GUGGENHEIM CAPITAL LLC Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 3,316
New Positions 242
Increased Positions 1,921
Decreased Positions 1,383
Positions with Activity 3,304
Sold Out Positions 128
Total Mkt Value (in $ millions) 36,182

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

Sector Weighting

Basic Materials 6.05%
Capital Goods 5.21%
Conglomerates 0.3%
Consumer Cyclical 3.61%
Consumer/Non-Cyclical 5.37%
Energy 8.64%
Financial 21.73%
Healthcare 8.65%
Services 17.07%
Technology 14.22%
Transportation 2.19%
Utilities 5.5%

128 Sold Out Positions as of 03/31/2014

Company Class ▲ Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held
SONY CORP ADR NEW -329 Sold Out 0
ISHARES TR CHINA LG-CAP ETF -959 Sold Out 0
BERKSHIRE HATHAWAY INC DEL CL A -4,409 Sold Out 0
FIRST CTZNS BANCSHARES INC N C CL A -625 Sold Out 0
HOVNANIAN ENTERPRISES INC CL A -45 Sold Out 0
LEAPFROG ENTERPRISES INC CL A -689 Sold Out 0
OCH ZIFF CAP MGMT GROUP CL A -1,124 Sold Out 0
ACTUANT CORP CL A NEW -764 Sold Out 0
SAGA COMMUNICATIONS INC CL A NEW -85 Sold Out 0
GROUPE CGI INC CL A SUB VTG -1,450 Sold Out 0
ACCO BRANDS CORP COM -2,136 Sold Out 0
AMERCO COM -558 Sold Out 0
AMSURG CORP COM -222 Sold Out 0
ANACOR PHARMACEUTICALS INC COM -219 Sold Out 0
ANTARES PHARMA INC COM -23 Sold Out 0
APPLIED INDL TECHNOLOGIES INC COM -234 Sold Out 0
ARRAY BIOPHARMA INC COM -2,046 Sold Out 0
BANKRATE INC DEL COM -378 Sold Out 0
BIOSCRIP INC COM -1,670 Sold Out 0
BJS RESTAURANTS INC COM -1,580 Sold Out 0