Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| ADVENT CONVERTIBLE & INCOME FUNDAVK · Entity 8886 | Director · TRUSTEE | October 17, 2024 | October 21, 2024 |
| FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUNDFMO · Entity 145571 | Director · Trustee | March 26, 2018 | March 27, 2018 |
| GUGGENHEIM STRATEGIC OPPORTUNITIES FUNDGOF · Entity 4471 | Director · TRUSTEE | March 12, 2026 | March 19, 2026 |
| Guggenheim Active Allocation FundGUG · Entity 5458 | Director · TRUSTEE | March 06, 2026 | March 09, 2026 |
| Guggenheim Credit Allocation FundGGM · Entity 144888 | Director · Trustee | May 09, 2019 | May 13, 2019 |
| Guggenheim Enhanced Equity Income FundGPM · Entity 143309 | Director · Trustee | January 30, 2018 | January 30, 2018 |
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.
ADVENT CONVERTIBLE & INCOME FUND
Report date October 17, 2024 · Filed October 21, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,140 |
Reported balance
After 2024-10-17 transaction · row 1
1 source rowRow 1 · 2024-10-17 · Purchase · Acquired 3,785 · Balance 15,140 F1: The Price and Shares listed are pursuant to the exercise of a rights offering. |
Filing footnotes · ownership attribution and instrument terms
F1: The Price and Shares listed are pursuant to the exercise of a rights offering.
FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND
Report date March 26, 2018 · Filed March 27, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 40,513.191 |
Reported balance
After 2018-03-26 transaction · row 1
1 source rowRow 1 · 2018-03-26 · Purchase · Acquired 5,000 · Balance 40,513.191 |
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Report date March 12, 2026 · Filed March 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,451 |
Reported balance
After 2026-03-12 transaction · row 1
1 source rowRow 1 · 2026-03-12 · Purchase · Acquired 220 · Balance 6,451 |
Guggenheim Active Allocation Fund
Report date March 06, 2026 · Filed March 09, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 62,322 |
Reported balance
After 2026-03-06 transaction · row 1
1 source rowRow 1 · 2026-03-06 · Sale · Disposed 3,000 · Balance 62,322 |
Guggenheim Credit Allocation Fund
Report date May 09, 2019 · Filed May 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectLaverne Barnes Roth IRA (Mother) | 12,529.869 |
Reported balance
After 2019-05-09 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2019-05-09 · Purchase · Acquired 2,400 · Balance 12,529.869 |
| Common StockSEC Table I · non-derivative | IndirectRandall C. Barnes Children's Trust (Jeffrey Erin & Brian) | 6,730.115 |
Reported balance
Holding disclosure · report date 2019-05-09 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 6,730.115 |
| Common StockSEC Table I · non-derivative | Direct | 17,056.064 |
Reported balance
Holding disclosure · report date 2019-05-09 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 17,056.064 |
Guggenheim Enhanced Equity Income Fund
Report date January 30, 2018 · Filed January 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectMother's Roth IRA (Laverne Barnes) | 0 |
Reported balance
After 2018-01-30 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-01-30 · Sale · Disposed 4,275 · 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 |
|---|---|---|---|---|---|---|
| March 12, 2026 Filed Mar 13, 2026 16:02 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 220 | $11.39 | $2,505.80 |
DisclosureSEC source: 0001298064-26-000006 · form4-03132026_080357.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,451 Read SEC document |
| March 12, 2026 Filed Mar 19, 2026 14:17 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 220 | $11.39 | $2,505.80 |
DisclosureSEC source: 0001298064-26-000008 · form4-03192026_060353.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,451 Read SEC document |
| March 06, 2026 Filed Mar 9, 2026 14:36 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | SaleCommon Stock | 3,000 | $15.85 | $47,550.00 |
DisclosureSEC source: 0001298064-26-000002 · form4-03092026_020300.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 62,322 Read SEC document |
| March 06, 2026 Filed Mar 9, 2026 10:42 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 4,180 | $11.59 | $48,446.20 |
DisclosureSEC source: 0001298064-26-000004 · form4-03092026_020335.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 6,231 Read SEC document |
| November 04, 2025 Filed Nov 4, 2025 12:10 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 380 | $13.08 | $4,970.40 |
DisclosureSEC source: 0001298064-25-000006 · form4-11042025_051111.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,960 Read SEC document |
| October 30, 2025 Filed Oct 30, 2025 13:39 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 1,580 | $13.02 | $20,571.60 |
DisclosureSEC source: 0001298064-25-000004 · form4-10302025_051039.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 1,580 Read SEC document |
| October 17, 2024 Filed Oct 21, 2024 11:17 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 3,785 | $11.28 | $42,694.80 |
DisclosureSEC source: 0001415889-24-025445 · form4-10212024_031004.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,140 F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering. Read SEC document |
| October 03, 2024 Filed Oct 4, 2024 15:48 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | SaleCommon Stock | 500 | $16.45 | $8,225.00 |
DisclosureSEC source: 0001415889-24-024716 · form4-10042024_031014.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,322 Read SEC document |
| July 02, 2024 Filed Jul 3, 2024 11:47 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 5,849 | $15.02 | $87,851.98 |
