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
LIMELIGHT NETWORKS INC COM 22 22 New 10,228
FIRST SEC GROUP INC COM NEW 21 21 New 10,224
VICAL INC COM 21 21 New 17,241
AMERICAN SUPERCONDUCTOR CORP COM 19 19 New 13,237
ENTREMED INC COM NEW 19 19 New 10,010
CEL SCI CORP COM PAR $0.01 16 16 New 12,534
ALPHATEC HOLDINGS INC COM 15 15 New 10,875
AVEO PHARMACEUTICALS INC COM 15 15 New 11,210
WAVE SYSTEMS CORP CL A PAR $0.01 14 14 New 10,215
WET SEAL INC CL A 13 13 New 11,325
CUBIST PHARMACEUTICALS INC CONT VAL RT 13 New 782