Other
Accounts | |||
Portfolio
Manager |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Anne
B. Walsh |
17 |
$38,535 |
6 |
$3,167 |
105 |
$142,105 |
Thomas
J. Hauser |
4 |
$1,377 |
56 |
$7,249 |
14 |
$3,813 |
Steven
H. Brown |
15 |
$37,259 |
6 |
$3,167 |
35 |
$16,006 |
James
P. Schier |
7 |
$887 |
0 |
$0 |
1 |
$7 |
Farhan
Sharaff |
24 |
$1,249 |
2 |
$9 |
0 |
$0 |
Samir
Sanghani |
6 |
$550 |
0 |
$0 |
0 |
$0 |
Burak
Hurmeydan |
16 |
$1,249 |
0 |
$0 |
0 |
$0 |
Gregg
Strohkorb |
7 |
$887 |
0 |
$0 |
0 |
$0 |
Qi
Yan |
7 |
$301 |
0 |
$0 |
0 |
$0 |
Adam
J. Bloch |
21 |
$37,393 |
6 |
$3,167 |
35 |
$16,006 |
Evan
Einstein |
2 |
$149 |
0 |
$0 |
0 |
$0 |
David
G. Toussaint |
7 |
$887 |
0 |
$0 |
0 |
$0 |
Allen
Li |
2 |
$541 |
0 |
$0 |
1 |
$109 |
Kris
L. Dorr |
3 |
$703 |
0 |
$0 |
0 |
$0 |
Douglas
Makin |
7 |
$443 |
0 |
$0 |
0 |
$0 |
Michael
Chong |
2 |
$482 |
0 |
$0 |
0 |
$0 |
Evan
Serdensky |
1 |
$541 |
0 |
$0 |
0 |
$0 |
|
Registered
Investment
Companies |
Other Pooled Investment
Vehicles |
Other
Accounts | |||
Portfolio
Manager |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Number |
Total Assets
(in
millions) |
Anne
B. Walsh |
0 |
$0 |
3 |
$1,943 |
6 |
$772 |
Thomas
J. Hauser |
2 |
$101 |
35 |
$5,212 |
4 |
$487 |
Steven
H. Brown |
0 |
$0 |
3 |
$1,943 |
3 |
$645 |
Adam
J. Bloch |
0 |
$0 |
3 |
$1,943 |
3 |
$645 |
Name
of Portfolio
Manager |
Name
of Fund |
Dollar
Range of Equity Securities
in
the Funds |
Adam
J. Bloch |
Limited
Duration Fund |
$10,001-$50,000 |
Total
Return Bond Fund |
$100,001-$500,000 | |
Core Bond
Fund |
$50,001-$100,000 | |
Macro
Opportunities Fund |
$100,001-$500,000 | |
Steven
Brown |
Limited
Duration Fund |
$10,001-$50,000 |
Total
Return Bond Fund |
$100,001-$500,000 | |
Core Bond
Fund |
$100,001-$500,000 | |
Macro
Opportunities Fund |
$100,001-$500,000 | |
Thomas
Hauser |
Floating
Rate Strategies Fund |
$100,001-$500,000 |
High Yield
Fund |
$100,001-$500,000 | |
Burak
Hurmeydan |
Alpha
Opportunity Fund |
$500,000-$1,000,000 |
Allen
Li |
Municipal
Income Fund |
$10,001-$50,000 |
Douglas
Makin |
World
Equity Income Fund |
$1-$10,000 |
Samir
Sanghani |
Alpha
Opportunity Fund |
$100,001-$500,000 |
James
Schier |
SMid Cap
Value Fund |
Over
$1,000,000 |
Farhan
Sharaff |
SMid Cap
Value Fund |
$100,001-$500,000 |
David
G. Toussaint |
Large Cap
Value Fund |
$100,001-$500,000 |
Small Cap
Value Fund |
$100,001-$500,000 | |
SMid Cap
Value Fund |
$100,001-$500,000 | |
Anne
B. Walsh |
Macro
Opportunities Fund |
$100,001-$500,000 |
Total
Return Bond Fund |
$100,001-$500,000 |
Fund |
