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 |
| GUGGENHEIM STRATEGIC OPPORTUNITIES FUNDGOF · Entity 4471 | Director · Trustee | December 18, 2025 | December 19, 2025 |
| Guggenheim Active Allocation FundGUG · Entity 5458 | Director · TRUSTEE | December 18, 2025 | December 19, 2025 |
| Guggenheim Enhanced Equity Income FundGPM · Entity 143309 | Director · Trustee | March 20, 2017 | March 21, 2017 |
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 | 14,657 |
Reported balance
After 2024-10-17 transaction · row 1
1 source rowRow 1 · 2024-10-17 · Purchase · Acquired 3,671 · Balance 14,657 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.
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Report date December 18, 2025 · Filed December 19, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,010 |
Reported balance
After 2025-12-18 transaction · row 1
1 source rowRow 1 · 2025-12-18 · Purchase · Acquired 412 · Balance 5,010 |
Guggenheim Active Allocation Fund
Report date December 18, 2025 · Filed December 19, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,426 |
Reported balance
After 2025-12-18 transaction · row 1
1 source rowRow 1 · 2025-12-18 · Purchase · Acquired 321 · Balance 2,426 |
Guggenheim Enhanced Equity Income Fund
Report date March 20, 2017 · Filed March 21, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,464 |
Reported balance
After 2017-03-20 transaction · row 1
1 source rowRow 1 · 2017-03-20 · Other · Acquired 2,008 · Balance 3,464 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
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 |
|---|---|---|---|---|---|---|
| December 18, 2025 Filed Dec 19, 2025 19:32 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 321 | $15.53 | $4,985.13 |
DisclosureSEC source: 0001251343-25-000006 · form4-12192025_071203.xml · nonDerivative · entry 1 NYBERG RONALD · CIK 0001251343 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,426 Read SEC document |
| December 18, 2025 Filed Dec 19, 2025 14:23 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 412 | $12.13 | $4,997.56 |
DisclosureSEC source: 0001251343-25-000004 · form4-12192025_071237.xml · nonDerivative · entry 1 NYBERG RONALD · CIK 0001251343 · Director · Trustee 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 5,010 Read SEC document |
| May 05, 2025 Filed May 8, 2025 15:56 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 1,305 | $15.15 | $19,774.53 |
DisclosureSEC source: 0001415889-25-012322 · form4-05082025_030509.xml · nonDerivative · entry 1 NYBERG RONALD · CIK 0001251343 · Director · TRUSTEE 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 2,105 Read SEC document |
| October 17, 2024 Filed Oct 21, 2024 19:42 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | PurchaseCommon Stock | 3,671 | $11.28 | $41,408.88 |
DisclosureSEC source: 0001415889-24-025455 · form4-10212024_071035.xml · nonDerivative · entry 1 NYBERG RONALD · CIK 0001251343 · Director · Trustee 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 14,657 F1 · shares: The Price and Shares listed are pursuant to the exercise of a rights offering. Read SEC document |
| November 01, 2022 Filed Nov 2, 2022 17:49 UTC | Guggenheim Active Allocation Fund GUG · Entity 5458 | PurchaseCommon Stock | 800 | $13.57 | $10,856.00 |
DisclosureSEC source: 0001415889-22-010976 · form4-11022022_101158.xml · nonDerivative · entry 1 NYBERG RONALD · CIK 0001251343 · Director · TRUSTEE 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800 Read SEC document |
| August 27, 2018 Filed Aug 28, 2018 19:05 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 868.1941 | $0.50 | $429.84 |
DisclosureSEC source: 0001179110-18-010948 · edgar.xml · nonDerivative · entry 2 NYBERG RONALD · CIK 0001251343 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,349.8939 F1 · kind: 1. 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 19:05 UTC | ADVENT CONVERTIBLE & INCOME FUND AVK · Entity 8886 | OtherCommon Stock | 566.6498 | $0.36 | $205.69 |
DisclosureSEC source: 0001179110-18-010948 · edgar.xml · nonDerivative · entry 1 NYBERG RONALD · CIK 0001251343 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,481.6998 F1 · kind: 1. 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 |
| March 20, 2017 Filed Mar 21, 2017 17:36 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | OtherCommon Stock | 2,008 | $8.66 | $17,389.28 |
DisclosureSEC source: 0001179110-17-005003 · edgar.xml · nonDerivative · entry 1 NYBERG RONALD · CIK 0001251343 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,464 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.