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Guggenheim Capital LLC – ‘D’ on 9/18/18

On:  Tuesday, 9/18/18, at 5:35pm ET   ·   As of:  9/19/18   ·   Effective:  9/19/18   ·   Accession #:  1172661-18-1745   ·   File #:  21-321675

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 9/19/18  Guggenheim Capital LLC            D           9/19/18    1:12K                                    Adviser Compliance … LLC

Notice of an Offering of Securities Made Without Registration   —   Form D
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: D           Notice of an Offering of Securities Made Without    HTML     13K 
                          Registration -- primary_doc.xml/7.8


        

This ‘D’ Document is an XML Data File that may be rendered in various formats:

  Form D    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
Plain Text rendering:  Notice of an Exempt Offering of Securities
 
                                                                                                                                                                                
EDGAR Submission
 
Schema Version:  X0708
Submission Type:  D
Test or Live:  LIVE
Primary Issuer:
CIK:  1283072
Entity Name:  GUGGENHEIM CAPITAL LLC
Issuer Address:
Street 1:  227 WEST MONROE
Street 2:  SUITE 4900
City:  CHICAGO
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Issuer Phone Number:  312-827-0100
Jurisdiction of Inc.:  DELAWARE
Issuer Previous Name List:
Value:  None
EDGAR Previous Name List:
Value:  None
Entity Type:  Limited Liability Company
Year of Inc.:
Over Five Years?  Yes
Related-Persons List:
Related-Person Info:
Related-Person Name:
First Name:  David
Middle Name:  L.
Last Name:  Korman
Related-Person Address:
Street 1:  227 West Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Mark
Middle Name:  R.
Last Name:  Walter
Related-Person Address:
Street 1:  227 W. Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Brian
Middle Name:  T.
Last Name:  Sir
Related-Person Address:
Street 1:  227 W. Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Michael
Middle Name:  M.
Last Name:  Levatino
Related-Person Address:
Street 1:  330 Madison Avenue
Street 2:  11th Floor
City:  New York
State or Country:  NY
State or Country Description:  NEW YORK
ZIP Code:  10017
Related-Person Relationship List:
Relationship:  Executive Officer
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Todd
Middle Name:  L.
Last Name:  Boehly
Related-Person Address:
Street 1:  227 W. Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Esfandyar
Middle Name:  E.
Last Name:  Dinshaw
Related-Person Address:
Street 1:  227 West Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Homer
Middle Name:  J.
Last Name:  Holland
Related-Person Address:
Street 1:  227 West Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Richard
Middle Name:  E.
Last Name:  Kipper
Related-Person Address:
Street 1:  227 West Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Heather
Last Name:  Kreager
Related-Person Address:
Street 1:  227 West Monroe Street
Street 2:  Suite 4900
City:  Chicago
State or Country:  IL
State or Country Description:  ILLINOIS
ZIP Code:  60606
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Peter
Middle Name:  O.
Last Name:  Lawson-Johnston II
Related-Person Address:
Street 1:  330 Madison Avenue
Street 2:  31st Floor
City:  New York
State or Country:  NY
State or Country Description:  NEW YORK
ZIP Code:  10017
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  B.
Middle Name:  Scott
Last Name:  Minerd
Related-Person Address:
Street 1:  100 Wilshire Boulevard
Street 2:  Suite 500
City:  Santa Monica
State or Country:  CA
State or Country Description:  CALIFORNIA
ZIP Code:  90401
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Related-Person Info:
Related-Person Name:
First Name:  Alan
Middle Name:  D.
Last Name:  Schwartz
Related-Person Address:
Street 1:  330 Madison Avenue
Street 2:  15th Floor
City:  New York
State or Country:  NY
State or Country Description:  NEW YORK
ZIP Code:  10017
Related-Person Relationship List:
Relationship:  Director
Relationship Clarification:
Offering Data:
Industry Group:
Industry Group Type:  Other Banking and Financial Services
Issuer Size:
Revenue Range:  Decline to Disclose
Federal Exemptions Exclusions:
Item:  06b
Type of Filing:
New or Amendment:
Is Amendment?  No
Date of First Sale:
Value:  9/14/18
Duration of Offering:
More Than One Year?  No
Types of Securities Offered:
Is Equity Type?  Yes
Business-Combination Transaction:
Is Business-Combination Transaction?  Yes
Clarification of Response:
Minimum Investment Accepted:  0
Sales Compensation List:
Recipient:
Recipient Name:  N/A
Recipient CRD Number:  None
Associated BD Name:  None
Associated BDCRD Number:  None
Recipient Address:
Street 1:  N/A
City:  N/A
State or Country:  XX
State or Country Description:  Unknown
ZIP Code:  00000
States of Solicitation List:
State:  CT
Description:  CONNECTICUT
State:  NY
Description:  NEW YORK
Foreign Solicitation?  No
Offering Sales Amounts:
Total Offering Amount:  21,000,000
Total Amount Sold:  21,000,000
Total Remaining:  0
Clarification of Response:
Investors:
Has Non-Accredited Investors?  No
Total Number Already Invested:  8
Sales Commissions Finders Fees:
Sales Commissions:
Dollar Amount:  0
Finders Fees:
Dollar Amount:  0
Clarification of Response:
Use of Proceeds:
Gross Proceeds Used:
Dollar Amount:  0
Clarification of Response:
Signature Block:
Authorized Representative?  No
Signature:
Issuer Name:  GUGGENHEIM CAPITAL LLC
Signature Name:  /s/ David L. Korman
Name of Signer:  David L. Korman
Signature Title:  Chief Legal Officer
Signature Date:  9/18/18


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Filing Submission 0001172661-18-001745   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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