GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,211
New Positions 95
Increased Positions 1,426
Decreased Positions 1,775
Positions with Activity 3,201
Sold Out Positions 286
Total Mkt Value (in $ millions) 38,757

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

Sector Weighting

Basic Materials 5.32%
Capital Goods 5%
Conglomerates 0.37%
Consumer Cyclical 4.33%
Consumer/Non-Cyclical 5.91%
Energy 6.86%
Financial 20.79%
Healthcare 9.41%
Services 16.69%
Technology 13.8%
Transportation 2.37%
Utilities 6.21%

95 New Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) ▲ Change (%) Shares Held
WET SEAL INC CL A 1 1 New 10,684
ROCK CREEK PHARMACEUTICALS INC COM 3 3 New 20,834
MARKET VECTORS ETF TR INDIA SMALL CP 31 31 New 725
VERA BRADLEY INC COM 32 32 New 1,516
FIDELITY NATIONAL FINANCIAL IN FNFV GROUP COM 71 71 New 4,915
CUMULUS MEDIA INC CL A 73 73 New 17,830
LATTICE SEMICONDUCTOR CORP COM 81 81 New 12,752
ANGIES LIST INC COM 84 84 New 12,496
ISHARES MSCI ACWI ETF 86 86 New 1,500
ARRAY BIOPHARMA INC COM 94 94 New 20,063
ABERDEEN ASIA PACIFIC INCOM FD COM 100 100 New 18,155
BOULDER GROWTH & INCOME FD INC COM 102 102 New 11,412
WABASH NATL CORP COM 111 111 New 10,214
REALD INC COM 117 117 New 10,135
ORBITZ WORLDWIDE INC COM 126 126 New 15,398
CIVITAS SOLUTIONS INC COM 150 150 New 10,000
TFS FINL CORP COM 152 152 New 10,249
NORTHWEST BANCSHARES INC MD COM 162 162 New 13,364
MAVENIR SYS INC COM 170 170 New 13,983
VOYA INTL HIGH DIVID EQTY INC COM 174 174 New 21,197