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GUGGENHEIM CREDIT ALLOCATION FUND

Delisted

GGM was delisted on the 22nd of October, 2021.

Name Holding Trade Value Shares
Change
Change in
Stake
Yakira Capital Management
1
Yakira Capital Management
Connecticut
– -$7.03M -339,098 Closed
UBS Group
2
UBS Group
Switzerland
– -$3.33M -160,509 Closed
Osaic Holdings
3
Osaic Holdings
Arizona
– -$2.33M -112,411 Closed
Invesco
4
Invesco
Georgia
– -$1.91M -92,272 Closed
Clough Capital Partners
5
Clough Capital Partners
Massachusetts
– -$834K -40,200 Closed
Baird Financial Group
6
Baird Financial Group
Wisconsin
– -$796K -38,369 Closed
Parisi Gray Wealth Management
7
Parisi Gray Wealth Management
New Jersey
– -$539K -26,000 Closed
Bank of America
8
Bank of America
North Carolina
– -$449K -21,673 Closed
Envestnet Asset Management
9
Envestnet Asset Management
Illinois
– -$446K -21,493 Closed
Morgan Stanley
10
Morgan Stanley
New York
– -$429K -20,675 Closed
CL
11
CSS LLC
Illinois
– -$425K -20,486 Closed
Cambridge Investment Research Advisors
12
Cambridge Investment Research Advisors
Iowa
– -$416K -20,082 Closed
Cetera Investment Advisers
13
Cetera Investment Advisers
Illinois
– -$414K -19,984 Closed
Commonwealth Equity Services
14
Commonwealth Equity Services
Massachusetts
– -$300K -14,512 Closed
Virtu Financial
15
Virtu Financial
New York
– -$265K -12,775 Closed
Stratos Wealth Partners
16
Stratos Wealth Partners
Ohio
– -$240K -11,573 Closed
Davenport & Co
17
Davenport & Co
Virginia
– -$225K -10,847 Closed
Mercer Global Advisors
18
Mercer Global Advisors
Colorado
– -$221K -10,665 Closed
Koshinski Asset Management
19
Koshinski Asset Management
Illinois
– -$175K -8,447 Closed
PNC Financial Services Group
20
PNC Financial Services Group
Pennsylvania
– -$166K -8,025 Closed
Wells Fargo
21
Wells Fargo
California
– -$109K -5,235 Closed
Centaurus Financial
22
Centaurus Financial
California
– -$104K -5,000 Closed
Benjamin F. Edwards & Company
23
Benjamin F. Edwards & Company
Missouri
– -$44K -2,100 Closed
SAM
24
Strategic Asset Management
Minnesota
– -$40K -1,858 Closed
Geneos Wealth Management
25
Geneos Wealth Management
Colorado
– -$31K -1,540 Closed