GUGGENHEIM CAPITAL LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 3,227
New Positions 291
Increased Positions 1,956
Decreased Positions 1,248
Positions with Activity 3,204
Sold Out Positions 142
Total Mkt Value (in $ millions) 32,907

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

Sector Weighting

Basic Materials 6.49%
Capital Goods 5.07%
Conglomerates 0.36%
Consumer Cyclical 3.66%
Consumer/Non-Cyclical 5.95%
Energy 8.42%
Financial 22.16%
Healthcare 7.88%
Services 16.99%
Technology 14.16%
Transportation 2.24%
Utilities 5.41%

142 Sold Out Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
EL PASO ELEC CO COM NEW -1,672 Sold Out 0
ELAN PLC ADR -12,994 Sold Out 0
ENTROPIC COMMUNICATIONS INC COM -752 Sold Out 0
EURONET WORLDWIDE INC COM -9,912 Sold Out 0
EXLSERVICE HOLDINGS INC COM -707 Sold Out 0
FAIRWAY GROUP HLDGS CORP CL A -227 Sold Out 0
FIRST BANCORP P R COM NEW -945 Sold Out 0
FIRST COMWLTH FINL CORP PA COM -1,789 Sold Out 0
FIRST MARBLEHEAD CORP COM NEW -20 Sold Out 0
FORT DEARBORN INCOME SECS INC COM -293 Sold Out 0
FORTRESS INVESTMENT GROUP LLC CL A -574 Sold Out 0
FRESENIUS MED CARE AG&CO KGAA SPONSORED ADR -699 Sold Out 0
FTD COS INC COM -117 Sold Out 0
FTI CONSULTING INC COM -803 Sold Out 0
GAMCO NAT RES GOLD & INCOME TR SH BEN INT -1,009 Sold Out 0
GENERAL MOLY INC COM -17 Sold Out 0
GENTIVA HEALTH SERVICES INC COM -838 Sold Out 0
GLOBAL HIGH INCOME FUND INC COM -215 Sold Out 0
GOLDEN STAR RES LTD CDA COM -334 Sold Out 0
H & E EQUIPMENT SERVICES INC COM -299 Sold Out 0