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 1,955
Decreased Positions 1,249
Positions with Activity 3,204
Sold Out Positions 142
Total Mkt Value (in $ millions) 32,141

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

Sector Weighting

Basic Materials 6.53%
Capital Goods 5.04%
Conglomerates 0.36%
Consumer Cyclical 3.63%
Consumer/Non-Cyclical 5.95%
Energy 8.22%
Financial 22.39%
Healthcare 7.87%
Services 17.06%
Technology 14.09%
Transportation 2.22%
Utilities 5.44%

1,955 INCREASED Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
CUBIST PHARMACEUTICALS INC CONT VAL RT 13 New 782
JAMES RIVER COAL CO COM NEW 4 6.30 12,076
CONTRAVIR PHARMACEUTICALS INC COM 4 1 20.96 2,078
LUCAS ENERGY INC COM NEW 8 6.31 11,019
DARA BIOSCIENCES INC COM PAR $ 8 6.30 3,072
OVERLAND STORAGE INC COM NO PAR 9 1 6.30 2,193
SILVER BULL RES INC COM 9 1 6.31 25,193
WAVE SYSTEMS CORP CL A PAR $0.01 10 10 New 10,215
HOOPER HOLMES INC COM 10 1 6.31 16,022
TENGASCO INC COM NEW 11 1 6.30 21,209
HOUSTON AMERN ENERGY CORP COM 11 1 6.32 21,360
GOLDEN MINERALS CO COM 11 1 6.30 13,847
DELCATH SYS INC COM NEW 13 6 84.84 3,157
MELA SCIENCES INC COM 13 1 6.28 22,436
WET SEAL INC CL A 13 13 New 11,325
CARDICA INC COM 13 1 6.31 14,363
METABOLIX INC COM 13 1 6.28 11,519
CLEVELAND BIOLABS INC COM 14 1 6.29 20,020
MAJESCO ENTERTAINMENT CO COM NEW 14 1 6.28 36,405
DOCUMENT SEC SYS INC COM 14 1 6.31 11,103