| Serial Number | 87761948 |
| Word Mark | GUGGENHEIM SMALL-CAP XDEX |
| Filing Date | Friday, January 19, 2018 |
| Status | 700 - REGISTERED |
| Status Date | Tuesday, September 4, 2018 |
| Registration Number | 5554387 |
| Registration Date | Tuesday, September 4, 2018 |
| Mark Drawing | 4000 - Illustration: Drawing with word(s) / letter(s) / number(s) in Block form |
| Published for Opposition Date | Tuesday, June 19, 2018 |
| Goods and Services | Financial and investment services, namely, issuance of pooled investment funds related to such indices; providing information, advice and consulting in the fields of finance, insurance, banking, asset management and investment; financial investment in the fields of securities, funds, real estate, and venture capital businesses; investment management and financial asset management services; investment of funds for others; securitization, structuring and administration of investment assets; providing and updating a financial index of securities values and classification, analysis, and reporting thereof; providing a financial index in the nature of quantitative measurements for analyzing investor attitudes; and providing online electronic databases in the fields of finance, banking, asset management and investment |
| Disclaimer with Predetermined Text | "SMALL-CAP" |
| International Class | 036 - Insurance; financial affairs; monetary affairs; real estate affairs. |
| US Class Codes | 100, 101, 102 |
| Class Status Code | 6 - Active |
| Class Status Date | Wednesday, January 31, 2018 |
| Primary Code | 036 |
| First Use Anywhere Date | Monday, October 31, 2016 |
| First Use In Commerce Date | Monday, October 31, 2016 |
| Party Name | GUGGENHEIM CAPITAL, LLC |
| Party Type | 30 - Original Registrant |
| Legal Entity Type | 16 - Limited Liability Company |
| Address | Chicago, IL 60606 |
| Party Name | GUGGENHEIM CAPITAL, LLC |
| Party Type | 20 - Owner at Publication |
| Legal Entity Type | 16 - Limited Liability Company |
| Address | CHICAGO, IL 60606 |
| Party Name | GUGGENHEIM CAPITAL, LLC |
| Party Type | 10 - Original Applicant |
| Legal Entity Type | 16 - Limited Liability Company |
| Address | CHICAGO, IL 60606 |
| Event Date | Event Description |
| Monday, September 4, 2023 | COURTESY REMINDER - SEC. 8 (6-YR) E-MAILED |
| Thursday, June 11, 2020 | REVIEW OF CORRESPONDENCE COMPLETE - ADDRESS UPDATED |
| Friday, April 24, 2020 | APPLICANT/CORRESPONDENCE CHANGES (NON-RESPONSIVE) ENTERED |
| Friday, April 24, 2020 | TEAS CHANGE OF CORRESPONDENCE RECEIVED |
| Friday, April 24, 2020 | TEAS WITHDRAWAL OF ATTORNEY RECEIVED-FIRM RETAINS |
| Friday, April 24, 2020 | ATTORNEY/DOM.REP.REVOKED AND/OR APPOINTED |
| Friday, April 24, 2020 | TEAS REVOKE/APP/CHANGE ADDR OF ATTY/DOM REP RECEIVED |
| Friday, April 24, 2020 | TEAS CHANGE OF OWNER ADDRESS RECEIVED |
| Tuesday, September 4, 2018 | REGISTERED-PRINCIPAL REGISTER |
| Tuesday, June 19, 2018 | OFFICIAL GAZETTE PUBLICATION CONFIRMATION E-MAILED |
| Tuesday, June 19, 2018 | PUBLISHED FOR OPPOSITION |
| Wednesday, May 30, 2018 | NOTIFICATION OF NOTICE OF PUBLICATION E-MAILED |
| Thursday, May 17, 2018 | APPROVED FOR PUB - PRINCIPAL REGISTER |
| Thursday, May 17, 2018 | TEAS/EMAIL CORRESPONDENCE ENTERED |
| Thursday, May 17, 2018 | CORRESPONDENCE RECEIVED IN LAW OFFICE |
| Wednesday, May 16, 2018 | ASSIGNED TO LIE |
| Tuesday, May 8, 2018 | TEAS RESPONSE TO OFFICE ACTION RECEIVED |
| Tuesday, May 8, 2018 | NOTIFICATION OF NON-FINAL ACTION E-MAILED |
| Tuesday, May 8, 2018 | NON-FINAL ACTION E-MAILED |
| Tuesday, May 8, 2018 | NON-FINAL ACTION WRITTEN |
| Tuesday, May 1, 2018 | ASSIGNED TO EXAMINER |
| Wednesday, January 31, 2018 | NEW APPLICATION OFFICE SUPPLIED DATA ENTERED |
| Tuesday, January 23, 2018 | NEW APPLICATION ENTERED |