GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,202
New Positions 95
Increased Positions 1,420
Decreased Positions 1,772
Positions with Activity 3,192
Sold Out Positions 286
Total Mkt Value (in $ millions) 39,220

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

Sector Weighting

Basic Materials 5.36%
Capital Goods 4.99%
Conglomerates 0.37%
Consumer Cyclical 4.31%
Consumer/Non-Cyclical 6.01%
Energy 6.53%
Financial 20.3%
Healthcare 9.57%
Services 16.98%
Technology 13.63%
Transportation 2.41%
Utilities 6.5%

1,772 DECREASED Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) ▲ Shares Held
ACELRX PHARMACEUTICALS INC COM -90 Sold Out 0
ACTIVE POWER INC COM NEW -38 Sold Out 0
ADDUS HOMECARE CORP COM -205 Sold Out 0
ADVANCED EMISSIONS SOLUTS INC COM -225 Sold Out 0
AIRCASTLE LTD COM -5,342 Sold Out 0
ALASKA COMMUNICATIONS SYS GRP COM -31 Sold Out 0
ALLIANCE HEALTHCARE SRVCS INC COM PAR $0.01 -269 Sold Out 0
ALPHATEC HOLDINGS INC COM -37 Sold Out 0
AMERICAN SOFTWARE INC CL A -111 Sold Out 0
AMERIS BANCORP COM -230 Sold Out 0
AMICUS THERAPEUTICS INC COM -134 Sold Out 0
AMPIO PHARMACEUTICALS INC COM -123 Sold Out 0
ANI PHARMACEUTICALS INC COM -3,770 Sold Out 0
ANTARES PHARMA INC COM -25 Sold Out 0
ANWORTH MORTGAGE ASSET CP COM -4,636 Sold Out 0
API TECHNOLOGIES CORP COM NEW -26 Sold Out 0
APPLIED INDL TECHNOLOGIES INC COM -167 Sold Out 0
APRICUS BIOSCIENCES INC COM -22 Sold Out 0
ARAMARK COM -1,550 Sold Out 0
ARBOR RLTY TR INC COM -103 Sold Out 0