GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,210
New Positions 95
Increased Positions 1,425
Decreased Positions 1,775
Positions with Activity 3,200
Sold Out Positions 286
Total Mkt Value (in $ millions) 37,905

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

Sector Weighting

Basic Materials 5.29%
Capital Goods 5.04%
Conglomerates 0.37%
Consumer Cyclical 4.35%
Consumer/Non-Cyclical 5.95%
Energy 6.66%
Financial 20.83%
Healthcare 9.42%
Services 16.68%
Technology 13.84%
Transportation 2.39%
Utilities 6.22%

286 Sold Out Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held ▲
ACELRX PHARMACEUTICALS INC COM -76 Sold Out 0
ACTIVE POWER INC COM NEW -35 Sold Out 0
ADDUS HOMECARE CORP COM -198 Sold Out 0
ADVANCED EMISSIONS SOLUTS INC COM -222 Sold Out 0
AIRCASTLE LTD COM -5,111 Sold Out 0
ALASKA COMMUNICATIONS SYS GRP COM -31 Sold Out 0
ALLIANCE HEALTHCARE SRVCS INC COM PAR $0.01 -216 Sold Out 0
ALPHATEC HOLDINGS INC COM -37 Sold Out 0
AMERICAN SOFTWARE INC CL A -109 Sold Out 0
AMERIS BANCORP COM -240 Sold Out 0
AMICUS THERAPEUTICS INC COM -129 Sold Out 0
AMPIO PHARMACEUTICALS INC COM -77 Sold Out 0
ANI PHARMACEUTICALS INC COM -3,592 Sold Out 0
ANTARES PHARMA INC COM -25 Sold Out 0
ANWORTH MORTGAGE ASSET CP COM -4,627 Sold Out 0
API TECHNOLOGIES CORP COM NEW -27 Sold Out 0
APPLIED INDL TECHNOLOGIES INC COM -166 Sold Out 0
APRICUS BIOSCIENCES INC COM -17 Sold Out 0
ARAMARK COM -1,399 Sold Out 0
ARBOR RLTY TR INC COM -98 Sold Out 0


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