SBSE/A 0001910878 XXXXXXXX true false GIFMS Capital Company, LLC 98-1374616 0001910878 GIFMS CAPITAL COMPANY, LLC 227 W MONROE SUITE 4900 CHICAGO IL 60606 3128270100 Carey D. Fear 312-977-4595 GIFMS-CCO@guggenheimpartners.com Carey D. Fear 312-977-4595 GIFMS-CCO@guggenheimpartners.com GIFMS Capital Company, LLC Y N maintains a substantial security-based swap position has substantial counterparty exposure is highly leveraged to its capital position N N N N The Federal Reserve Board The Office of the Comptroller of the Currency The Federal Deposit Insurance Corporation The Farm Credit Administration The Federal Housing Finance Agency N Applicant's business consists of providing secured funding to banks via security-based swaps. Limited Liability Company December DE X1 04-12-2024 N N GIFMS Capital Company, LLC Y N Y N Y N N N N N GIFMS Capital Company, LLC N Y N Y Y N Y N N N N Y N N N N N N N N GIFMS Capital Company, LLC N N N N N N GIFMS Capital Company, LLC Y The Liberty Hampshire Company, LLC DE Owner 02/2019 E Y 36-4068485 I Manager, CEO 04/2024 NA Y 004151793 Senior Managing Director of Guggenheim Treasury Services since 2018. Prior to Guggenheim, Mr. Spencer was an Executive Director at UBS where he was head of structuring for the US structured financing business. Prior to UBS, Mr. Spencer was a Vice President at BNP Paribas in fixed income structuring. I Manager 04/2024 NA Y Chief Legal Officer and Managing Partner of Guggenheim Partners since 2019. Prior to that Mr. Khuzami held several senior-level positions in both, the public and private sectors. 2018-2019 Mr. Khuzami served as Deputy United States Attorney in the United States Attorney's Office for the Southern District of New York. 2009-2013 he served as Director of Division of Enforcement of the United States Securities and Exchange Commission. I Manager 04/2024 NA Y 007473678 Head of Corporate Accounting and Senior Managing Director of Guggenheim Partners since 2005. I Chief Compliance Officer 04/2024 NA Y Senior Managing Director of Guggenheim Treasury Services, LLC since 2001. I Chief Financial Officer 04/2024 NA Y Senior Managing Director of Guggenheim Treasury Services since 1997. I Chief Risk Officer 04/2024 NA Y Director of Guggenheim Treasury Services (GTS) since 2018. Prior to joining GTS, Mr. Lewis was an Assistant Vice President at Nuveen working in the Investment Risk group. Mr. Lewis joined Nuveen out of business school prior to which he worked at Eldorado Trading Group as a proprietary trader focused on interest rates futures. I Chief Legal Officer 04/2024 NA Y Managing Director of Guggenheim Treasury Services, LLC since 2003. GIFMS Capital Company, LLC Guggenheim Treasury Services, LLC The Liberty Hampshire Company, LLC DE Membership interest holder 10/2014 E Y 45-3935220 Liberty Hampshire Holdings, LLC Guggenheim Treasury Services, LLC DE Membership interest holder 02/2011 E Y 77-0709769 Guggenheim Capital, LLC Liberty Hampshire Holdings, LLC DE Membership interest holder 12/2007 E Y 36-4358656 GIFMS Capital Company, LLC AMENDED Item 11A KPMG LLP Two Manhattan West 375 Ninth Avenue New York NY 10001-1875 04-02-2024 External Auditor Item 12A Guggenheim Treasury Services, LLC 227 West Monroe Street Chicago IL 60606 06-20-2017 Guggenheim Treasury Services, LLC is the Manager of the Applicant pursuant to a Management Agreement dated June 20, 2017. Item 12A SAGE Assets, Inc. 5949 Sherry Lane Suite 1880 Dallas TX 75225 04-15-2025 SAGE Assets, Inc. has authority to appoint representatives to the Executive Committee of Guggenheim Capital, LLC ("GC"), an indirect parent of the Applicant. The Executive Committee