GUGGENHEIM CAPITAL LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 3,306
New Positions 131
Increased Positions 1,495
Decreased Positions 1,786
Positions with Activity 3,281
Sold Out Positions 181
Total Mkt Value (in $ millions) 38,022

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

Sector Weighting

Basic Materials 5.52%
Capital Goods 5.03%
Conglomerates 0.32%
Consumer Cyclical 4.22%
Consumer/Non-Cyclical 5.94%
Energy 7.71%
Financial 21.38%
Healthcare 8.97%
Services 16.13%
Technology 13.71%
Transportation 2.2%
Utilities 6.19%

181 Sold Out Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
MFS GOVT MKTS INCOME TR SH BEN INT -129 Sold Out 0
MICROSTRATEGY INC CL A NEW -282 Sold Out 0
MILLER HERMAN INC COM -1,682 Sold Out 0
MITEK SYS INC COM NEW -41 Sold Out 0
MONRO MUFFLER BRAKE INC COM -442 Sold Out 0
NAM TAI PPTY INC SHS -114 Sold Out 0
NATURAL GROCERS BY VITAMIN COT COM -39 Sold Out 0
NATURES SUNSHINE PRODUCTS INC COM -161 Sold Out 0
NCI BUILDING SYS INC COM NEW -805 Sold Out 0
NEOPHOTONICS CORP COM -38 Sold Out 0
NETLIST INC COM -10 Sold Out 0
NEWS CORP NEW CL B -170 Sold Out 0
NII HLDGS INC CL B NEW -2 Sold Out 0
NORTHWEST NAT GAS CO COM -408 Sold Out 0
NUVEEN MUN VALUE FD INC COM -147 Sold Out 0
NUVEEN SELECT TAX FREE INCM 3 SH BEN INT -42 Sold Out 0
NUVEEN SELECT TAX FREE INCM PT SH BEN INT -114 Sold Out 0
NUVEEN TAX ADVANTAGED DIV GRWT COM -367 Sold Out 0
OCEAN PWR TECHNOLOGIES INC COM NEW -11 Sold Out 0
OHA INVT CORP COM -72 Sold Out 0