GUGGENHEIM CAPITAL LLC Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 3,320
New Positions 242
Increased Positions 1,923
Decreased Positions 1,385
Positions with Activity 3,308
Sold Out Positions 129
Total Mkt Value (in $ millions) 36,279

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

Sector Weighting

Basic Materials 6.12%
Capital Goods 5.32%
Conglomerates 0.3%
Consumer Cyclical 3.65%
Consumer/Non-Cyclical 5.55%
Energy 8.59%
Financial 21.78%
Healthcare 8.47%
Services 16.88%
Technology 14.08%
Transportation 2.18%
Utilities 5.62%

242 New Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▲ Change in Value ($1,000s) Change (%) Shares Held
GENCO SHIPPING & TRADING LTD WT EXP 123121 New 1,270
KID BRANDS INC COM New 10,505
COLDWATER CREEK INC COM NEW New 11,262
UNITEK GLOBAL SVCS INC COM PAR $.00002 4 4 New 10,423
BAXANO SURGICAL INC COM 6 6 New 10,456
CERES INC COM 7 7 New 10,124
AUTHENTIDATE HLDG CORP COM NEW 9 9 New 14,366
IKANOS COMMUNICATIONS COM 10 10 New 23,906
BSD MED CORP DEL COM 11 11 New 12,800
RESPONSE GENETICS INC COM 11 11 New 12,778
COSI INC COM NEW 12 12 New 10,455
NETLIST INC COM 13 13 New 10,632
VISION-SCIENCES INC DEL COM 14 14 New 12,294
PALATIN TECHNOLOGIES INC COM PAR $ .01 15 15 New 13,906
SOLITARIO EXPL & RTY CORP COM 15 15 New 10,690
SMITH MICRO SOFTWARE INC COM 15 15 New 15,214
VENTRUS BIOSCIENCES INC COM 15 15 New 10,569
STR HLDGS INC COM 15 15 New 12,395
CODEXIS INC COM 16 16 New 10,764
OCEAN PWR TECHNOLOGIES INC COM NEW 16 16 New 10,154


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