GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,203
New Positions 95
Increased Positions 1,421
Decreased Positions 1,772
Positions with Activity 3,193
Sold Out Positions 286
Total Mkt Value (in $ millions) 39,553

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

Sector Weighting

Basic Materials 5.35%
Capital Goods 4.97%
Conglomerates 0.37%
Consumer Cyclical 4.22%
Consumer/Non-Cyclical 6%
Energy 6.6%
Financial 20.36%
Healthcare 9.55%
Services 16.94%
Technology 13.74%
Transportation 2.41%
Utilities 6.45%

286 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ARQULE INC COM -22 Sold Out 0
ASBURY AUTOMOTIVE GROUP INC COM -238 Sold Out 0
ASTERIAS BIOTHERAPEUTICS INC COM SER A -2 Sold Out 0
ATRICURE INC COM -261 Sold Out 0
ATRION CORP COM -251 Sold Out 0
AUTHENTIDATE HLDG CORP COM NEW -10 Sold Out 0
AVEO PHARMACEUTICALS INC COM -22 Sold Out 0
AVIAT NETWORKS INC COM -31 Sold Out 0
AXT INC COM -52 Sold Out 0
BARNES & NOBLE INC COM -156 Sold Out 0
BARRETT BUSINESS SERVICES INC COM -134 Sold Out 0
BEAZER HOMES USA INC COM NEW -350 Sold Out 0
BIODELIVERY SCIENCES INTL INC COM -206 Sold Out 0
BIOLASE INC COM -42 Sold Out 0
BIOTA PHARMACEUTIALS INC COM -31 Sold Out 0
BIOTELEMETRY INC COM -143 Sold Out 0
BIOTIME INC WT EXP 100118 -1 Sold Out 0
BLACK DIAMOND INC COM -96 Sold Out 0
BLACKROCK INTL GRWTH & INC TR COM BENE INTER -79 Sold Out 0
BLUELINX HLDGS INC COM -33 Sold Out 0


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