GUGGENHEIM CAPITAL LLC Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 3,159
New Positions 255
Increased Positions 1,594
Decreased Positions 1,542
Positions with Activity 3,136
Sold Out Positions 185
Total Mkt Value (in $ millions) 40,949

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

Sector Weighting

Basic Materials 5.06%
Capital Goods 5.09%
Conglomerates 0.29%
Consumer Cyclical 4.14%
Consumer/Non-Cyclical 6.1%
Energy 7.28%
Financial 18.99%
Healthcare 9.81%
Services 17.27%
Technology 14.68%
Transportation 2.11%
Utilities 5.53%

255 New Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CEL SCI CORP COM PAR $0.01 14 14 New 12,987
AVEO PHARMACEUTICALS INC COM 13 13 New 10,139
STEMCELLS INC COM NEW 12 12 New 11,114
VICAL INC COM 11 11 New 11,029
ENTEROMEDICS INC COM NEW 11 11 New 10,491
IPASS INC COM 10 10 New 10,843
SYNTHESIS ENERGY SYS INC COM 9 9 New 11,434
CARDICA INC COM 9 9 New 13,531
IMMUNOCELLULAR THERAPEUTICS COM 7 7 New 12,448
GENERAL MOLY INC COM 6 6 New 14,555
NANOSPHERE INC COM 4 4 New 12,542
ISHARES EM HGHYL BD ETF New 88,804
ISHARES GLB HGH YLD ETF New 9,077
PROSHARES TR HGH YLD INT RATE New 62,576
PROSHARES TR INVT INT RT HG New 8,980