GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,202
New Positions 95
Increased Positions 1,420
Decreased Positions 1,772
Positions with Activity 3,192
Sold Out Positions 286
Total Mkt Value (in $ millions) 39,461

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

Sector Weighting

Basic Materials 5.41%
Capital Goods 4.95%
Conglomerates 0.37%
Consumer Cyclical 4.23%
Consumer/Non-Cyclical 5.99%
Energy 6.77%
Financial 20.34%
Healthcare 9.31%
Services 16.97%
Technology 13.51%
Transportation 2.41%
Utilities 6.46%

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 New 10,684
ROCK CREEK PHARMACEUTICALS INC COM 4 4 New 20,834
REMY INTL INC NEW COM 18 18 New 879
VERA BRADLEY INC COM 29 29 New 1,516
MARKET VECTORS ETF TR INDIA SMALL CP 35 35 New 725
ANGIES LIST INC COM 62 62 New 12,496
FIDELITY NATIONAL FINANCIAL IN FNFV GROUP COM 63 63 New 4,915
CUMULUS MEDIA INC CL A 67 67 New 17,830
ISHARES MSCI ACWI ETF 88 88 New 1,500
LATTICE SEMICONDUCTOR CORP COM 93 93 New 12,752
BOULDER GROWTH & INCOME FD INC COM 100 100 New 11,412
ABERDEEN ASIA PACIFIC INCOM FD COM 101 101 New 18,155
REALD INC COM 113 113 New 10,135
WABASH NATL CORP COM 130 130 New 10,214
TFS FINL CORP COM 146 146 New 10,249
ORBITZ WORLDWIDE INC COM 152 152 New 15,398
ARRAY BIOPHARMA INC COM 153 153 New 20,063
NORTHWEST BANCSHARES INC MD COM 161 161 New 13,364
VOYA INTL HIGH DIVID EQTY INC COM 167 167 New 21,197
MAVENIR SYS INC COM 172 172 New 13,983