GUGGENHEIM CAPITAL LLC Information

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

Report Date: 06/30/2014

Position Statistics

Total Positions 3,308
New Positions 131
Increased Positions 1,497
Decreased Positions 1,786
Positions with Activity 3,283
Sold Out Positions 181
Total Mkt Value (in $ millions) 36,217

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

Sector Weighting

Basic Materials 5.6%
Capital Goods 5.08%
Conglomerates 0.31%
Consumer Cyclical 4.16%
Consumer/Non-Cyclical 5.99%
Energy 7.89%
Financial 21.62%
Healthcare 8.69%
Services 16.16%
Technology 13.48%
Transportation 2.13%
Utilities 6.23%

3,308 Positions as of 06/30/2014

Company Class Value of Shares ($1,000s) ▼ Change in Value ($1,000s) Change (%) Shares Held
ACTIVISION BLIZZARD INC COM 6,563 -19,771 (75.08) 348,177
VEOLIA ENVIRONNEMENT SPONSORED ADR 6,557 739 12.70 402,047
HANCOCK JOHN INVS TR COM 6,548 1,981 43.37 352,587
VMWARE INC CL A COM 6,540 364 5.90 73,195
SPDR SER TR SHT TRM HGH YLD 6,517 60 .92 219,564
HERCULES TECH GROWTH CAP INC COM 6,501 5,193 396.94 448,359
ULTA SALON COSMETCS & FRAG INC COM 6,498 3,544 119.96 55,747
SK TELECOM LTD SPONSORED ADR 6,478 1,110 20.69 237,638
ADVENT SOFTWARE INC COM 6,470 -634 (8.93) 206,433
BLACKSTONE GSO LNG SHRT CR INC COM SHS BN INT 6,465 -3,160 (32.83) 393,218
CHINA PETE & CHEM CORP SPON ADR H SHS 6,437 -4,747 (42.45) 75,409
VOYA PRIME RATE TR SH BEN INT 6,424 615 10.58 1,205,339
BRF SA SPONSORED ADR 6,375 261 4.27 258,831
SOTHEBYS COM 6,360 1,121 21.41 174,244
WESTERN ASSET GLOBAL CP DEFINE COM 6,358 -78 (1.21) 355,197
PETROCHINA CO LTD SPONSORED ADR 6,336 -6,916 (52.19) 52,292
PEMBINA PIPELINE CORP COM 6,303 -921 (12.75) 156,741
NUVEEN NY AMT FREE MUN INCOME COM 6,278 -1,978 (23.96) 487,816
NUVEEN CAL AMT-FREE MUN INC FD COM 6,271 113 1.83 446,941
WILLIAMS SONOMA INC COM 6,235 480 8.34 98,605