Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GUGGENHEIM STRATEGIC OPPORTUNITIES FUNDGOF · Entity 4471 | Chief Inv. Officer of Adviser | July 10, 2019 | July 10, 2019 |
| Guggenheim Active Allocation FundGUG · Entity 5458 | Chief Inv. Officer of Adviser | November 26, 2021 | November 26, 2021 |
| Guggenheim Credit Allocation FundGGM · Entity 144888 | Chief Inv. Officer of Adviser | March 12, 2019 | March 13, 2019 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Report date July 10, 2019 · Filed July 10, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-07-10 transaction · row 1
1 source rowRow 1 · 2019-07-10 · Sale · Disposed 2,000 · Balance 0 |
Guggenheim Active Allocation Fund
Report date November 26, 2021 · Filed November 26, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock - Initial FilingSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2021-11-26 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
Guggenheim Credit Allocation Fund
Report date March 12, 2019 · Filed March 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2019-03-12 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2019-03-12 · Sale · Disposed 1,779 · Balance 5,140 Row 2 · 2019-03-12 · Sale · Disposed 5,140 · Balance 0 |
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| July 10, 2019 Filed Jul 10, 2019 16:46 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 2,000 | $21.09 | $42,182.80 |
DisclosureSEC source: 0001179110-19-008564 · edgar.xml · nonDerivative · entry 1 Minerd B. Scott · CIK 0001406241 · Chief Inv. Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 12, 2019 Filed Mar 13, 2019 10:08 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | SaleCommon Stock | 5,140 | $21.66 | $111,313.90 |
DisclosureSEC source: 0001179110-19-003780 · edgar.xml · nonDerivative · entry 2 Minerd B. Scott · CIK 0001406241 · Chief Inv. Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| March 12, 2019 Filed Mar 13, 2019 10:08 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | SaleCommon Stock | 1,779 | $21.67 | $38,552.35 |
DisclosureSEC source: 0001179110-19-003780 · edgar.xml · nonDerivative · entry 1 Minerd B. Scott · CIK 0001406241 · Chief Inv. Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,140 Read SEC document |
| March 11, 2019 Filed Mar 11, 2019 16:46 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | SaleCommon Stock | 1,933 | $21.46 | $41,482.18 |
DisclosureSEC source: 0001179110-19-003692 · edgar.xml · nonDerivative · entry 2 Minerd B. Scott · CIK 0001406241 · Chief Inv. Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,919 Read SEC document |
| March 08, 2019 Filed Mar 11, 2019 16:46 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | SaleCommon Stock | 3,837 | $21.53 | $82,624.81 |
DisclosureSEC source: 0001179110-19-003692 · edgar.xml · nonDerivative · entry 1 Minerd B. Scott · CIK 0001406241 · Chief Inv. Officer of Adviser 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,852 Read SEC document |
| December 28, 2017 Filed Dec 29, 2017 11:31 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 32,143 | $21.65 | $695,895.95 |
DisclosureSEC source: 0001179110-17-015928 · edgar.xml · nonDerivative · entry 1 Minerd B. Scott · CIK 0001406241 · Chief Investment Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,000 F1 · shares: Mr. Minerd disposed of 32,143 shares through donation of those shares. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.