Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUNDFMO · Entity 145571 | Director · Trustee | May 08, 2020 | May 08, 2020 |
| GUGGENHEIM STRATEGIC OPPORTUNITIES FUNDGOF · Entity 4471 | Director · TRUSTEE | March 13, 2023 | March 14, 2023 |
| Guggenheim Active Allocation FundGUG · Entity 5458 | Director · TRUSTEE | April 01, 2025 | April 01, 2025 |
| Guggenheim Credit Allocation FundGGM · Entity 144888 | Director · Trustee | December 04, 2020 | December 04, 2020 |
| Guggenheim Enhanced Equity Income FundGPM · Entity 143309 | Director · Trustee | December 04, 2020 | December 04, 2020 |
| Guggenheim Taxable Municipal Bond & Investment Grade Debt TrustGBAB · Entity 5709 | Director · TRUSTEE | October 12, 2022 | October 12, 2022 |
| WESTERN ASSET INFLATION-LINKED INCOME FUNDWIA · Entity 6381 | Director · Trustee | April 01, 2019 | April 01, 2019 |
| WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUNDWIW · Entity 8896 | Director · Trustee | April 01, 2019 | April 01, 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.
FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND
Report date May 08, 2020 · Filed May 08, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 8,912.017 |
Reported balance
After 2020-05-08 transaction · row 1
1 source rowRow 1 · 2020-05-08 · Purchase · Acquired 1,932 · Balance 8,912.017 |
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Report date March 13, 2023 · Filed March 14, 2023 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 15,294.193 |
Reported balance
After 2023-03-13 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2023-03-13 · Other · Acquired 0 · Balance 15,294.193 F1: A previous transaction was incorrectly reported under this Registrant on March 13, 2023 (Accession Number 0001415889-23-004718) on behalf of Mr. Toupin. This filing serves the sole purpose of voiding the previous filing. A Form 4 for the previous transaction was subsequently filed with the correct Registrant on March 13, 2023. F2: Total amount of securities held by Mr. Toupin as reported on his most recently filed Form 4, dated October 12, 2022 (Accession No. 0001415889-22-010474). |
Filing footnotes · ownership attribution and instrument terms
F1: A previous transaction was incorrectly reported under this Registrant on March 13, 2023 (Accession Number 0001415889-23-004718) on behalf of Mr. Toupin. This filing serves the sole purpose of voiding the previous filing. A Form 4 for the previous transaction was subsequently filed with the correct Registrant on March 13, 2023.
F2: Total amount of securities held by Mr. Toupin as reported on his most recently filed Form 4, dated October 12, 2022 (Accession No. 0001415889-22-010474).
Guggenheim Active Allocation Fund
Report date April 01, 2025 · Filed April 01, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 13,617.291 |
Reported balance
After 2025-04-01 transaction · row 1
1 source rowRow 1 · 2025-04-01 · Purchase · Acquired 1,500 · Balance 13,617.291 |
Guggenheim Credit Allocation Fund
Report date December 04, 2020 · Filed December 04, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,730.976 |
Reported balance
After 2020-12-04 transaction · row 1
1 source rowRow 1 · 2020-12-04 · Purchase · Acquired 615 · Balance 3,730.976 |
Guggenheim Enhanced Equity Income Fund
Report date December 04, 2020 · Filed December 04, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 17,075.006 |
Reported balance
After 2020-12-04 transaction · row 1
1 source rowRow 1 · 2020-12-04 · Purchase · Acquired 1,500 · Balance 17,075.006 |
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
Report date October 12, 2022 · Filed October 12, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 6,441.983 |
Ending reported balance
After 2022-10-12 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2022-10-12 · Purchase · Acquired 700 · Balance 6,141.983 Row 2 · 2022-10-12 · Purchase · Acquired 200 · Balance 6,341.983 Row 3 · 2022-10-12 · Purchase · Acquired 100 · Balance 6,441.983 |
WESTERN ASSET INFLATION-LINKED INCOME FUND
Report date April 01, 2019 · Filed April 01, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,393.811 |
Reported balance
After 2019-04-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-04-01 · Purchase · Acquired 250 · Balance 2,393.811 F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan.
WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND
Report date April 01, 2019 · Filed April 01, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 2,413.298 |
Reported balance
After 2019-04-01 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2019-04-01 · Purchase · Acquired 250 · Balance 2,413.298 F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan. |
Filing footnotes · ownership attribution and instrument terms
F1: Includes shares acquired through the Fund's Dividend Reinvestment Plan.
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 |
|---|---|---|---|---|---|---|
| September 26, 2019 Filed Sep 26, 2019 13:07 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 525 | $19.07 | $10,010.18 |
DisclosureSEC source: 0001179110-19-010670 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,934.913 Read SEC document |
| June 27, 2019 Filed Jun 27, 2019 11:20 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 250 | $20.70 | $5,174.93 |
DisclosureSEC source: 0001179110-19-008161 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,250.584 Read SEC document |
| June 27, 2019 Filed Jun 27, 2019 15:17 UTC | Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust GBAB · Entity 5709 | PurchaseCommon Stock | 250 | $23.65 | $5,912.50 |
DisclosureSEC source: 0001179110-19-008160 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,835.774 Read SEC document |
| June 27, 2019 Filed Jun 27, 2019 11:22 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 300 | $9.54 | $2,863.05 |
DisclosureSEC source: 0001179110-19-008162 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,156.441 Read SEC document |
| April 01, 2019 Filed Apr 1, 2019 16:53 UTC | WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND WIW · Entity 8896 | PurchaseCommon Stock | 250 | $11.09 | $2,772.48 |
DisclosureSEC source: 0000914851-19-000127 · wf-form4_155413756636462.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,413.298 F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| April 01, 2019 Filed Apr 1, 2019 16:20 UTC | WESTERN ASSET INFLATION-LINKED INCOME FUND WIA · Entity 6381 | PurchaseCommon Stock | 250 | $10.71 | $2,676.25 |
DisclosureSEC source: 0000914851-19-000125 · wf-form4_155413560252392.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,393.811 F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| January 03, 2019 Filed Jan 3, 2019 11:27 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 150 | $18.66 | $2,799.45 |
DisclosureSEC source: 0001179110-19-000099 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,894.665 Read SEC document |
| January 03, 2019 Filed Jan 3, 2019 16:25 UTC | Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust GBAB · Entity 5709 | PurchaseCommon Stock | 132 | $22.22 | $2,933.04 |
DisclosureSEC source: 0001179110-19-000098 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,542.849 Read SEC document |
| January 03, 2019 Filed Jan 3, 2019 11:31 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | PurchaseCommon Stock | 400 | $6.78 | $2,713.36 |
DisclosureSEC source: 0001179110-19-000101 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,675.863 Read SEC document |
| January 03, 2019 Filed Jan 3, 2019 11:22 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 300 | $9.08 | $2,723.19 |
DisclosureSEC source: 0001179110-19-000097 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,618.918 Read SEC document |
| January 03, 2019 Filed Jan 3, 2019 11:29 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 150 | $18.67 | $2,800.50 |
DisclosureSEC source: 0001179110-19-000100 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,211.993 Read SEC document |
| October 08, 2018 Filed Oct 9, 2018 16:54 UTC | WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND WIW · Entity 8896 | PurchaseCommon Stock | 150 | $11.15 | $1,673.22 |
DisclosureSEC source: 0000914851-18-000249 · wf-form4_153910404055839.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,118.864 Read SEC document |
| October 08, 2018 Filed Oct 9, 2018 16:45 UTC | WESTERN ASSET INFLATION-LINKED INCOME FUND WIA · Entity 6381 | PurchaseCommon Stock | 150 | $10.72 | $1,607.67 |
DisclosureSEC source: 0000914851-18-000247 · wf-form4_153910354311914.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,103.132 F1 · balance_after: Includes shares acquired through the Fund's Dividend Reinvestment Plan. Read SEC document |
| October 08, 2018 Filed Oct 9, 2018 11:19 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 100 | $20.10 | $2,010.00 |
