GUGGENHEIM CAPITAL LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 3,228
New Positions 291
Increased Positions 1,956
Decreased Positions 1,249
Positions with Activity 3,205
Sold Out Positions 142
Total Mkt Value (in $ millions) 32,504

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

Sector Weighting

Basic Materials 6.51%
Capital Goods 5.03%
Conglomerates 0.36%
Consumer Cyclical 3.64%
Consumer/Non-Cyclical 5.94%
Energy 8.33%
Financial 22.29%
Healthcare 7.9%
Services 16.99%
Technology 14.12%
Transportation 2.21%
Utilities 5.48%

1,249 DECREASED Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
AASTROM BIOSCIENCES INC COM PAR$ -6 Sold Out 0
ABAXIS INC COM -600 Sold Out 0
ABERDEEN ASIA PACIFIC INCOM FD COM -156 Sold Out 0
ALCATEL-LUCENT SPONSORED ADR -1,255 Sold Out 0
ALPINE GLOBAL DYNAMIC DIVD FD COM NEW -134 Sold Out 0
ALTISOURCE PORTFOLIO SOLNS SA REG SHS -207 Sold Out 0
ALUMINA LTD SPONSORED ADR -91 Sold Out 0
ALUMINUM CORP CHINA LTD SPON ADR H SHS -717 Sold Out 0
AMARIN CORP PLC SPONS ADR NEW -1,288 Sold Out 0
AMEDISYS INC COM -2,178 Sold Out 0
AMERIS BANCORP COM -235 Sold Out 0
AMR CORP DEL COM -1,176 Sold Out 0
ANALOGIC CORP COM PAR $0.05 -1,020 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS -12,368 Sold Out 0
APPROACH RESOURCES INC COM -164 Sold Out 0
ASHFORD HOSPITALITY PRIME INC COM -39 Sold Out 0
ASHFORD HOSPITALITY TR INC COM SHS -130 Sold Out 0
BANCORP INC DEL COM -2,641 Sold Out 0
BANK MUTUAL CORP NEW COM -741 Sold Out 0
BANK OF AMERICA CORPORATION 7.25%CNV PFD L -12,930 Sold Out 0