Guggenheim
Funds Distributors, LLC—Net Underwriting
Commissions | ||
2022 |
2021 |
2020 | |
Alpha
Opportunity Fund |
$97
|
$114
|
$311 |
Diversified
Income Fund |
$0 |
$0 |
$38 |
Floating
Rate Strategies Fund |
$4,738 |
$10,939
|
$3,699 |
High
Yield Fund |
$4,560 |
$11,139
|
$6,583 |
Core
Bond Fund |
$7,925 |
$12,067
|
$15,125 |
Large
Cap Value Fund |
$3,220 |
$5,551
|
$3,578 |
Limited
Duration Fund |
$3,129 |
$25,983
|
$10,899 |
Macro
Opportunities Fund |
$29,763 |
$60,962
|
$22,155 |
Market
Neutral Real Estate Fund |
$24 |
$0 |
$0 |
Municipal
Income Fund |
$271 |
$605
|
$3,283 |
Risk
Managed Real Estate Fund |
$7,983 |
$2,463
|
$6,320 |
Small
Cap Value Fund |
$612 |
$664
|
$399 |
SMid
Cap Value Fund |
$21,757 |
$27,775
|
$20,452 |
StylePlus—Large
Core Fund |
$11,403 |
$13,970
|
$12,060 |
StylePlus—Mid
Growth Fund |
$5,372 |
$9,225
|
$6,661 |
Total
Return Bond Fund |
$39,928 |
$151,420
|
$139,142 |
Ultra
Short Duration Fund |
$0 |
$0 |
$0 |
World
Equity Income Fund |
$3,305 |
$4,708
|
$3,281 |
Fund |
Guggenheim
Funds Distributors, LLC—Compensation on
Redemptions | ||
2022 |
2021 |
2020 | |
Alpha
Opportunity Fund |
$0 |
$0 |
$77 |
Diversified
Income Fund |
$0 |
$1 |
$0 |
Floating
Rate Strategies Fund |
$151 |
$509
|
$1,483 |
High
Yield Fund |
$0 |
$25
|
$2,012 |
Core
Bond Fund |
$156 |
$272
|
$971 |
Large
Cap Value Fund |
$0 |
$0 |
$187 |
Limited
Duration Fund |
$17,977 |
$14,909
|
$13,419 |
Macro
Opportunities Fund |
$6,821 |
$1,506
|
$3,351 |
Market
Neutral Real Estate Fund |
$4 |
$174
|
$1,025 |
Municipal
Income Fund |
$0 |
$0 |
$0 |
Risk
Managed Real Estate Fund |
$285 |
$371
|
$857 |
Small
Cap Value Fund |
$176 |
$0 |
$23 |
SMid
Cap Value Fund |
$56 |
$0 |
$922 |
StylePlus—Large
Core Fund |
$1 |
$0 |
$1 |
StylePlus—Mid
Growth Fund |
$4 |
$1 |
$0 |
Total
Return Bond Fund |
$4,923 |
$9,109
|
$8,976 |
Ultra
Short Duration Fund |
$0 |
$0 |
$0 |
World
Equity Income Fund |
$0
|
$397
|
$25 |
Fund |
Year |
Fund
Total
Brokerage
Commissions
Paid |
Alpha
Opportunity Fund |
2022
2021
2020 |
$34,137
$21,911
$57,764 |
Diversified
Income Fund |
2022
2021
2020 |
$198
$215
$846 |
Fund |
Year |
Fund
Total
Brokerage
Commissions
Paid |
Floating
Rate Strategies Fund |
2022
2021
2020 |
$15,997
$23,967
$23,450 |
High
Yield Fund |
2022
2021
2020 |
$13
$4,059
$9,482 |
Core
Bond Fund |
2022
2021
2020 |
$4,392
$7,573
$17,614 |
Large
Cap Value Fund |
2022
2021
2020 |
$17,781
$11,166
$27,149 |
Limited
Duration Fund |
2022
2021
2020 |
$24,131
$32,000
$28,245 |
Macro
Opportunities Fund |
2022
2021
2020 |
$163,118
$149,683
