Guggenheim Capital’s NUVEEN INVESTMENT QLTY MUNI FD NQM Stock Holding History

Guggenheim Capital’s Portfolio NQM Stock Details NQM Fund Activity

Bought

Maintained

Sold

Quarter	Market Value	Status	Shares	Change in Stake	Trade Value	Portfolio Weight	Portfolio Position
2015 Q4	–	Sell	-35,590	Closed	-$528K	–	3143
2015 Q3	$528K	Sell	35,590 -1,215	-3%	-$17.9K	﹤0.01%	2400
2015 Q2	$533K	Sell	36,805 -84,675	-70%	-$1.29M	﹤0.01%	2508
2015 Q1	$1.9M	Sell	121,480 -13,907	-10%	-$216K	﹤0.01%	1833
2014 Q4	$2.06M	Sell	135,387 -15,070	-10%	-$225K	0.01%	1716
2014 Q3	$2.24M	Sell	150,457 -15,741	-9%	-$231K	0.01%	1686
2014 Q2	$2.44M	Sell	166,198 -34,411	-17%	-$504K	0.01%	1650
2014 Q1	$2.83M	Sell	200,609 -31,997	-14%	-$450K	0.01%	1498
2013 Q4	$3.15M	Sell	232,606 -158,730	-41%	-$2.13M	0.01%	1386
2013 Q3	$5.39M	Sell	391,336 -43,717	-10%	-$589K	0.02%	1061
2013 Q2	$6.21M	Buy	+435,053	New	+$6.74M	0.03%	963

Other funds holding NQM

Morgan Stanley New York $1.66T AUM 25.57% 1-Year Est. Return

LPL Financial San Diego, California $377B AUM 19.32% 1-Year Est. Return

Royal Bank of Canada Toronto, Ontario, Canada $570B AUM 27.57% 1-Year Est. Return

Bank of America Charlotte, North Carolina $1.37T AUM 24.88% 1-Year Est. Return

Wells Fargo San Francisco, California $530B AUM 22.01% 1-Year Est. Return

TCM

Tradewinds Capital Management Bellingham, Washington $563M AUM 41.52% 1-Year Est. Return

LTFS

Ladenburg Thalmann Financial Services Miami, Florida $15.9B AUM 25.16% 1-Year Est. Return

VanEck Associates New York $133B AUM 72.99% 1-Year Est. Return

LCM

Laurion Capital Management New York $2.29B AUM 75.73% 1-Year Est. Return

First Trust Advisors Wheaton, Illinois $140B AUM 27.84% 1-Year Est. Return

Guggenheim Capital's NQM Position: Q4 2015 in Review

Guggenheim Capital sold out of NUVEEN INVESTMENT QLTY MUNI FD (NQM) in Q4 2015, closing a stake of 35,590 shares — an estimated $528K sold.

Guggenheim Capital first reported a position in NQM in Q2 2013 and held it in 10 quarters. The position peaked at $6.21M in Q2 2013. 55 funds tracked by Wall St. Rank hold NQM as of Q4 2015.

Guggenheim Capital reported no remaining NUVEEN INVESTMENT QLTY MUNI FD position as of Q4 2015 after selling out during the quarter.
Guggenheim Capital sold 35,590 NUVEEN INVESTMENT QLTY MUNI FD shares in Q4 2015, an estimated $528K.
Guggenheim Capital first reported a position in NUVEEN INVESTMENT QLTY MUNI FD in Q2 2013 and held it in 10 quarters.
Guggenheim Capital's NUVEEN INVESTMENT QLTY MUNI FD position peaked at $6.21M in Q2 2013.
55 funds tracked by Wall St. Rank held NUVEEN INVESTMENT QLTY MUNI FD as of Q4 2015.

Based on Guggenheim Capital's 13F filing for Q4 2015, filed 16 Feb 2016.