GUGGENHEIM CAPITAL LLC Information

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

Report Date: 03/31/2015

Position Statistics

Total Positions 3,093
New Positions 145
Increased Positions 1,767
Decreased Positions 1,321
Positions with Activity 3,088
Sold Out Positions 92
Total Mkt Value (in $ millions) 40,384

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

Sector Weighting

Basic Materials 4%
Capital Goods 4.68%
Conglomerates 0.32%
Consumer Cyclical 3.73%
Consumer/Non-Cyclical 6.39%
Energy 5.36%
Financial 19.08%
Healthcare 11.56%
Services 18.07%
Technology 15.15%
Transportation 2.03%
Utilities 5.47%

3,093 Positions as of 03/31/2015

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CARDICA INC COM 7 1 14.27 15,462
ODYSSEY MARINE EXPLORATION INC COM 7 1 14.27 17,731
VANTAGE DRILLING COMPANY ORD SHS 6 4 340.48 47,673
DISCOVERY LABORATORIES INC NEW COM NEW 6 .45 11,525
NOVACOPPER INC COM 5 -1 (16.08) 12,417
STEMCELLS INC COM NEW 5 .45 11,164
AMERICAN APPAREL INC COM 4 .45 18,467
ENTEROMEDICS INC COM NEW 3 .45 10,538
WALTER ENERGY INC COM 3 5.54 35,009
CENTRAIS ELETRICAS BRASILEIRAS SPON ADR PFD B 2 (6.87) 962
MILLER ENERGY RES INC COM 2 2 New 10,712
WAVE SYSTEMS CORP CL A PAR $0.01 2 2 New 10,650
EMERALD OIL INC COM PAR 0.001 2 1 73.60 993
ALPHA NAT RES INC COM 2 5.66 45,384
ISHARES TR CORE S&P500 ETF -23,780 Sold Out 2
MIDWAY GOLD CORP COM 48.23 22,611
ADAM NAT RES FD INC COM -1,241 Sold Out 0
ADAMS DIVERSIFIED EQUITY FD COM -716 Sold Out 0
ALLIANCE HOLDINGS GP LP COM UNITS LP -1,456 Sold Out 0
ALLIED NEVADA GOLD CORP COM -35 Sold Out 0