Form D Raw Data - Electronic Filing Depository

EFDID: 11238EFD: Raw Data

Issuer: NZC GUGGENHEIM FUND LLC (0001445853) - D/A

Accession: 0000899140-19-000588 () (EDGAR Files) (Form D)

Edgar Posted: Oct. 18, 2019
EFD Posted: Oct. 18, 2019

- < edgarSubmission >

< schemaVersion > X0708 </ schemaVersion >

< submissionType > D/A </ submissionType >

< testOrLive > LIVE </ testOrLive >

- < primaryIssuer >

< cik > 0001445853 </ cik >

< entityName > NZC GUGGENHEIM FUND LLC </ entityName >

- < issuerAddress >

< street1 > 100 Wilshire Boulevard, 5th Floor </ street1 >

< city > Santa Monica </ city >

< stateOrCountry > CA </ stateOrCountry >

< stateOrCountryDescription > CALIFORNIA </ stateOrCountryDescription >

< zipCode > 90401 </ zipCode >

</ issuerAddress >

< issuerPhoneNumber > 310-576-1270 </ issuerPhoneNumber >

< jurisdictionOfInc > DELAWARE </ jurisdictionOfInc >

- < issuerPreviousNameList >

< value > None </ value >

</ issuerPreviousNameList >

- < edgarPreviousNameList >

< value > None </ value >

</ edgarPreviousNameList >

< entityType > Limited Liability Company </ entityType >

- < yearOfInc >

< overFiveYears > true </ overFiveYears >

</ yearOfInc >

</ primaryIssuer >

- < relatedPersonsList >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Kevin </ firstName >

< middleName > H. </ middleName >

< lastName > Gundersen </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 330 Madison Avenue, 10th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Mr. Gundersen is Senior Managing Director of the Investment Adviser of the Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Thomas </ firstName >

< lastName > Hauser </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 330 Madison Avenue, 10th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Mr. Hauser is Senior Managing Director of the Investment Adviser of the Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Alastair </ firstName >

< middleName > M. </ middleName >

< lastName > McKeever </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 330 Madison Avenue, 10th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Mr. McKeever is Managing Director of the Investment Adviser of the Issuer. </ relationshipClarification >

</ relatedPersonInfo >

- < relatedPersonInfo >

- < relatedPersonName >

< firstName > Matthew </ firstName >

< middleName > S. </ middleName >

< lastName > Bloom </ lastName >

</ relatedPersonName >

- < relatedPersonAddress >

< street1 > 330 Madison Avenue, 10th Floor </ street1 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ relatedPersonAddress >

- < relatedPersonRelationshipList >

< relationship > Executive Officer </ relationship >

</ relatedPersonRelationshipList >

< relationshipClarification > Mr. Bloom is Senior Managing Director of the Investment Adviser of the Issuer. </ relationshipClarification >

</ relatedPersonInfo >

</ relatedPersonsList >

- < offeringData >

- < industryGroup >

< industryGroupType > Pooled Investment Fund </ industryGroupType >

- < investmentFundInfo >

< investmentFundType > Other Investment Fund </ investmentFundType >

< is40Act > false </ is40Act >

</ investmentFundInfo >

</ industryGroup >

- < issuerSize >

< aggregateNetAssetValueRange > Decline to Disclose </ aggregateNetAssetValueRange >

</ issuerSize >

- < federalExemptionsExclusions >

< item > 06b </ item >

< item > 3C </ item >

< item > 3C.7 </ item >

</ federalExemptionsExclusions >

- < typeOfFiling >

- < newOrAmendment >

< isAmendment > true </ isAmendment >

< previousAccessionNumber > 0000899140-18-000562 </ previousAccessionNumber >

</ newOrAmendment >

- < dateOfFirstSale >

< value > 2008-08-07 </ value >

</ dateOfFirstSale >

</ typeOfFiling >

- < durationOfOffering >

< moreThanOneYear > true </ moreThanOneYear >

</ durationOfOffering >

- < typesOfSecuritiesOffered >

< isEquityType > true </ isEquityType >

< isPooledInvestmentFundType > true </ isPooledInvestmentFundType >

</ typesOfSecuritiesOffered >

- < businessCombinationTransaction >

< isBusinessCombinationTransaction > false </ isBusinessCombinationTransaction >

< clarificationOfResponse />

</ businessCombinationTransaction >

< minimumInvestmentAccepted > 0 </ minimumInvestmentAccepted >

- < salesCompensationList >

- < recipient >

< recipientName > Guggenheim Securities, LLC </ recipientName >

< recipientCRDNumber > 40638 </ recipientCRDNumber >

< associatedBDName > Guggenheim Securities, LLC </ associatedBDName >

< associatedBDCRDNumber > 40638 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 330 Madison Avenue </ street1 >

< street2 > 8th Floor </ street2 >

< city > New York </ city >

< stateOrCountry > NY </ stateOrCountry >

< stateOrCountryDescription > NEW YORK </ stateOrCountryDescription >

< zipCode > 10017 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

- < recipient >

< recipientName > Guggenheim Funds Distributors, LLC </ recipientName >

< recipientCRDNumber > 39805 </ recipientCRDNumber >

< associatedBDName > Guggenheim Funds Distributors, LLC </ associatedBDName >

< associatedBDCRDNumber > 39805 </ associatedBDCRDNumber >

- < recipientAddress >

< street1 > 805 King Farm Blvd, Suite 600 </ street1 >

< city > Rockville </ city >

< stateOrCountry > MD </ stateOrCountry >

< stateOrCountryDescription > MARYLAND </ stateOrCountryDescription >

< zipCode > 20850 </ zipCode >

</ recipientAddress >

- < statesOfSolicitationList >

< value > All States </ value >

</ statesOfSolicitationList >

< foreignSolicitation > false </ foreignSolicitation >

</ recipient >

</ salesCompensationList >

- < offeringSalesAmounts >

< totalOfferingAmount > Indefinite </ totalOfferingAmount >

< totalAmountSold > 1112115238 </ totalAmountSold >

< totalRemaining > Indefinite </ totalRemaining >

< clarificationOfResponse />

</ offeringSalesAmounts >

- < investors >

< hasNonAccreditedInvestors > false </ hasNonAccreditedInvestors >

< totalNumberAlreadyInvested > 164 </ totalNumberAlreadyInvested >

</ investors >

- < salesCommissionsFindersFees >

- < salesCommissions >

< dollarAmount > 118319 </ dollarAmount >

< isEstimate > true </ isEstimate >

</ salesCommissions >

- < findersFees >

< dollarAmount > 0 </ dollarAmount >

</ findersFees >

< clarificationOfResponse > The fees are paid by the investment advisor of the Issuer and the estimate includes amounts that may be payable over the next 12 months. </ clarificationOfResponse >

</ salesCommissionsFindersFees >

- < useOfProceeds >

- < grossProceedsUsed >

< dollarAmount > 0 </ dollarAmount >

</ grossProceedsUsed >

< clarificationOfResponse />

</ useOfProceeds >

- < signatureBlock >

< authorizedRepresentative > false </ authorizedRepresentative >

- < signature >

< issuerName > NZC GUGGENHEIM FUND LLC </ issuerName >

< signatureName > Robert Jee </ signatureName >

< nameOfSigner > Robert Jee </ nameOfSigner >

< signatureTitle > CCO of the Investment Adviser </ signatureTitle >

< signatureDate > 2019-10-18 </ signatureDate >

</ signature >

</ signatureBlock >

</ offeringData >

</ edgarSubmission >