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 |
|---|---|---|---|---|---|---|
| June 21, 2022 Filed Jun 21, 2022 18:19 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 275 | $13.92 | $3,828.00 |
DisclosureSEC source: 0001415889-22-006806 · form4-06212022_110604.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,000 Read SEC document |
| June 16, 2022 Filed Jun 16, 2022 14:09 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 356 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-006620 · form4-06162022_110647.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Indirect · Randall C Barnes Childrens' Trust II Disclosed balance after: 0 F1 · shares: Randall C Barnes transferred 356 shares of GOF to his child. This transfer now leaves 0 shares remaining in the Randall C Barnes Childrens' Trust II. Read SEC document |
| June 15, 2022 Filed Jun 15, 2022 18:19 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 0.442 | $16.77 | $7.41 |
DisclosureSEC source: 0001415889-22-006607 · form4-06152022_030639.xml · nonDerivative · entry 3 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Indirect · Randall C Barnes Childrens' Trust II Disclosed balance after: 356 Read SEC document |
| June 15, 2022 Filed Jun 15, 2022 18:19 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 0.668 | $16.75 | $11.19 |
DisclosureSEC source: 0001415889-22-006607 · form4-06152022_030639.xml · nonDerivative · entry 2 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Indirect · Randall C Barnes Childrens' Trust Disclosed balance after: 8,318 Read SEC document |
| June 14, 2022 Filed Jun 15, 2022 18:19 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 20,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-006607 · form4-06152022_030639.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Indirect · Randall C Barnes Childrens' Trust Disclosed balance after: 8,318.668 F1 · shares: 20,000 shares of GOF were transferred from the Randall C Barnes Childrens' Trust directly to child's account resulting in no longer having indirect control. Read SEC document |
| June 02, 2022 Filed Jun 3, 2022 12:23 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 13,000 | $17.61 | $228,930.00 |
DisclosureSEC source: 0001415889-22-006057 · form4-06032022_090603.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Indirect · Randall C. Barnes Childrens' Trust Disclosed balance after: 27,881 Read SEC document |
| June 02, 2022 Filed Jun 8, 2022 13:20 UTC Amendment | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 13,000 | $17.61 | $228,930.00 |
DisclosureSEC source: 0001415889-22-006303 · form4a-06082022_100639.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Indirect · Randall C. Barnes Childrens' Trust Disclosed balance after: 27,881 Read SEC document |
| April 12, 2022 Filed Apr 12, 2022 18:52 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 725 | $16.93 | $12,274.25 |
DisclosureSEC source: 0001415889-22-004004 · form4-04122022_110420.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 725 Read SEC document |
| January 13, 2022 Filed Jan 13, 2022 12:48 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,370 | $17.87 | $24,481.90 |
DisclosureSEC source: 0001415889-22-000523 · form4-01132022_090143.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,355 Read SEC document |
| January 10, 2022 Filed Jan 11, 2022 10:31 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,000 | $18.20 | $18,200.00 |
DisclosureSEC source: 0001415889-22-000469 · form4-01112022_070110.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,985 Read SEC document |
| January 04, 2022 Filed Jan 5, 2022 11:11 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,000 | $18.25 | $18,250.00 |
DisclosureSEC source: 0001415889-22-000327 · form4-01052022_080118.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,985 Read SEC document |
| December 30, 2021 Filed Dec 30, 2021 10:25 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 1,000 | $17.75 | $17,750.00 |
DisclosureSEC source: 0001415889-21-006290 · form4-12302021_071251.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,985 Read SEC document |
| November 02, 2021 Filed Nov 3, 2021 09:39 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | SaleCommon Stock | 33,000 | $19.08 | $629,640.00 |
DisclosureSEC source: 0001179110-21-009795 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Randall C. Barnes Childrens' Trust #2 Disclosed balance after: 0 Read SEC document |
| July 19, 2021 Filed Jul 20, 2021 10:32 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 640 | $18.17 | $11,628.80 |
