GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,206
New Positions 95
Increased Positions 1,423
Decreased Positions 1,773
Positions with Activity 3,196
Sold Out Positions 286
Total Mkt Value (in $ millions) 40,105

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

Sector Weighting

Basic Materials 5.34%
Capital Goods 5.04%
Conglomerates 0.37%
Consumer Cyclical 4.31%
Consumer/Non-Cyclical 5.92%
Energy 6.87%
Financial 20.63%
Healthcare 9.23%
Services 16.67%
Technology 13.98%
Transportation 2.39%
Utilities 6.32%

95 New Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
AMER RLTY CAP HEALTHCAR TR INC COM 1,980 1,980 New 165,259
SOUTH ST CORP COM 1,919 1,919 New 29,085
ICAHN ENTERPRISES LP DEPOSITARY UNIT 1,822 1,822 New 19,364
C1 FINL INC COM 1,795 1,795 New 95,508
FIDELITY NATIONAL FINANCIAL IN FNF GROUP COM 1,767 1,767 New 49,564
NCI BUILDING SYS INC COM NEW 1,736 1,736 New 96,368
QUAD / GRAPHICS INC COM CL A 1,580 1,580 New 68,661
CSI COMPRESSCO LP COM UNIT 1,473 1,473 New 104,651
NORTH ATLANTIC DRILLING LTD COM 1,466 1,466 New 832,707
ALCENTRA CAP CORP COM 1,431 1,431 New 112,292
ISHARES CNTRY MIN VL ETF 1,324 1,324 New 19,000
ALIBABA GROUP HLDG LTD SPONSORED ADS 1,324 1,324 New 12,500
WEATHERFORD INTL PLC ORD SHS 1,228 1,228 New 105,594
NORTHSTAR RLTY FIN CORP COM NEW 1,194 1,194 New 67,856
MEMORIAL RESOURCE DEV CORP COM 1,145 1,145 New 60,848
AUTOMATIC DATA PROCESSING INC EXDISTRIB WI 1,131 1,131 New 15,499
SUNOCO LP COM U REP LP 1,055 1,055 New 22,053
WISDOMTREE TR INDIA ERNGS FD 1,048 1,048 New 48,364
SPDR SERIES TRUST S&P REGL BKG 1,020 1,020 New 25,000
BGC PARTNERS INC CL A 962 962 New 102,281


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