DisclosureSEC source: 0001415889-24-019108 · form4-07032024_030729.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Read SEC document |
| February 01, 2024 Filed Feb 1, 2024 16:29 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 10,000 | $13.95 | $139,500.00 |
DisclosureSEC source: 0001415889-24-002177 · form4-02012024_090249.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,849.152 Read SEC document |
| January 30, 2024 Filed Jan 30, 2024 17:09 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 385 | $14.50 | $5,582.50 |
DisclosureSEC source: 0001415889-24-001957 · form4-01302024_050124.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,822 Read SEC document |
| January 05, 2024 Filed Jan 5, 2024 16:20 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 20,000 | $13.60 | $272,000.00 |
DisclosureSEC source: 0001415889-24-000774 · form4-01052024_090115.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 15,849 Read SEC document |
| December 13, 2023 Filed Dec 13, 2023 17:21 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 5,880 | $13.92 | $81,849.60 |
DisclosureSEC source: 0001415889-23-016351 · form4-12132023_051220.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 65,437 Read SEC document |
| December 13, 2023 Filed Dec 13, 2023 12:15 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 6,000 | $13.67 | $82,020.00 |
DisclosureSEC source: 0001415889-23-016349 · form4-12132023_051238.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,849 Read SEC document |
| December 08, 2023 Filed Dec 11, 2023 19:31 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 2,000 | $14.07 | $28,140.00 |
DisclosureSEC source: 0001415889-23-016164 · form4-12112023_071219.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 59,557 Read SEC document |
| December 08, 2023 Filed Dec 11, 2023 14:23 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 2,000 | $13.86 | $27,720.00 |
DisclosureSEC source: 0001415889-23-016153 · form4-12112023_071255.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 41,849 Read SEC document |
| December 07, 2023 Filed Dec 8, 2023 19:41 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 7,725 | $14.12 | $109,077.00 |
DisclosureSEC source: 0001415889-23-016011 · form4-12082023_071201.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 57,557 Read SEC document |
| December 07, 2023 Filed Dec 8, 2023 14:35 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 8,000 | $13.71 | $109,680.00 |
DisclosureSEC source: 0001415889-23-016009 · form4-12082023_071220.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 43,849 Read SEC document |
| December 06, 2023 Filed Dec 7, 2023 20:01 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 14,705 | $14.01 | $206,017.05 |
DisclosureSEC source: 0001415889-23-015970 · form4-12072023_081225.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 49,832 Read SEC document |
| December 06, 2023 Filed Dec 7, 2023 14:55 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 16,000 | $13.66 | $218,560.00 |
DisclosureSEC source: 0001415889-23-015967 · form4-12072023_071235.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 51,849 Read SEC document |
| December 05, 2023 Filed Dec 6, 2023 14:54 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 6,000 | $13.92 | $83,520.00 |
DisclosureSEC source: 0001415889-23-015915 · form4-12062023_021213.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 35,127 Read SEC document |
| December 05, 2023 Filed Dec 6, 2023 09:47 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 20,000 | $13.47 | $269,400.00 |
DisclosureSEC source: 0001415889-23-015913 · form4-12062023_021228.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 67,849 Read SEC document |
| December 04, 2023 Filed Dec 4, 2023 17:23 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 3,000 | $13.36 | $40,080.00 |
DisclosureSEC source: 0001415889-23-015772 · form4-12042023_101243.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 87,849 Read SEC document |
| December 01, 2023 Filed Dec 4, 2023 09:54 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 6,211 | $13.36 | $82,978.96 |
DisclosureSEC source: 0001415889-23-015716 · form4-12042023_021210.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 90,849 Read SEC document |
| November 30, 2023 Filed Nov 30, 2023 18:25 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,000 | $13.85 | $13,850.00 |
DisclosureSEC source: 0001415889-23-015615 · form4-11302023_061150.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 29,127 Read SEC document |
| November 30, 2023 Filed Nov 30, 2023 11:40 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 10,000 | $13.30 | $133,000.00 |
DisclosureSEC source: 0001415889-23-015612 · form4-11302023_041149.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 97,060 Read SEC document |
| November 29, 2023 Filed Nov 30, 2023 10:31 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 1,000 | $13.25 | $13,250.00 |
DisclosureSEC source: 0001415889-23-015608 · form4-11302023_031136.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 107,060 Read SEC document |
| November 28, 2023 Filed Nov 28, 2023 17:21 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 1,000 | $13.30 | $13,300.00 |
DisclosureSEC source: 0001415889-23-015557 · form4-11282023_101158.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 108,060 Read SEC document |
| November 03, 2023 Filed Nov 6, 2023 10:58 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 9,925.795 | $13.46 | $133,601.20 |
DisclosureSEC source: 0001415889-23-014797 · form4-11062023_031107.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Indirect · Randall C Barnes Childrens' Trust Disclosed balance after: 0 Read SEC document |