DisclosureSEC source: 0001179110-21-007580 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,985.51 Read SEC document |
| April 16, 2020 Filed Apr 16, 2020 15:42 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 4,140 | $15.16 | $62,762.40 |
DisclosureSEC source: 0001179110-20-004904 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,121 Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 12:47 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 1,330 | $18.25 | $24,272.50 |
DisclosureSEC source: 0001380936-19-000001 · primary_doc.xml · nonDerivative · entry 3 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,649 Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 12:47 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 1,000 | $18.26 | $18,260.00 |
DisclosureSEC source: 0001380936-19-000001 · primary_doc.xml · nonDerivative · entry 2 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,319 Read SEC document |
| December 27, 2019 Filed Dec 30, 2019 12:47 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 1,000 | $18.28 | $18,280.00 |
DisclosureSEC source: 0001380936-19-000001 · primary_doc.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,319 Read SEC document |
| May 09, 2019 Filed May 13, 2019 10:36 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 2,400 | $20.66 | $49,584.00 |
DisclosureSEC source: 0001551949-19-000001 · primary_doc.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Laverne Barnes Roth IRA (Mother) Disclosed balance after: 12,529.869 Read SEC document |
| January 22, 2019 Filed Jan 23, 2019 13:45 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 2,575 | $18.95 | $48,796.25 |
DisclosureSEC source: 0001179110-19-000874 · edgar.xml · nonDerivative · entry 2 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Mother's Roth IRA (Laverne Barnes) (formerly father's IRA prior to his death) Disclosed balance after: 30,894.027 Read SEC document |
| January 22, 2019 Filed Jan 23, 2019 13:45 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 2,700 | $19.00 | $51,300.00 |
DisclosureSEC source: 0001179110-19-000874 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 44,388.365 Read SEC document |
| December 26, 2018 Filed Dec 27, 2018 16:59 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 725 | $17.43 | $12,636.75 |
DisclosureSEC source: 0001179110-18-014286 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 41,276.517 Read SEC document |
| December 13, 2018 Filed Dec 13, 2018 17:34 UTC Amendment | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 400 | $19.70 | $7,880.00 |
DisclosureSEC source: 0001179110-18-013843 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,293.129 F1 · balance_after: The Amount of Securities Beneficially Owned Following Reported Transaction was incorrectly listed as 16,293,129. The Correct amount of securities beneficially owned after the transaction is 16,293.129. Read SEC document |
| December 13, 2018 Filed Dec 13, 2018 16:33 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 400 | $19.70 | $7,880.00 |
DisclosureSEC source: 0001179110-18-013828 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,293,129 Read SEC document |
| September 26, 2018 Filed Sep 26, 2018 14:36 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 3,950 | $20.55 | $81,172.50 |
DisclosureSEC source: 0001179110-18-011665 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Mother's Roth IRA (formerly father's IRA prior to his death) Disclosed balance after: 27,286.643 Read SEC document |
| August 27, 2018 Filed Aug 28, 2018 14:56 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 1,895.3867 | $0.50 | $938.41 |
DisclosureSEC source: 0001179110-18-010945 · edgar.xml · nonDerivative · entry 2 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,345.644 F1 · kind: The reported shares were acquired as a result of a closed-end fund merger between Advent Claymore Convertible Securities and Income Fund II (AGC), Advent/Claymore Enhanced Growth & Income Fund (LCM), and Advent/Claymore Convertible Securities and Income Fund (AVK) in which AVK was the surviving fund. F3 · shares: LCM share amount converted into AVK. Read SEC document |
| August 27, 2018 Filed Aug 28, 2018 14:56 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 2,069.2573 | $0.36 | $751.14 |
DisclosureSEC source: 0001179110-18-010945 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,450.2573 F1 · kind: The reported shares were acquired as a result of a closed-end fund merger between Advent Claymore Convertible Securities and Income Fund II (AGC), Advent/Claymore Enhanced Growth & Income Fund (LCM), and Advent/Claymore Convertible Securities and Income Fund (AVK) in which AVK was the surviving fund. F2 · shares: AGC share amount converted into AVK. Read SEC document |
