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 1,956
Decreased Positions 1,248
Positions with Activity 3,204
Sold Out Positions 142
Total Mkt Value (in $ millions) 32,907

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

Sector Weighting

Basic Materials 6.49%
Capital Goods 5.07%
Conglomerates 0.36%
Consumer Cyclical 3.66%
Consumer/Non-Cyclical 5.95%
Energy 8.42%
Financial 22.16%
Healthcare 7.88%
Services 16.99%
Technology 14.16%
Transportation 2.24%
Utilities 5.41%

291 New Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
INDEPENDENT BANK CORP MASS COM 77 77 New 1,994
PETROQUEST ENERGY INC COM 72 72 New 12,711
PERNIX THERAPEUTICS HLDGS INC COM 65 65 New 13,799
LUBYS INC COM 62 62 New 10,796
RESOURCE CAP CORP COM 59 59 New 10,873
MACATAWA BK CORP COM 54 54 New 10,903
EDUCATION MGMT CORP NEW COM 47 47 New 11,462
RESEARCH FRONTIERS INC COM 47 47 New 10,169
U S ENERGY CORP WYO COM 43 43 New 10,163
RIGEL PHARMACEUTICALS INC COM NEW 37 37 New 11,528
UNILIFE CORP NEW COM 36 36 New 10,177
EARTHLINK HLDGS CORP COM 35 35 New 10,135
U S GLOBAL INVS INC CL A 35 35 New 10,233
UNWIRED PLANET INC NEW COM 35 35 New 16,228
SYNERGETICS USA INC COM 33 33 New 10,046
ACORN ENERGY INC COM 32 32 New 11,636
SYNTHETIC BIOLOGICS INC COM 26 26 New 10,180
CURIS INC COM 25 25 New 11,018
MERGE HEALTHCARE INC COM 25 25 New 10,091
NAVIDEA BIOPHARMACEUTICALS INC COM 24 24 New 14,528