influences high-level policies on business strategy for GC and its indirect subsidiaries, including the Applicant. GIFMS Capital Company, LLC AMENDED 13A GUGGENHEIM SECURITIES, LLC 000040638 under common control with applicant 330 MADISON AVENUE NEW YORK NY 10017 12-31-2001 N Y N Guggenheim Securities, LLC Is wholly owned by Links Holding LLC which is indirectly owned by Guggenheim Capital, LLC. Guggenheim Securities, LLC is a registered Broker Dealer. ASSET CONSULTING GROUP, LLC 000107574 under common control with applicant 231 SOUTH BEMISTON AVENUE, 14th FLOOR ST. LOUIS MO 63105 12-31-2001 N N Y Asset Consulting Group, LLC is wholly-owned by GWM Holdco, LLC which is a majority-owned subsidiary of Guggenheim Capital, LLC and is an investment adviser registered with the SEC. GS GAMMA ADVISORS, LLC 000135424 under common control with applicant 330 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10017 07-01-2005 N N Y GS Gamma Advisors, LLC is partially-owned by Guggenheim Partners Investment Management Holdings, LLC, which is indirectly majority-owned by Guggenheim Capital, LLC. GS Gamma Advisors, LLC is an investment adviser registered with the SEC. GUGGENHEIM CORPORATE FUNDING, LLC 000300895 under common control with applicant 330 MADISON AVENUE, 10TH FLOOR New York NY 10017 04-25-2019 N N Y Guggenheim Corporate Funding, LLC is wholly owned by Guggenheim Private Investments Holdings, LLC, which is indirectly majority-owned by Guggenheim Capital, LLC. Guggenheim Corporate Funding, LLC is an investment adviser registered with the SEC. GUGGENHEIM FUNDS DISTRIBUTORS, LLC 000039805 under common control with applicant 227 WEST MONROE STREET, 7TH FLOOR CHICAGO IL 60606 09-21-2009 N Y Y Guggenheim Funds Distributors, LLC is wholly-owned by Guggenheim Funds Services, LLC which is indirectly majority-owned by Guggenheim Capital, LLC. The LLC is a dually registered Broker Dealer and Investment Adviser registered with the SEC. GUGGENHEIM GNP, LLC under common control with applicant 227 W. MONROE STREET, 7TH FLOOR CHICAGO IL 60606 06-23-2005 N N Y Guggenheim GNP, LLC (f/k/a Guggenheim Nicklaus Partners, LLC) is majority-owned by GC Parent Holdings, LLC which is wholly owned by Guggenheim Capital, LLC and is an unregistered Investment Adviser. GUGGENHEIM INVESTMENT ADVISORS (EUROPE) LIMITED under common control with applicant 86 JERMYN STREET, 2ND FLOOR ST. JAMES'S LONDON X0 SW1Y 6JD 01-27-2010 Y X0 N Y Guggenheim Investment Advisors (Europe) is indirectly wholly-owned by GIA Europe Holdings, Ltd which is a majority-owned subsidiary of Guggenheim Capital, LLC and is an Investment Adviser authorized by the FCA. GUGGENHEIM INVESTMENT ADVISORS, LLC 000108263 under common control with applicant 330 MADISON AVENUE NEW YORK NY 10017 10-01-2001 N N Y Guggenheim Investment Advisors, LLC is wholly-owned by GWM Holdco, LLC, which is a majority-owned subsidiary of Guggenheim Capital, LLC and is an Investment Adviser registered with the SEC. GUGGENHEIM INVESTMENTS 000105477 under common control with applicant 9401 INDIAN CREEK PARKWAY, SUITE 950 OVERLAND PARK KS 66210 07-30-2010 N N Y Security Investors, LLC (d/b/a Guggenheim Investments) is wholly-owned by Rydex Holdings, LLC, which is indirectly majority-owned by Guggenheim Capital, LLC and is an Investment Adviser registered with the SEC. GUGGENHEIM INVESTMENTS 000129288 under common control with applicant 227 WEST MONROE STREET, 49TH FLOOR CHICAGO IL 60606 09-21-2009 N N Y Guggenheim Funds Investment Advisors, LLC (D/b/a Guggenheim Investments) is wholly-owned by Guggenheim Funds Services, LLC which is indirectly majority-owned by Guggenheim Capital, LLC. The