| July 17, 2018 Filed Jul 17, 2018 14:08 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 5,100 | $21.11 | $107,661.00 |
DisclosureSEC source: 0001179110-18-009730 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 38,780.902 Read SEC document |
| June 18, 2018 Filed Jun 18, 2018 11:53 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 790 | $21.47 | $16,961.30 |
DisclosureSEC source: 0001179110-18-008675 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,396.126 Read SEC document |
| March 26, 2018 Filed Mar 27, 2018 12:04 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 5,000 | $10.80 | $54,000.00 |
DisclosureSEC source: 0001179110-18-004846 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,513.191 Read SEC document |
| February 06, 2018 Filed Feb 7, 2018 11:29 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 2,770 | $19.71 | $54,596.70 |
DisclosureSEC source: 0001179110-18-001682 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,426.609 Read SEC document |
| February 05, 2018 Filed Feb 5, 2018 13:21 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 2,600 | $20.23 | $52,585.00 |
DisclosureSEC source: 0001179110-18-001456 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,418.675 Read SEC document |
| January 30, 2018 Filed Jan 30, 2018 10:36 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | SaleCommon Stock | 4,275 | $9.30 | $39,757.50 |
DisclosureSEC source: 0001179110-18-001191 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Mother's Roth IRA (Laverne Barnes) Disclosed balance after: 0 Read SEC document |
| January 30, 2018 Filed Jan 30, 2018 10:40 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 2,997 | $20.82 | $62,397.54 |
DisclosureSEC source: 0001179110-18-001192 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Mother's Roth IRA (Laverne Barnes) Disclosed balance after: 21,739.254 Read SEC document |
| October 23, 2017 Filed Oct 23, 2017 12:38 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 500 | $12.30 | $6,150.00 |
DisclosureSEC source: 0001179110-17-013411 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,513.191 Read SEC document |
| October 23, 2017 Filed Oct 24, 2017 18:01 UTC Amendment | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 500 | $12.30 | $6,150.00 |
DisclosureSEC source: 0001179110-17-013424 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,513.191 F1 · shares: The amount of shares purchased was incorrectly listed as 500, the actual number of shares purchased was 5,000. The total shares held is correctly listed as 35513.191. Read SEC document |
| August 11, 2017 Filed Aug 14, 2017 10:45 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 5,000 | $12.70 | $63,500.00 |
DisclosureSEC source: 0001179110-17-011431 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 30,513.191 Read SEC document |
| April 26, 2017 Filed Apr 26, 2017 16:32 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | SaleCommon Stock | 6,459 | $8.36 | $53,997.24 |
DisclosureSEC source: 0001179110-17-006206 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · IRA for Laverne Barnes (Mother) Disclosed balance after: 3,933.534 Read SEC document |
| March 20, 2017 Filed Mar 22, 2017 10:31 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | OtherCommon Stock | 1,492 | $8.66 | $12,920.72 |
DisclosureSEC source: 0001179110-17-005031 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Mother's Roth IRA (Laverne Barnes) Disclosed balance after: 10,393 F1 · kind: The reported shares were acquired as a result of a closed-end fund merger between Guggenheim Enhanced Equity Strategy Fund (GGE), Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ), and Guggenheim Enhanced Equity Income Fund (GPM) in which GPM was the surviving fund. F1 · shares: The reported shares were acquired as a result of a closed-end fund merger between Guggenheim Enhanced Equity Strategy Fund (GGE), Guggenheim Equal Weight Enhanced Equity Income Fund (GEQ), and Guggenheim Enhanced Equity Income Fund (GPM) in which GPM was the surviving fund. Read SEC document |
| December 06, 2016 Filed Dec 7, 2016 08:13 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 620 | $21.26 | $13,181.20 |
DisclosureSEC source: 0001179110-16-032506 · edgar.xml · nonDerivative · entry 1 Barnes Randall C · CIK 0001298064 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Indirect · Dean Barnes Roth IRA (Father) Disclosed balance after: 8,001.204 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.