GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,203
New Positions 95
Increased Positions 1,421
Decreased Positions 1,772
Positions with Activity 3,193
Sold Out Positions 286
Total Mkt Value (in $ millions) 39,553

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

Sector Weighting

Basic Materials 5.35%
Capital Goods 4.97%
Conglomerates 0.37%
Consumer Cyclical 4.22%
Consumer/Non-Cyclical 6%
Energy 6.6%
Financial 20.36%
Healthcare 9.55%
Services 16.94%
Technology 13.74%
Transportation 2.41%
Utilities 6.45%

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 -256 Sold Out 0
HERITAGE OAKS BANCORP COM -124 Sold Out 0
HOOPER HOLMES INC COM -12 Sold Out 0
HOUSTON AMERN ENERGY CORP COM -5 Sold Out 0
HUDSON GLOBAL INC COM -33 Sold Out 0
HUTCHINSON TECHNOLOGY INC COM -39 Sold Out 0
IGI LABS INC COM -105 Sold Out 0
IKANOS COMMUNICATIONS COM -10 Sold Out 0
IMMERSION CORP COM -118 Sold Out 0
IMMUNOCELLULAR THERAPEUTICS COM -15 Sold Out 0
IMPAX LABORATORIES INC COM -26,818 Sold Out 0
INFORMATION SERVICES GROUP INC COM -56 Sold Out 0
INNODATA INC COM NEW -35 Sold Out 0
INTEGRATED SILICON SOLUTION COM -234 Sold Out 0
INTELSAT S A COM -620 Sold Out 0
IPASS INC COM -41 Sold Out 0
ISHARES MSCI TAIWAN ETF -298 Sold Out 0
ISHARES TR SELECT DIVID ETF -1,865 Sold Out 0
ISHARES TR RUS 2000 VAL ETF -1,556 Sold Out 0
ISHARES TR MSCI UTD KNGDM -266 Sold Out 0