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
HAEMONETICS CORP COM -259 Sold Out 0
HANGER INC COM NEW -826 Sold Out 0
HARTE-HANKS INC COM -186 Sold Out 0
HARVARD APPARATUS REGENER TECH COM -32 Sold Out 0
HD SUPPLY HLDGS INC COM -815 Sold Out 0
HONDA MOTOR LTD AMERN SHS -1,622 Sold Out 0
HONG KONG TELEVISION NETWK LTD SPONSORED ADR -957 Sold Out 0
IDENIX PHARMACEUTICALS INC COM -55 Sold Out 0
IKANOS COMMUNICATIONS COM -9 Sold Out 0
INSYS THERAPEUTICS INC NEW COM NEW -2,476 Sold Out 0
INTELIQUENT INC COM -21,191 Sold Out 0
INVESTORS BANCORP INC COM -294 Sold Out 0
ISHARES MSCI ACWI ETF -140 Sold Out 0
ISHARES MSCI AUST ETF -69 Sold Out 0
ISHARES MSCI TURKEY ETF -221 Sold Out 0
ISHARES RUS MDCP VAL ETF -116 Sold Out 0
ISHARES MSCI STH KOR ETF -140 Sold Out 0
ISHARES RUS MID-CAP ETF -466 Sold Out 0
ISHARES RUS 1000 ETF -406 Sold Out 0
ITT EDUCATIONAL SERVICES INC COM -1,264 Sold Out 0