GUGGENHEIM CAPITAL LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 3,306
New Positions 131
Increased Positions 1,495
Decreased Positions 1,786
Positions with Activity 3,281
Sold Out Positions 181
Total Mkt Value (in $ millions) 37,414

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

Sector Weighting

Basic Materials 5.57%
Capital Goods 5.09%
Conglomerates 0.31%
Consumer Cyclical 4.19%
Consumer/Non-Cyclical 5.95%
Energy 7.94%
Financial 21.38%
Healthcare 8.86%
Services 16.13%
Technology 13.55%
Transportation 2.17%
Utilities 6.2%

181 Sold Out Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
A H BELO CORP COM CL A -122 Sold Out 0
ACHILLION PHARMACEUTICALS INC COM -112 Sold Out 0
ACORN ENERGY INC COM -20 Sold Out 0
ADECOAGRO S A COM -168 Sold Out 0
ALBANY INTL CORP CL A -220 Sold Out 0
ALIMERA SCIENCES INC COM -61 Sold Out 0
ALON USA ENERGY INC COM -2,437 Sold Out 0
AMBAC FINL GROUP INC COM NEW -164 Sold Out 0
AMERICAN NATL BANKSHARES INC COM -124 Sold Out 0
AMERICAN SUPERCONDUCTOR CORP COM -16 Sold Out 0
AMTRUST FINL SVCS INC COM -849 Sold Out 0
ANADIGICS INC COM -7 Sold Out 0
ANGIES LIST INC COM -145 Sold Out 0
ASSEMBLY BIOSCIENCES INC COM -18 Sold Out 0
AVANIR PHARMACEUTICALS INC CL A NEW -159 Sold Out 0
BANK AMER CORP 7.25%CNV PFD L -7,612 Sold Out 0
BAXANO SURGICAL INC COM -1 Sold Out 0
BGC PARTNERS INC CL A -170 Sold Out 0
BLACKROCK MUN 2020 TERM TR COM SHS -225 Sold Out 0
BLOUNT INTL INC NEW COM -173 Sold Out 0