| October 31, 2023 Filed Nov 1, 2023 14:12 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,000 | $12.99 | $12,990.00 |
DisclosureSEC source: 0001415889-23-014641 · form4-11012023_021102.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 28,127 Read SEC document |
| September 29, 2023 Filed Sep 29, 2023 14:59 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,784 | $13.58 | $24,226.72 |
DisclosureSEC source: 0001415889-23-013643 · form4-09292023_020905.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 27,127 Read SEC document |
| September 05, 2023 Filed Sep 5, 2023 21:01 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,390 | $13.98 | $19,432.20 |
DisclosureSEC source: 0001415889-23-012912 · form4-09052023_090955.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 25,343 Read SEC document |
| September 01, 2023 Filed Sep 1, 2023 20:38 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 333 | $14.10 | $4,695.30 |
DisclosureSEC source: 0001415889-23-012866 · form4-09012023_080924.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,953 Read SEC document |
| August 01, 2023 Filed Aug 1, 2023 21:54 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,729 | $14.16 | $24,482.64 |
DisclosureSEC source: 0001415889-23-011676 · form4-08012023_090818.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 23,620 Read SEC document |
| July 01, 2023 Filed Jul 3, 2023 14:19 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,645 | $14.36 | $23,622.20 |
DisclosureSEC source: 0001415889-23-010531 · form4-07032023_020742.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 21,891 Read SEC document |
| June 07, 2023 Filed Jun 7, 2023 16:25 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 310 | $13.80 | $4,278.00 |
DisclosureSEC source: 0001415889-23-009342 · form4-06072023_040608.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 20,246 Read SEC document |
| June 01, 2023 Filed Jun 1, 2023 21:05 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,400 | $13.75 | $19,250.00 |
DisclosureSEC source: 0001415889-23-009025 · form4-06012023_090612.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 19,936 Read SEC document |
| May 01, 2023 Filed May 2, 2023 15:35 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,146 | $14.11 | $16,170.06 |
DisclosureSEC source: 0001415889-23-007082 · form4-05022023_030531.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 18,536 Read SEC document |
| April 28, 2023 Filed May 1, 2023 15:23 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 500 | $14.08 | $7,040.00 |
DisclosureSEC source: 0001415889-23-007039 · form4-05012023_030545.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 17,390 Read SEC document |
| March 10, 2023 Filed Mar 10, 2023 17:40 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,610 | $14.27 | $22,974.70 |
DisclosureSEC source: 0001415889-23-004638 · form4-03102023_050331.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,890 Read SEC document |
| February 01, 2023 Filed Feb 1, 2023 18:25 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,540 | $14.85 | $22,869.00 |
DisclosureSEC source: 0001415889-23-001706 · form4-02012023_060237.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,280 Read SEC document |
| December 30, 2022 Filed Jan 3, 2023 14:49 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,645 | $13.49 | $22,191.05 |
DisclosureSEC source: 0001415889-23-000003 · form4-01032023_020124.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,740 Read SEC document |
| December 21, 2022 Filed Dec 22, 2022 17:42 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 2,400 | $13.73 | $32,952.00 |
DisclosureSEC source: 0001415889-22-012920 · form4-12222022_051230.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,095 Read SEC document |
| December 20, 2022 Filed Dec 20, 2022 17:09 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 2,030 | $13.87 | $28,156.10 |
DisclosureSEC source: 0001415889-22-012816 · form4-12202022_051258.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,695 Read SEC document |
| November 30, 2022 Filed Nov 30, 2022 17:45 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,560 | $13.80 | $21,528.00 |
DisclosureSEC source: 0001415889-22-011838 · form4-11302022_051159.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,665 Read SEC document |
| November 28, 2022 Filed Nov 28, 2022 18:32 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 2,860 | $14.01 | $40,068.60 |
DisclosureSEC source: 0001415889-22-011784 · form4-11282022_061152.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,105 Read SEC document |
| November 01, 2022 Filed Nov 1, 2022 14:12 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,565 | $13.60 | $21,284.00 |
DisclosureSEC source: 0001415889-22-010923 · form4-11012022_071102.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,245 Read SEC document |
| October 25, 2022 Filed Oct 26, 2022 16:06 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 270 | $13.05 | $3,523.50 |
DisclosureSEC source: 0001415889-22-010796 · form4-10262022_091004.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,680 Read SEC document |
| September 08, 2022 Filed Sep 9, 2022 23:24 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 240 | $14.60 | $3,504.00 |
DisclosureSEC source: 0001415889-22-009510 · form4-09092022_040939.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,410 Read SEC document |
| July 13, 2022 Filed Jul 13, 2022 21:25 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 170 | $14.18 | $2,410.60 |
DisclosureSEC source: 0001415889-22-007663 · form4-07132022_020743.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,170 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.