GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,211
New Positions 95
Increased Positions 1,426
Decreased Positions 1,775
Positions with Activity 3,201
Sold Out Positions 286
Total Mkt Value (in $ millions) 39,748

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

Sector Weighting

Basic Materials 5.34%
Capital Goods 5.02%
Conglomerates 0.37%
Consumer Cyclical 4.29%
Consumer/Non-Cyclical 5.88%
Energy 7.03%
Financial 20.69%
Healthcare 9.47%
Services 16.56%
Technology 13.89%
Transportation 2.36%
Utilities 6.18%

286 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
HERITAGE FINL CORP WASH COM -276 Sold Out 0
HERITAGE OAKS BANCORP COM -119 Sold Out 0
HOOPER HOLMES INC COM -13 Sold Out 0
HOUSTON AMERN ENERGY CORP COM -4 Sold Out 0
HUDSON GLOBAL INC COM -38 Sold Out 0
HUTCHINSON TECHNOLOGY INC COM -41 Sold Out 0
IGI LABS INC COM -115 Sold Out 0
IKANOS COMMUNICATIONS COM -8 Sold Out 0
IMMERSION CORP COM -114 Sold Out 0
IMMUNOCELLULAR THERAPEUTICS COM -16 Sold Out 0
IMPAX LABORATORIES INC COM -21,965 Sold Out 0
INFORMATION SERVICES GROUP INC COM -55 Sold Out 0
INNODATA INC COM NEW -37 Sold Out 0
INTEGRATED SILICON SOLUTION COM -241 Sold Out 0
INTELSAT S A COM -640 Sold Out 0
IPASS INC COM -45 Sold Out 0
ISHARES MSCI TAIWAN ETF -281 Sold Out 0
ISHARES TR SELECT DIVID ETF -1,850 Sold Out 0
ISHARES TR MSCI UTD KNGDM -268 Sold Out 0
ISHARES TR GLOB TELECOM ETF -94 Sold Out 0