September 19, 2014 1:30 PM ET

Capital Markets

Company Overview of Guggenheim Securities, LLC

Company Overview

Guggenheim Securities, LLC operates as a subsidiary of Guggenheim Partners, LLC.

135 East 57th Street

7th Floor

New York, NY 10022

United States

Key Executives for Guggenheim Securities, LLC

Executive Chairman and Chief Executive Officer
Age: 64
Head of Investment Banking and Senior Managing Director
Senior Managing Director
Age: 51
Senior Managing Director and Head of Insurance Banking
Senior Managing Director
Age: 49
Compensation as of Fiscal Year 2014.

Guggenheim Securities, LLC Key Developments

Guggenheim Securities Announces Executive Appointments

Guggenheim Securities announced the hiring of five professionals to bolster its money-market and other short-duration sales and trading business. Joining the firm are Bill Lista, Jeff Palermo, Jim Powers and Ed Rovegno as managing directors and Garrett Roberts as a director. Messrs. Lista, Palermo, Powers and Roberts will be based in New York, with Mr. Rovegno based in Guggenheim Securities' Boston office. The group will be reporting to Robert Boyd, Senior Managing Director and Head of Rates. Messrs. Lista, Palermo, Rovegno and Roberts were most recently with Barclays. With 30 years experience in the industry, Mr. Lista most recently headed Barclays' global fixed-income middle-markets sales staff and ran the global fixed-income short-duration and financing distribution platform. Mr. Palermo, who joined Lehman Brothers in 1980, helped to create and build out Barclays' commercial paper trading desk following its acquisition of Lehman. Before that, he supported Lehman's money-market trading desk. Mr. Rovegno, a 31-year money-market professional at Lehman and Barclays, was most recently part of the bank's institutional sales team that focused on a range of short-term fixed-income products and financings. Mr. Roberts, who spent 12 years at Lehman and Barclays, served on the bank's financing and money-market sales team, responsible for helping financial institutions with their funding and liquidity needs. Mr. Powers, a 25-year professional in the fixed-income markets, joins from Credit Suisse, where he recently served as Head of Agency and Short-Term U.S. Treasury trading. He began his career with First Boston as a research analyst covering fixed-income markets.

KiOR Mulls Options

KiOR, Inc. (NasdaqGS:KIOR) intends to sell or merger with another company. KiOR is seeking the possibility of selling itself or merging with another company after failing to make a $1.88 million interest payment. The company is currently assessing various "financing, transactional and strategic alternatives, including a possible merger, restructuring or sale," the company said in a filing with the Securities and Exchange Commission. Guggenheim Securities LLC has been appointed to assist it in the process through financial advisory and investment banking services.

Guggenheim Securities Hires Malcolm Morris as Senior Managing Director

Guggenheim Securities announced the hiring of Malcolm Morris as a Senior Managing Director. Mr. Morris, who will join the firm in September 2014 from Deutsche Bank, will focus on advising companies in the wireless infrastructure industry. In his previous position as Vice Chairman at Deutsche Bank, Mr. Morris established the firm's leading global franchise in the wireless infrastructure sector, advising infrastructure clients and global wireless carriers on strategic alternatives for infrastructure assets, monetization and debt and equity capital raising. In the Wireless Infrastructure Sector, his transaction experience includes Global Tower Partners and Macquarie Infrastructure Partners' sale of GTP to American Tower, BR Towers' pending sale to American Tower and NextG Networks' sale to Crown Castle International Corp. In the Media Sector, his transaction experience includes Time Warner's spinoff of its Cable and AOL subsidiaries and Time Warner Cable's acquisition of Navisite.

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Recent Private Companies Transactions

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