GUGGENHEIM CAPITAL LLC Information

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

Report Date: 09/30/2014

Position Statistics

Total Positions 3,206
New Positions 95
Increased Positions 1,423
Decreased Positions 1,773
Positions with Activity 3,196
Sold Out Positions 286
Total Mkt Value (in $ millions) 40,105

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

Sector Weighting

Basic Materials 5.34%
Capital Goods 5.04%
Conglomerates 0.37%
Consumer Cyclical 4.31%
Consumer/Non-Cyclical 5.92%
Energy 6.87%
Financial 20.63%
Healthcare 9.23%
Services 16.67%
Technology 13.98%
Transportation 2.39%
Utilities 6.32%

3,206 Positions as of 09/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
SUSQUEHANNA BANCSHARES INC PA COM 7,606 115 1.53 563,822
PETROCHINA CO LTD SPONSORED ADR 7,603 1,660 27.92 66,894
CEPHEID COM 7,601 674 9.73 141,119
FLAHERTY & CRUMRINE TOTAL RETU COM 7,592 -1,405 (15.61) 371,806
RECEPTOS INC COM 7,505 3,292 78.15 59,654
FEI CO COM 7,486 -971 (11.48) 81,178
SPIRIT RLTY CAP INC NEW COM 7,456 -1,117 (13.03) 626,058
M D C HLDGS INC COM 7,454 360 5.07 286,379
SABRA HEALTH CARE REIT INC COM 7,397 4,088 123.50 242,133
CLECO CORP NEW COM 7,395 -6,019 (44.87) 134,511
ALLISON TRANSMISSION HLDGS INC COM 7,389 -10,362 (58.37) 216,684
DYNEGY INC NEW DEL COM 7,378 6,546 786.85 249,330
TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 7,377 720 10.81 330,672
CORRECTIONS CORP AMER NEW COM NEW 7,373 1,272 20.85 194,547
NEUSTAR INC CL A 7,370 -5,661 (43.44) 265,576
NOVO-NORDISK A S ADR 7,370 -331 (4.29) 168,756
LINCOLN ELEC HLDGS INC COM 7,340 -1,100 (13.03) 104,345
SPIRIT AIRLS INC COM 7,334 5,439 286.86 96,710
EXACT SCIENCES CORP COM 7,330 814 12.50 257,001
YINGLI GREEN ENERGY HLDG CO LT ADR 7,292 -5,241 (41.82) 3,255,251