GUGGENHEIM CAPITAL LLC Information

227 WEST MONROE, CHICAGO, Illinois, 60606, (212) 401-0227

Report Date: 12/31/2013

Position Statistics

Total Positions 3,227
New Positions 291
Increased Positions 1,956
Decreased Positions 1,248
Positions with Activity 3,204
Sold Out Positions 142
Total Mkt Value (in $ millions) 32,907

Institutional Holdings information is filed by major institutions on form 13-F with the Securities and Exchange Commission.

Sector Weighting

Basic Materials 6.49%
Capital Goods 5.07%
Conglomerates 0.36%
Consumer Cyclical 3.66%
Consumer/Non-Cyclical 5.95%
Energy 8.42%
Financial 22.16%
Healthcare 7.88%
Services 16.99%
Technology 14.16%
Transportation 2.24%
Utilities 5.41%

1,248 DECREASED Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
OCH ZIFF CAP MGMT GROUP CL A 1,005 -93 (8.44) 80,060
STMICROELECTRONICS N V NY REGISTRY 1,004 -42 (4.06) 113,017
BABCOCK & WILCOX CO NEW COM 1,000 -17,504 (94.6) 29,641
MORGAN STANLEY EM MKTS DM DEBT COM 999 -387 (27.91) 75,779
ALLEGIANT TRAVEL CO COM 998 -376 (27.38) 8,611
AVIV REIT INC MD COM 994 -67 (6.28) 39,306
MARKET VECTORS ETF TR AGRIBUS ETF 986 -182 (15.57) 18,159
EGA EMERGING GLOBAL SHS TR EGS EMKTCONS ETF 985 -289 (22.68) 36,117
FEDERAL REALTY INVT TR SH BEN INT NEW 981 -832 (45.9) 8,508
PETROLOGISTICS LP UNIT LTD PTH INT 981 -58 (5.58) 77,287
MFS MUN INCOME TR SH BEN INT 980 -299 (23.35) 153,414
HUNTINGTON INGALLS INDS INC COM 974 -29,153 (96.77) 9,363
OMNIVISION TECHNOLOGIES INC COM 974 -10,928 (91.82) 51,178
NUVEEN QUALITY MUN FD INC COM 970 -160 (14.12) 75,905
ALLIANCE ONE INTL INC COM 970 -272 (21.93) 359,177
ATMEL CORP COM 966 -5,260 (84.49) 121,316
ASTORIA FINL CORP COM 965 -360 (27.16) 69,839
CORNERSTONE ONDEMAND INC COM 964 -539 (35.87) 24,520
ATLAS PIPELINE PARTNERS LP UNIT L P INT 962 -433 (31.03) 29,900
INVESCO VALUE MUN INCOME TR COM 960 -1,307 (57.66) 65,295