$363,652 |
Market
Neutral Real Estate Fund |
2022
2021
2020 |
$26,720
$129,517
$75,040 |
Municipal
Income Fund |
2022
2021
2020 |
$2,497
$1,623
$7,249 |
Risk
Managed Real Estate Fund |
2022
2021
2020 |
$221,522
$327,893
$630,626 |
Small
Cap Value Fund |
2022
2021
2020 |
$7,740
$5,873
$15,128 |
SMid
Cap Value Fund |
2022
2021
2020 |
$407,989
$363,101
$458,340 |
StylePlus—Large
Core Fund |
2022
2021
2020 |
$22,069
$12,414
$22,368 |
StylePlus—Mid
Growth Fund |
2022
2021
2020 |
$13,048
$8,355
$12,810 |
Total
Return Bond Fund |
2022
2021
2020 |
$207,544
$115,466
$240,116 |
Ultra
Short Duration Fund |
2022
2021
2020 |
$1,812
$12,801
$5,924 |
World
Equity Income Fund |
2022
2021
2020 |
$54,559
$64,161
$82,756 |
Fund |
Issuer/Regular
Broker-Dealer |
Aggregate
Amount of Securities
Owned |
High
Yield Fund |
Jefferies
Finance LLC |
$1,843,750 |
Core
Bond Fund |
Bank of
America Corp. |
$10,328,020 |
Jefferies
Finance LLC |
$1,806,875 | |
Jefferies
Group LLC |
$2,953,494 | |
JPMorgan
Chase & Co. |
$10,512,648 | |
Wells Fargo
& Co. |
$9,132,121 | |
Large
Cap Value Fund |
Bank of
America Corp. |
$786,408 |
Goldman
Sachs Group, Inc. |
$310,340 | |
JPMorgan
Chase & Co. |
$962,549 | |
Wells Fargo
& Co. |
$484,651 | |
Limited
Duration Fund |
Goldman
Sachs Group, Inc. |
$6,590,900 |
Jefferies
Finance LLC |
$3,171,250 | |
JPMorgan
Chase & Co. |
$12,684,083 | |
Morgan
Stanley |
$6,745,599 | |
Wells Fargo
& Co. |
$10,232,062 | |
Macro
Opportunities Fund |
Bank of
America Corp. |
$48,612,865 |
Citigroup,
Inc. |
$36,270,428 | |
Goldman
Sachs Group, Inc. |
$16,297,500 | |
Jefferies
Finance LLC |
$16,962,500 | |
JPMorgan
Chase & Co. |
$15,886,828 | |
Wells Fargo
& Co. |
$39,971,304 | |
StylePlus—Large
Core Fund |
JPMorgan
Chase & Co. |
$107,008 |
StylePlus—Mid
Growth Fund |
Jefferies
Finance LLC |
$114,784 |
Total
Return Bond Fund |
Bank of
America Corp. |
$147,768,292 |
Citigroup,
Inc. |
$102,767,366 | |
Goldman
Sachs Group, Inc. |
$25,132,021 | |
Jefferies
Finance LLC |
$29,094,375 | |
Jefferies
Group LLC |
$49,364,385 | |
JPMorgan
Chase & Co. |
$101,750,938 | |
Mitsubishi
UFJ Financial Group, Inc. |
$1,470,487 | |
Wells Fargo
& Co. Total |
$113,173,680 | |
Mizuho
Financial Group, Inc. |
$1,368,491 |
Fund |
Issuer/Regular
Broker-Dealer |
Aggregate
Amount of Securities
Owned |
Ultra
Short Duration Fund |
Citigroup,
Inc. |
$2,485,654 |
Goldman
Sachs Group, Inc. |
$9,413,785 | |
Jefferies
Financial Group, Inc. |
$948,176 | |
JPMorgan
Chase & Co. |
$8,907,954 | |
Morgan
Stanley |
$2,357,136 | |
Wells Fargo
& Co. |
$796,219 |