Form D · Other Banking and Financial Services
GUGGENHEIM CAPITAL LLC
Chicago, IL · CIK 0001283072
Offering snapshot reported Sep 19, 2018 · SEC filing
- Reported sold
- $21M Offering amount: $21M
- Investors reported
- 8 Form D · investor count
- Minimum accepted
- $0 Reported outside-investor minimum
- First sale
- Sep 14, 2018 As reported in this filing
What changed?
Latest filing versus its linked predecessor, where available.
No comparable changes in the displayed metrics.
Filing history
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| Filed | Filing type | Reported sold | Change vs linked filing | Investors | Source |
|---|---|---|---|---|---|
| Sep 19, 2018 | Initial | $21,000,000 | No comparison | 8 | SEC filing |
Offering details
- Securities
- Equity
- Exemptions
- 06b
- Duration over one year
- No
- Business combination
- Yes
- Sales commissions
- $0
- Finders' fees
- $0
- Form D file number
- 021-321675
Sales compensation recipients
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| Recipient | CRD | Associated broker-dealer |
|---|---|---|
| N/A | None |
Source: Form D, filed Sep 19, 2018. Minimum accepted may differ from a standard advertised minimum.
Fund connections
No confirmed ADV fund connection is available for this issuer.
People & organizations
Current and past Form D appearances. These existing records do not establish a person's current role or uniquely identify them across issuers.
| Name | Reported role |
|---|---|
| Todd L. Boehly | Director |
| Esfandyar E. Dinshaw | Director |
| Homer J. Holland | Director |
| Richard E. Kipper | Director |
| David L. Korman | Executive |
| Heather Kreager | Director |
| Peter O. Lawson Johnston Ii | Director |
| Michael M. Levatino | Executive |
| B. Scott Minerd | Director |
| Alan D. Schwartz | Director |
| Brian T. Sir | Executive |
| Mark R. Walter | Director, Executive |
Issuer details
Industry: Other Banking and Financial Services (See others in industry)
Address:
227 West Monroe Suite 4900
Chicago, IL, 60606
Chicago, IL, 60606