GUGGENHEIM CAPITAL LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 3,314
New Positions 132
Increased Positions 1,502
Decreased Positions 1,787
Positions with Activity 3,289
Sold Out Positions 183
Total Mkt Value (in $ millions) 38,683

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

Sector Weighting

Basic Materials 5.96%
Capital Goods 5.08%
Conglomerates 0.31%
Consumer Cyclical 4.18%
Consumer/Non-Cyclical 5.69%
Energy 9.13%
Financial 21.12%
Healthcare 8.29%
Services 15.94%
Technology 13.78%
Transportation 2.07%
Utilities 5.8%

132 New Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) ▲ Change (%) Shares Held
GABELLI HLTHCARE & WELLNESS TR RT 11 11 New 27,720
ANTARES PHARMA INC COM 22 22 New 10,492
MARIN SOFTWARE INC COM 40 40 New 5,137
CYAN INC COM 44 44 New 11,841
VIOLIN MEMORY INC COM 44 44 New 12,124
AMYRIS INC COM 48 48 New 11,408
HARVEST NATURAL RESOURCES INC COM 49 49 New 10,180
REPUBLIC FIRST BANCORP INC COM 56 56 New 12,154
NORANDA ALUM HLDG CORP COM 63 63 New 13,086
PLUG POWER INC COM NEW 67 67 New 11,338
SFX ENTMT INC COM 70 70 New 10,398
IGI LABS INC COM 70 70 New 11,631
TRAVELZOO INC COM NEW 109 109 New 6,279
GLOBALSTAR INC COM 120 120 New 28,931
WATERSTONE FINL INC MD COM 138 138 New 12,177
NEW YORK REIT INC COM 153 153 New 14,552
HORIZON PHARMA INC COM 158 158 New 16,351
PIKE CORP COM 168 168 New 14,168
PIMCO NEW YORK MUN INCM FD 111 COM 169 169 New 18,068
ORCHIDS PAPER PRODS CO DEL COM 178 178 New 6,531