GUGGENHEIM CAPITAL LLC Information

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

Report Date: 03/31/2014

Position Statistics

Total Positions 3,316
New Positions 242
Increased Positions 1,920
Decreased Positions 1,384
Positions with Activity 3,304
Sold Out Positions 128
Total Mkt Value (in $ millions) 36,507

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

Sector Weighting

Basic Materials 6.05%
Capital Goods 5.28%
Conglomerates 0.3%
Consumer Cyclical 3.63%
Consumer/Non-Cyclical 5.46%
Energy 8.75%
Financial 21.78%
Healthcare 8.48%
Services 16.89%
Technology 14.14%
Transportation 2.21%
Utilities 5.57%

3,316 Positions as of 03/31/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
WIDEPOINT CORP COM 48 29 152.93 29,137
SEQUENOM INC COM NEW 48 -162 (77.1) 13,056
API TECHNOLOGIES CORP COM NEW 47 7 18.65 21,623
MITEK SYS INC COM NEW 47 7 18.56 14,703
IPASS INC COM 46 10 29.42 33,124
CATALYST PHARM PARTNERS INC COM 46 10 29.41 19,518
U S GLOBAL INVS INC CL A 45 10 29.43 13,245
ARQULE INC COM 45 31 207.42 32,214
AMERICAN APPAREL INC COM 45 7 18.29 42,038
URANERZ ENERGY CORP COM 45 10 29.43 36,990
THESTREET INC COM 45 10 29.40 18,709
QUICKSILVER RESOURCES INC COM 45 -1 (2.5) 21,221
BLUELINX HLDGS INC COM 44 9 24.64 36,376
BIOTA PHARMACEUTIALS INC COM 44 44 New 14,231
EMCORE CORP COM NEW 43 43 New 10,934
JOES JEANS INC COM 43 10 29.40 38,322
AXT INC COM 43 10 29.38 20,357
INNODATA INC COM NEW 43 10 29.41 14,003
NUVEEN SELECT TAX FREE INCM 3 SH BEN INT 42 42 New 3,047
EMMIS COMMUNICATIONS CORP CL A 41 9 29.43 15,753