GUGGENHEIM CAPITAL LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 3,306
New Positions 131
Increased Positions 1,495
Decreased Positions 1,786
Positions with Activity 3,281
Sold Out Positions 181
Total Mkt Value (in $ millions) 37,624

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

Sector Weighting

Basic Materials 5.57%
Capital Goods 5.09%
Conglomerates 0.31%
Consumer Cyclical 4.18%
Consumer/Non-Cyclical 5.96%
Energy 7.83%
Financial 21.38%
Healthcare 8.95%
Services 16.09%
Technology 13.59%
Transportation 2.18%
Utilities 6.22%

1,495 INCREASED Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
BIOTIME INC WT EXP 100118 1 12.43 597
ASTERIAS BIOTHERAPEUTICS INC COM SER A 2 12.44 488
CERES INC COM 6 3 70.41 17,252
IKANOS COMMUNICATIONS COM 10 1 14.04 27,263
EDUCATION MGMT CORP NEW COM 11 4 58.40 17,836
GABELLI HLTHCARE & WELLNESS TR RT 11 11 New 27,720
QUICKSILVER RESOURCES INC COM 12 .17 21,256
DENDREON CORP COM 15 1 7.05 14,137
DOCUMENT SEC SYS INC COM 15 2 13.96 20,758
ZAZA ENERGY CORP COM NEW 15 1 6.00 4,436
CEL SCI CORP COM PAR $0.01 17 1 6.52 25,647
ANTARES PHARMA INC COM 21 21 New 10,492
NAVIDEA BIOPHARMACEUTICALS INC COM 22 5 25.66 16,454
GERON CORP COM 26 3 12.43 11,702
HARVEST NATURAL RESOURCES INC COM 31 31 New 10,180
CYAN INC COM 35 35 New 11,841
AMYRIS INC COM 35 35 New 11,408
RADIO ONE INC CL D NON VTG 36 8 29.89 14,145
MARIN SOFTWARE INC COM 43 43 New 5,137
REPUBLIC FIRST BANCORP INC COM 47 47 New 12,154


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