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 1,955
Decreased Positions 1,249
Positions with Activity 3,204
Sold Out Positions 142
Total Mkt Value (in $ millions) 32,141

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

Sector Weighting

Basic Materials 6.53%
Capital Goods 5.04%
Conglomerates 0.36%
Consumer Cyclical 3.63%
Consumer/Non-Cyclical 5.95%
Energy 8.22%
Financial 22.39%
Healthcare 7.87%
Services 17.06%
Technology 14.09%
Transportation 2.22%
Utilities 5.44%

3,227 Positions as of 12/31/2013

Company Class Value of Shares ($1,000s) Change in Value ($1,000s) Change (%) Shares Held ▲
AASTROM BIOSCIENCES INC COM PAR$ -6 Sold Out 0
ABAXIS INC COM -629 Sold Out 0
ABERDEEN ASIA PACIFIC INCOM FD COM -156 Sold Out 0
ALCATEL-LUCENT SPONSORED ADR -1,321 Sold Out 0
ALPINE GLOBAL DYNAMIC DIVD FD COM NEW -133 Sold Out 0
ALTISOURCE PORTFOLIO SOLNS SA REG SHS -207 Sold Out 0
ALUMINA LTD SPONSORED ADR -89 Sold Out 0
ALUMINUM CORP CHINA LTD SPON ADR H SHS -754 Sold Out 0
AMARIN CORP PLC SPONS ADR NEW -1,423 Sold Out 0
AMEDISYS INC COM -2,212 Sold Out 0
AMERIS BANCORP COM -236 Sold Out 0
AMR CORP DEL COM -1,176 Sold Out 0
ANALOGIC CORP COM PAR $0.05 -1,025 Sold Out 0
APOLLO GLOBAL MGMT LLC CL A SHS -12,399 Sold Out 0
APPROACH RESOURCES INC COM -173 Sold Out 0
ASHFORD HOSPITALITY PRIME INC COM -38 Sold Out 0
ASHFORD HOSPITALITY TR INC COM SHS -128 Sold Out 0
BANCORP INC DEL COM -2,615 Sold Out 0
BANK MUTUAL CORP NEW COM -752 Sold Out 0
BANK OF AMERICA CORPORATION 7.25%CNV PFD L -12,930 Sold Out 0


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