LLC is an Investment Adviser registered with the SEC. GUGGENHEIM INVESTOR SERVICES, LLC 000030096 under common control with applicant 330 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10017 12-31-2001 N Y N Guggenheim Investor Services, LLC is wholly-owned by Guggenheim Fund Services, LLC which is indirectly majority-owned by Guggenheim Capital, LLC. Guggenheim Investor Services, LLC is a registered Broker Dealer. GUGGENHEIM WEALTH SOLUTIONS, LLC (F/K/A GUGGENHEIM PARTNERS ADVISORS, LLC) 000283238 under common control with applicant 100 WILSHIRE BLVD., SUITE 500 SANTA MONICA CA 90401 04-08-2016 N N Y Guggenheim Wealth Solutions, LLC is wholly-owned by Guggenheim Partners Investment Management Holding, LLC which is indirectly majority-owned by Guggenheim Capital, LLC and is an Investment Adviser registered with the SEC. GUGGENHEIM PARTNERS EUROPE LIMITED under common control with applicant SOUTH DOCK HOUSE, HANOVER QUAY 1ST FLOOR DUBLIN L2 2 08-22-2007 Y L2 N Y Guggenheim Partners Europe Limited is wholly-owned by GPIMH Sub Holdco, Inc. which is indirectly majority owned by Guggenheim Capital, LLC and authorized as an Investment Firm with the Central Bank of Ireland Commission. GUGGENHEIM PARTNERS INDIA MANAGEMENT, LLC under common control with applicant 227 WEST MONROE STREET, SUITE 4900 CHICAGO IL 60606 12-08-2008 N N Y Guggenheim Partners India Management, LLC is wholly owned by Guggenheim Partners India Holdings, LLC, which is indirectly majority-owned by Guggenheim Capital, LLC and an Investment Adviser. BEACON CAPITAL MANAGEMENT, INC. 000120641 under common control with applicant 7777 WASHINGTON VILLAGE DR. SUITE 208 DAYTON OH 45459 04-01-2021 04-15-2025 N N Y Beacon Capital Management Inc. is wholly owned by Sammons Financial Group, Inc. which is indirectly wholly owned by Consolidated Investment Services, Inc., which indirectly partially owns Guggenheim Capital, LLC. GUGGENHEIM INVESTMENTS LOAN ADVISORS, LLC 000339528 under common control with applicant 300 First Stamford Place Stamford CT 06902 01-06-2026 N N Y Guggenheim Investments Loan Advisors, LLC is wholly-owned by Guggenheim Private Investments Holdings, LLC which is indirectly majority owned by Guggenheim Capital, LLC. GUGGENHEIM ASSET-BACKED FINANCE COMPANY, LLC 000340242 under common control with applicant 330 Madison Avenue New York NY 10017 04-21-2026 N N Y Guggenheim Asset-Backed Finance Company, LLC is wholly owned by Links Holding LLC which Is directly owned By Guggenheim Partners, LLC. (99.5%) and Guggenheim Manager, LLC (0.5%). It is a registered SEC Investment Advisor. GUGGENHEIM PRIVATE INVESTMENTS, LLC 000331479 under common control with applicant 330 MADISON AVENUE, 10TH FLOOR NEW YORK NY 10017 09-11-2024 N N Y Guggenheim Private Investments, LLC is wholly owned by Guggenheim Private Investments Holdings, LLC, which is indirectly wholly owned by Guggenheim Capital, LLC and is an Investment Advisor registered with the SEC. GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC 000137432 under common control with applicant 100 WILSHIRE BLVD., SUITE 500 90401 SANTA MONICA CA 90401 11-04-2005 N N Y Guggenheim Partners Investment Management, LLC Is majority owned by Guggenheim Partners Investment Management Holdings, LLC, which is indirectly majority owned by Guggenheim Capital, LLC and is an Investment Adviser Registered with the SEC. GUGGENHEIM PARTNERS JAPAN, LTD. under common control with applicant OTEMACHI FIRST SQUARE, WEST TOWER 1-5-1 OTEMACHI 13-F TOKYO M0 100-0004 02-17-2015 Y M0 Y Y Guggenheim Partners Japan, Ltd. is wholly owned by Links GPJL Holdco, LLC and indirectly majority owned