GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,217
New Positions 95
Increased Positions 1,429
Decreased Positions 1,778
Positions with Activity 3,207
Sold Out Positions 285
Total Mkt Value (in $ millions) 40,218

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

Sector Weighting

Basic Materials 5.44%
Capital Goods 5.21%
Conglomerates 0.37%
Consumer Cyclical 4.23%
Consumer/Non-Cyclical 5.79%
Energy 7.76%
Financial 20.58%
Healthcare 9.12%
Services 16.45%
Technology 13.88%
Transportation 2.37%
Utilities 6.04%

285 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
BNC BANCORP COM -232 Sold Out 0
BON-TON STORES INC COM -110 Sold Out 0
BRIGHTCOVE INC COM -1,262 Sold Out 0
BSD MED CORP DEL COM -5 Sold Out 0
CAESARS ENTMT CORP COM -223 Sold Out 0
CALLIDUS SOFTWARE INC COM -312 Sold Out 0
CARDICA INC COM -10 Sold Out 0
CASELLA WASTE SYS INC CL A -90 Sold Out 0
CASTLE BRANDS INC COM -41 Sold Out 0
CATALYST PHARM PARTNERS INC COM -48 Sold Out 0
CEL SCI CORP COM PAR $0.01 -15 Sold Out 0
CENTERSTATE BANKS INC COM -195 Sold Out 0
CERES INC COM -5 Sold Out 0
CESCA THERAPEUTICS INC COM -13 Sold Out 0
CLEVELAND BIOLABS INC COM -9 Sold Out 0
COCA COLA FEMSA S A B DE C V SPON ADR REP L -197 Sold Out 0
COHERENT INC COM -201 Sold Out 0
COMCAST CORP NEW CL A SPL -4,674 Sold Out 0
COMMUNITY HEALTH SYS INC NEW RT 012716 -87 Sold Out 0
COMMUNITYONE BANCORP COM -117 Sold Out 0


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