GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,210
New Positions 95
Increased Positions 1,425
Decreased Positions 1,775
Positions with Activity 3,200
Sold Out Positions 286
Total Mkt Value (in $ millions) 37,905

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

Sector Weighting

Basic Materials 5.29%
Capital Goods 5.04%
Conglomerates 0.37%
Consumer Cyclical 4.35%
Consumer/Non-Cyclical 5.95%
Energy 6.66%
Financial 20.83%
Healthcare 9.42%
Services 16.68%
Technology 13.84%
Transportation 2.39%
Utilities 6.22%

95 New Positions as of 09/30/2014

Company Class ▲ Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
BGC PARTNERS INC CL A 873 873 New 102,281
CUMULUS MEDIA INC CL A 67 67 New 17,830
FORTRESS INVESTMENT GROUP LLC CL A 528 528 New 70,209
GLOBUS MED INC CL A 6,172 6,172 New 457,192
WET SEAL INC CL A 1 1 New 10,684
TERRAFORM PWR INC CL A COM 10,462 10,462 New 380,973
ISHARES CNTRY MIN VL ETF 1,289 1,289 New 19,000
ABERDEEN ASIA PACIFIC INCOM FD COM 98 98 New 18,155
ACHILLION PHARMACEUTICALS INC COM 3,316 3,316 New 256,636
ALCENTRA CAP CORP COM 1,296 1,296 New 112,292
AMER RLTY CAP HEALTHCAR TR INC COM 1,970 1,970 New 165,259
ANGIES LIST INC COM 74 74 New 12,496
ARGO GROUP INTL HLDGS LTD COM 8,828 8,828 New 165,966
ARRAY BIOPHARMA INC COM 92 92 New 20,063
BANK KY FINL CORP COM 538 538 New 11,708
BAR HBR BANKSHARES COM 232 232 New 7,588
BOULDER GROWTH & INCOME FD INC COM 100 100 New 11,412
C1 FINL INC COM 1,743 1,743 New 95,508
CHEMICAL FINL CORP COM 262 262 New 9,160
CHOICE HOTELS INTL INC COM 213 213 New 3,902


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