GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,200
New Positions 95
Increased Positions 1,418
Decreased Positions 1,772
Positions with Activity 3,190
Sold Out Positions 286
Total Mkt Value (in $ millions) 38,689

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

Sector Weighting

Basic Materials 5.45%
Capital Goods 4.99%
Conglomerates 0.37%
Consumer Cyclical 4.28%
Consumer/Non-Cyclical 5.97%
Energy 6.74%
Financial 20.38%
Healthcare 9.57%
Services 16.77%
Technology 13.57%
Transportation 2.39%
Utilities 6.46%

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 -87 Sold Out 0
ACTIVE POWER INC COM NEW -38 Sold Out 0
ADDUS HOMECARE CORP COM -199 Sold Out 0
ADVANCED EMISSIONS SOLUTS INC COM -120 Sold Out 0
AIRCASTLE LTD COM -5,202 Sold Out 0
ALASKA COMMUNICATIONS SYS GRP COM -32 Sold Out 0
ALLIANCE HEALTHCARE SRVCS INC COM PAR $0.01 -254 Sold Out 0
ALPHATEC HOLDINGS INC COM -36 Sold Out 0
AMERICAN SOFTWARE INC CL A -104 Sold Out 0
AMERIS BANCORP COM -225 Sold Out 0
AMICUS THERAPEUTICS INC COM -129 Sold Out 0
AMPIO PHARMACEUTICALS INC COM -118 Sold Out 0
ANI PHARMACEUTICALS INC COM -3,650 Sold Out 0
ANTARES PHARMA INC COM -25 Sold Out 0
ANWORTH MORTGAGE ASSET CP COM -4,592 Sold Out 0
API TECHNOLOGIES CORP COM NEW -26 Sold Out 0
APPLIED INDL TECHNOLOGIES INC COM -155 Sold Out 0
APRICUS BIOSCIENCES INC COM -22 Sold Out 0
ARAMARK COM -1,510 Sold Out 0
ARBOR RLTY TR INC COM -102 Sold Out 0