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%

3,227 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
CURIS INC COM 25 25 New 11,018
MERGE HEALTHCARE INC COM 25 25 New 10,091
GERON CORP COM 24 -9 (27.28) 12,470
NAVIDEA BIOPHARMACEUTICALS INC COM 24 24 New 14,528
NOVATEL WIRELESS INC COM NEW 24 1 6.32 12,349
GOLDFIELD CORP COM 23 1 6.32 11,328
ENZON PHARMACEUTICALS INC COM 23 3 14.46 23,955
ENTEROMEDICS INC COM NEW 23 1 6.32 13,849
IMMUNOCELLULAR THERAPEUTICS COM 23 1 6.28 19,352
GTX INC DEL COM 23 9 69.60 17,269
LIMELIGHT NETWORKS INC COM 22 22 New 10,228
STEMCELLS INC COM NEW 22 1 6.32 17,700
HEMISPHERX BIOPHARMA INC COM 22 1 6.31 68,441
GENERAL STEEL HOLDINGS INC COM 22 1 6.32 18,865
CENTRAIS ELETRICAS BRASILEIRAS SPON ADR PFD B 21 -567 (96.38) 4,018
MAST THERAPEUTICS INC COM 21 1 6.32 37,890
FIRST SEC GROUP INC COM NEW 21 21 New 10,224
VICAL INC COM 21 21 New 17,241
CASTLE BRANDS INC COM 20 1 6.31 18,020
LOCAL CORP COM 20 1 6.31 10,761