GUGGENHEIM CAPITAL LLC Information

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

Report Date: 12/31/2014

Position Statistics

Total Positions 3,148
New Positions 252
Increased Positions 1,587
Decreased Positions 1,538
Positions with Activity 3,125
Sold Out Positions 185
Total Mkt Value (in $ millions) 40,875

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

Sector Weighting

Basic Materials 5.03%
Capital Goods 4.99%
Conglomerates 0.3%
Consumer Cyclical 4.16%
Consumer/Non-Cyclical 6.1%
Energy 7.81%
Financial 19.07%
Healthcare 9.66%
Services 16.96%
Technology 14.7%
Transportation 2.05%
Utilities 5.49%

252 New Positions as of 12/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
IPASS INC COM 13 13 New 10,843
ENTEROMEDICS INC COM NEW 12 12 New 10,491
GENERAL MOLY INC COM 11 11 New 14,555
VICAL INC COM 10 10 New 11,029
STEMCELLS INC COM NEW 7 7 New 11,114
IMMUNOCELLULAR THERAPEUTICS COM 6 6 New 12,448
CARDICA INC COM 6 6 New 13,531
NANOSPHERE INC COM NEW 2 2 New 627
ISHARES EM HGHYL BD ETF New 88,804
ISHARES GLB HGH YLD ETF New 9,077
PROSHARES TR INVT INT RT HG New 8,980
PROSHARES TR HGH YLD INT RATE New 62,576