GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,206
New Positions 95
Increased Positions 1,423
Decreased Positions 1,773
Positions with Activity 3,196
Sold Out Positions 286
Total Mkt Value (in $ millions) 39,950

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

Sector Weighting

Basic Materials 5.33%
Capital Goods 5.04%
Conglomerates 0.37%
Consumer Cyclical 4.3%
Consumer/Non-Cyclical 5.93%
Energy 6.89%
Financial 20.69%
Healthcare 9.17%
Services 16.67%
Technology 13.98%
Transportation 2.39%
Utilities 6.28%

286 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
GALECTIN THERAPEUTICS INC COM NEW -36 Sold Out 0
GENERAC HLDGS INC COM -254 Sold Out 0
GENERAL MOLY INC COM -12 Sold Out 0
GENERAL STEEL HOLDINGS INC COM -15 Sold Out 0
GENMARK DIAGNOSTICS INC COM -231 Sold Out 0
GENVEC INC COM NEW -21 Sold Out 0
GEVO INC COM -8 Sold Out 0
GLOBAL POWER EQUIPMENT GRP INC COM PAR $0.01 -696 Sold Out 0
GOLDEN MINERALS CO COM -8 Sold Out 0
GOLDFIELD CORP COM -30 Sold Out 0
GRAY TELEVISION INC COM -243 Sold Out 0
GSI TECHNOLOGY COM -52 Sold Out 0
HACKETT GROUP INC COM -134 Sold Out 0
HANSEN MEDICAL INC COM -14 Sold Out 0
HARRIS & HARRIS GROUP INC COM -48 Sold Out 0
HARSCO CORP COM -433 Sold Out 0
HARVARD BIOSCIENCE INC COM -64 Sold Out 0
HARVEST NATURAL RESOURCES INC COM -20 Sold Out 0
HAWAIIAN TELCOM HOLDCO INC COM -204 Sold Out 0
HERITAGE COMMERCE CORP COM -135 Sold Out 0


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