GUGGENHEIM CAPITAL LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 3,308
New Positions 131
Increased Positions 1,497
Decreased Positions 1,786
Positions with Activity 3,283
Sold Out Positions 182
Total Mkt Value (in $ millions) 38,428

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

Sector Weighting

Basic Materials 5.72%
Capital Goods 5.13%
Conglomerates 0.3%
Consumer Cyclical 4.12%
Consumer/Non-Cyclical 5.8%
Energy 8.71%
Financial 21.36%
Healthcare 8.55%
Services 15.85%
Technology 13.83%
Transportation 2.12%
Utilities 5.86%

182 Sold Out Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held ▲
A H BELO CORP COM CL A -115 Sold Out 0
ACHILLION PHARMACEUTICALS INC COM -111 Sold Out 0
ACORN ENERGY INC COM -23 Sold Out 0
ADECOAGRO S A COM -181 Sold Out 0
ALBANY INTL CORP CL A -228 Sold Out 0
ALIMERA SCIENCES INC COM -56 Sold Out 0
ALON USA ENERGY INC COM -2,424 Sold Out 0
AMBAC FINL GROUP INC COM NEW -165 Sold Out 0
AMERICAN NATL BANKSHARES INC COM -123 Sold Out 0
AMERICAN SUPERCONDUCTOR CORP COM -20 Sold Out 0
AMTRUST FINL SVCS INC COM -659 Sold Out 0
ANADIGICS INC COM -8 Sold Out 0
ANGIES LIST INC COM -143 Sold Out 0
ASSEMBLY BIOSCIENCES INC COM -17 Sold Out 0
AVANIR PHARMACEUTICALS INC CL A NEW -150 Sold Out 0
BANK AMER CORP 7.25%CNV PFD L -7,792 Sold Out 0
BAXANO SURGICAL INC COM -3 Sold Out 0
BGC PARTNERS INC CL A -164 Sold Out 0
BLACKROCK MUN 2020 TERM TR COM SHS -222 Sold Out 0
BLOUNT INTL INC NEW COM -183 Sold Out 0