GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,217
New Positions 95
Increased Positions 1,429
Decreased Positions 1,778
Positions with Activity 3,207
Sold Out Positions 285
Total Mkt Value (in $ millions) 40,177

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

Sector Weighting

Basic Materials 5.46%
Capital Goods 5.24%
Conglomerates 0.38%
Consumer Cyclical 4.24%
Consumer/Non-Cyclical 5.77%
Energy 7.92%
Financial 20.58%
Healthcare 9.07%
Services 16.41%
Technology 13.83%
Transportation 2.37%
Utilities 6%

285 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 -86 Sold Out 0
ACTIVE POWER INC COM NEW -41 Sold Out 0
ADDUS HOMECARE CORP COM -203 Sold Out 0
ADVANCED EMISSIONS SOLUTS INC COM -249 Sold Out 0
AIRCASTLE LTD COM -5,378 Sold Out 0
ALASKA COMMUNICATIONS SYS GRP COM -23 Sold Out 0
ALLIANCE HEALTHCARE SRVCS INC COM PAR $0.01 -259 Sold Out 0
ALPHATEC HOLDINGS INC COM -39 Sold Out 0
AMERICAN SOFTWARE INC CL A -116 Sold Out 0
AMERIS BANCORP COM -241 Sold Out 0
AMICUS THERAPEUTICS INC COM -133 Sold Out 0
AMPIO PHARMACEUTICALS INC COM -80 Sold Out 0
ANI PHARMACEUTICALS INC COM -3,599 Sold Out 0
ANTARES PHARMA INC COM -24 Sold Out 0
ANWORTH MORTGAGE ASSET CP COM -4,769 Sold Out 0
API TECHNOLOGIES CORP COM NEW -28 Sold Out 0
APPLIED INDL TECHNOLOGIES INC COM -184 Sold Out 0
APRICUS BIOSCIENCES INC COM -20 Sold Out 0
ARAMARK COM -1,410 Sold Out 0
ARBOR RLTY TR INC COM -99 Sold Out 0


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