GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,200
New Positions 95
Increased Positions 1,418
Decreased Positions 1,772
Positions with Activity 3,190
Sold Out Positions 286
Total Mkt Value (in $ millions) 38,689

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

Sector Weighting

Basic Materials 5.45%
Capital Goods 4.99%
Conglomerates 0.37%
Consumer Cyclical 4.28%
Consumer/Non-Cyclical 5.97%
Energy 6.74%
Financial 20.38%
Healthcare 9.57%
Services 16.77%
Technology 13.57%
Transportation 2.39%
Utilities 6.46%

3,200 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CASELLA WASTE SYS INC CL A -82 Sold Out 0
CASTLE BRANDS INC COM -40 Sold Out 0
CATALYST PHARM PARTNERS INC COM -65 Sold Out 0
CEL SCI CORP COM PAR $0.01 -18 Sold Out 0
CENTERSTATE BANKS INC COM -187 Sold Out 0
CERES INC COM -3 Sold Out 0
CESCA THERAPEUTICS INC COM -11 Sold Out 0
CLEVELAND BIOLABS INC COM NEW -5 Sold Out 0
COCA COLA FEMSA S A B DE C V SPON ADR REP L -158 Sold Out 0
COHERENT INC COM -218 Sold Out 0
COMCAST CORP NEW CL A SPL -4,364 Sold Out 0
COMMUNITY HEALTH SYS INC NEW RT 012716 -78 Sold Out 0
COMMUNITYONE BANCORP COM -110 Sold Out 0
CONNS INC COM -694 Sold Out 0
CONSUMER PORTFOLIO SVCS INC COM -64 Sold Out 0
CORENERGY INFRASTRUCTURE TR IN COM -80 Sold Out 0
CORINTHIAN COLLEGES INC COM -2 Sold Out 0
CORONADO BIOSCIENCES INC COM -41 Sold Out 0
COSAN LTD SHS A -113 Sold Out 0
CREDIT ACCEP CORP MICH COM -701 Sold Out 0