GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,202
New Positions 95
Increased Positions 1,420
Decreased Positions 1,772
Positions with Activity 3,192
Sold Out Positions 286
Total Mkt Value (in $ millions) 38,898

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

Sector Weighting

Basic Materials 5.38%
Capital Goods 4.95%
Conglomerates 0.37%
Consumer Cyclical 4.25%
Consumer/Non-Cyclical 6.01%
Energy 6.58%
Financial 20.31%
Healthcare 9.56%
Services 17.02%
Technology 13.62%
Transportation 2.41%
Utilities 6.48%

286 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
MATTSON TECHNOLOGY INC COM -102 Sold Out 0
MEETME INC COM -29 Sold Out 0
MELA SCIENCES INC COM NEW -4 Sold Out 0
MELCO CROWN ENTMT LTD ADR -335 Sold Out 0
MERCANTILE BANK CORP COM -181 Sold Out 0
MERIT MED SYS INC COM -2,291 Sold Out 0
METABOLIX INC COM -6 Sold Out 0
METALICO INC COM -9 Sold Out 0
MICROVISION INC DEL COM NEW -29 Sold Out 0
MINES MGMT INC COM -9 Sold Out 0
MONTGOMERY STR INCOME SECS INC COM -410 Sold Out 0
MONTPELIER RE HOLDINGS LTD SHS -2,222 Sold Out 0
MOSYS INC COM -38 Sold Out 0
MULTI FINELINE ELECTRONIX INC COM -616 Sold Out 0
NANOSPHERE INC COM -8 Sold Out 0
NATURAL GAS SERVICES GROUP COM -134 Sold Out 0
NEOGENOMICS INC COM NEW -64 Sold Out 0
NEOSTEM INC COM PAR $.001 -50 Sold Out 0
NEW YORK MTG TR INC COM PAR $.02 -6,053 Sold Out 0
NEWBRIDGE BANCORP CL A NO PAR -110 Sold Out 0


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