GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,203
New Positions 95
Increased Positions 1,421
Decreased Positions 1,772
Positions with Activity 3,193
Sold Out Positions 286
Total Mkt Value (in $ millions) 39,553

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

Sector Weighting

Basic Materials 5.35%
Capital Goods 4.97%
Conglomerates 0.37%
Consumer Cyclical 4.22%
Consumer/Non-Cyclical 6%
Energy 6.6%
Financial 20.36%
Healthcare 9.55%
Services 16.94%
Technology 13.74%
Transportation 2.41%
Utilities 6.45%

1,421 INCREASED Positions as of 09/30/2014

Company Class ▲ Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
ISHARES 10+ YR CR BD ETF 464 56 13.61 7,288
ACACIA RESH CORP ACACIA TCH COM 6,628 2,880 76.85 487,018
BANCO SANTANDER SA ADR 15,005 1,086 7.80 2,162,068
BARCLAYS PLC ADR 496 25 5.23 34,079
BT GROUP PLC ADR 4,140 318 8.32 64,110
E HOUSE CHINA HLDGS LTD ADR 1,190 64 5.65 175,297
ICICI BK LTD ADR 5,507 123 2.29 433,585
SOUFUN HLDGS LTD ADR 3,807 1,567 69.98 556,604
TEVA PHARMACEUTICAL INDS LTD ADR 23,326 427 1.87 389,551
ERICSSON ADR B SEK 10 2,704 827 44.02 219,488
HDFC BANK LTD ADR REPS 3 SHS 6,344 341 5.69 103,830
NQ MOBILE INC ADR REPSTG CL A 448 50 12.55 115,480
VALE S A ADR REPSTG PFD 3,400 170 5.25 485,736
QIHOO 360 TECHNOLOGY CO LTD ADS 6,040 423 7.54 99,747
CHANGYOU COM LTD ADS REP CL A 680 22 3.27 26,255
YY INC ADS REPCOM CLA 5,104 90 1.79 70,391
POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 14,570 2,023 16.12 985,825
ALPS ETF TR ALERIAN MLP 39,259 4,905 14.28 2,269,284
SSGA ACTIVE ETF TR BLKSTN GSOSRLN 2,647 740 38.78 54,534
SPDR SERIES TRUST BRCLY EM LOCL 1,663 770 86.29 57,931