GUGGENHEIM CAPITAL LLC Information

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

Report Date: 12/31/2013

Position Statistics

Total Positions 3,227
New Positions 291
Increased Positions 1,956
Decreased Positions 1,248
Positions with Activity 3,204
Sold Out Positions 142
Total Mkt Value (in $ millions) 32,907

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

Sector Weighting

Basic Materials 6.49%
Capital Goods 5.07%
Conglomerates 0.36%
Consumer Cyclical 3.66%
Consumer/Non-Cyclical 5.95%
Energy 8.42%
Financial 22.16%
Healthcare 7.88%
Services 16.99%
Technology 14.16%
Transportation 2.24%
Utilities 5.41%

142 Sold Out Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held ▲
AASTROM BIOSCIENCES INC COM PAR$ -6 Sold Out 0
ABAXIS INC COM -612 Sold Out 0
ABERDEEN ASIA PACIFIC INCOM FD COM -156 Sold Out 0
ALCATEL-LUCENT SPONSORED ADR -1,349 Sold Out 0
ALPINE GLOBAL DYNAMIC DIVD FD COM NEW -135 Sold Out 0
ALTISOURCE PORTFOLIO SOLNS SA REG SHS -202 Sold Out 0
ALUMINA LTD SPONSORED ADR -94 Sold Out 0
ALUMINUM CORP CHINA LTD SPON ADR H SHS -719 Sold Out 0
AMARIN CORP PLC SPONS ADR NEW -1,330 Sold Out 0
AMEDISYS INC COM -2,193 Sold Out 0
AMERIS BANCORP COM -234 Sold Out 0
AMR CORP DEL COM -1,176 Sold Out 0
ANALOGIC CORP COM PAR $0.05 -1,033 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS -12,769 Sold Out 0
APPROACH RESOURCES INC COM -167 Sold Out 0
ASHFORD HOSPITALITY PRIME INC COM -39 Sold Out 0
ASHFORD HOSPITALITY TR INC COM SHS -132 Sold Out 0
BANCORP INC DEL COM -2,701 Sold Out 0
BANK MUTUAL CORP NEW COM -774 Sold Out 0
BANK OF AMERICA CORPORATION 7.25%CNV PFD L -12,916 Sold Out 0