by Guggenheim Capital, LLC and is registered with Kanto Financial Bureau. GUGGENHEIM PARTNERS MIDDLE EAST LIMITED under common control with applicant OFFICE 602, LEVEL 6, BURJ DAMAN DIFC DUBAI C0 000000 09-14-2015 Y C0 Y Y Guggenheim Partners Middle East Limited (Fka Guggenheim KBBO Partners Limited) is wholly owned by Links GKPL Holdco, LLC which is indirectly majority owned by Guggenheim Capital, LLC and Is authorized by the DFSA. GUGGENHEIM SECURITIES INTERNATIONAL LTD under common control with applicant 11 Hanover Street, 2nd Floor London X0 W1S 1YQ 02-02-2015 Y X0 Y N Guggenheim Securities International, Ltd is wholly owned by Links Holding, LLC which is indirectly majority owned by Guggenheim Capital, LLC and is authorized dealer with the FCA. GUGGENHEIM SECURITIES RESEARCH SERVICES, LLC under common control with applicant 330 MADISON AVENUE New York NY 10017 07-17-2023 N N Y Guggenheim Securities Research Services LLC is wholly owned by Links Holding LLC which is indirectly owned by Guggenheim Capital, LLC. Guggenheim Securities Research Services LLC provides equity research and related services to institutional clients. SAMMONS FINANCIAL GROUP ASSET MANAGEMENT, LLC 000321109 under common control with applicant 8300 Mills Civic Parkway West Des Moines IA 50266 06-13-2022 04-15-2025 N N Y Sammons Financial Group Asset Management, LLC is wholly-owned by Sammons Financial Group, Inc., which is indirectly wholly-owned by Consolidated Investments Services, Inc., which indirectly partially owns Guggenheim Capital, LLC. SAMMONS FINANCIAL NETWORK, LLC 000158538 under common control with applicant 8300 Mills Civic Parkway West Des Moines IA 50266 06-01-2011 04-15-2025 N Y N Sammons Financial Network, LLC is wholly-owned by Sammons Securities, Inc., which is indirectly wholly-owned by Consolidated Investment Services, Inc. which indirectly partially owns Guggenheim Capital, LLC. TRANSPARENT VALUE PRIVATE LIMITED under common control with applicant R Square Road, 12 Floor Andheri Kurla Road, Near Chakala Metro Station Mumbai K7 400059 08-15-2018 Y K7 N Y Transparent Value Private Limited is directly majority owned by Transparent Value, LLC which is indirectly majority owned by Guggenheim Capital, LLC and is an unregistered Investment Advisor. GUGGENHEIM SECURITIES EUROPE LIMITED under common control with applicant 7/8 MOUNT STREET UPPER, OFFICE NR 1 DUBLIN 2 L2 D02YY71 03-22-2024 Y L2 Y N Guggenheim Securities Europe Limited is wholly owned by Guggenheim Securities Ireland Holdings, LLC which is indirectly majority owned by Guggenheim Capital, LLC and authorized as a broker dealer with The Central Bank Of Ireland Commission. GIFMS Capital Company, LLC INITIAL GIFMS Capital Company, LLC GIFMS Capital Company, LLC INITIAL 14C(2) One or more control affiliate(s) 000129288 Firm Y GUGGENHEIM FUND INVESTMENT ADVISORS, LLC Y 000137432 Firm Y GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC Y 000040638 Firm Y GUGGENHEIM SECURITIES, LLC Y INITIAL 14C(4) One or more control affiliate(s) 000040638 Firm Y GUGGENHEIM SECURITIES, LLC Y 000129288 Firm Y GUGGENHEIM FUND INVESTMENT ADVISORS, LLC Y 000137432 Firm Y GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC Y INITIAL 14C(5) One or more control affiliate(s) 000137432 Firm Y GUGGENHEIM PARTNERS INVESTMENT MANAGEMENT, LLC Y 000040638 Firm Y GUGGENHEIM SECURITIES, LLC Y INITIAL 14D(2) One or more control affiliate(s) 000105477 Firm Y SECURITY INVESTORS, LLC Y INITIAL 14E(2) One or more control affiliate(s) 000040638 Firm Y GUGGENHEIM SECURITIES, LLC Y 06-24-2026 GIFMS Capital Company, LLC CAREY D. FEAR CAREY D. FEAR CHIEF COMPLIANCE OFFICER