DisclosureSEC source: 0001179110-18-012082 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,022.688 Read SEC document |
| April 02, 2018 Filed Apr 2, 2018 14:50 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 250 | $10.47 | $2,617.50 |
DisclosureSEC source: 0001179110-18-005020 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,053.771 Read SEC document |
| April 02, 2018 Filed Apr 2, 2018 19:02 UTC | WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND WIW · Entity 8896 | PurchaseCommon Stock | 150 | $11.35 | $1,702.44 |
DisclosureSEC source: 0001179110-18-005022 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,930.887 Read SEC document |
| April 02, 2018 Filed Apr 2, 2018 18:59 UTC | WESTERN ASSET INFLATION-LINKED INCOME FUND WIA · Entity 6381 | PurchaseCommon Stock | 150 | $11.56 | $1,734.00 |
DisclosureSEC source: 0001179110-18-005021 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,917.987 Read SEC document |
| January 04, 2018 Filed Jan 4, 2018 11:32 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | PurchaseCommon Stock | 300 | $9.15 | $2,745.00 |
DisclosureSEC source: 0001179110-18-000470 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,012.375 Read SEC document |
| September 28, 2017 Filed Sep 28, 2017 15:09 UTC | Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust GBAB · Entity 5709 | PurchaseCommon Stock | 225 | $22.71 | $5,109.75 |
DisclosureSEC source: 0001179110-17-012739 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,286.927 Read SEC document |
| September 28, 2017 Filed Sep 28, 2017 11:07 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 400 | $12.72 | $5,088.36 |
DisclosureSEC source: 0001179110-17-012738 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,610.01 Read SEC document |
| June 29, 2017 Filed Jun 29, 2017 14:14 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 150 | $23.02 | $3,453.00 |
DisclosureSEC source: 0001179110-17-009760 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,502.955 Read SEC document |
| June 29, 2017 Filed Jun 29, 2017 18:11 UTC | Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust GBAB · Entity 5709 | PurchaseCommon Stock | 174 | $22.71 | $3,951.54 |
DisclosureSEC source: 0001179110-17-009759 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,045.644 Read SEC document |
| June 29, 2017 Filed Jun 29, 2017 14:05 UTC | FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND FMO · Entity 145571 | PurchaseCommon Stock | 250 | $13.70 | $3,424.95 |
DisclosureSEC source: 0001179110-17-009758 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,136.665 Read SEC document |
| June 29, 2017 Filed Jun 29, 2017 14:18 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 150 | $21.03 | $3,154.61 |
DisclosureSEC source: 0001179110-17-009761 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,666.321 Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 12:50 UTC | Guggenheim Credit Allocation Fund GGM · Entity 144888 | PurchaseCommon Stock | 305 | $22.95 | $6,999.75 |
DisclosureSEC source: 0001179110-17-006135 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,333.983 Read SEC document |
| April 20, 2017 Filed Apr 21, 2017 12:52 UTC | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND GOF · Entity 4471 | PurchaseCommon Stock | 290 | $20.59 | $5,971.10 |
DisclosureSEC source: 0001179110-17-006136 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,419.565 Read SEC document |
| March 20, 2017 Filed Mar 21, 2017 10:46 UTC | Guggenheim Enhanced Equity Income Fund GPM · Entity 143309 | OtherCommon Stock | 5,897.895 | $8.66 | $51,075.77 |
DisclosureSEC source: 0001179110-17-004956 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,846.496 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 |
| September 30, 2016 Filed Sep 30, 2016 16:49 UTC | Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust GBAB · Entity 5709 | PurchaseCommon Stock | 125 | $23.21 | $2,901.00 |
DisclosureSEC source: 0001179110-16-030094 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 832.866 Read SEC document |
| September 30, 2016 Filed Sep 30, 2016 16:43 UTC | WESTERN ASSET INFLATION-LINKED OPPORTUNITIES & INCOME FUND WIW · Entity 8896 | PurchaseCommon Stock | 250 | $11.20 | $2,799.10 |
DisclosureSEC source: 0001179110-16-030093 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,688.606 Read SEC document |
| September 30, 2016 Filed Sep 30, 2016 16:38 UTC | WESTERN ASSET INFLATION-LINKED INCOME FUND WIA · Entity 6381 | PurchaseCommon Stock | 250 | $11.49 | $2,872.50 |
DisclosureSEC source: 0001179110-16-030090 · edgar.xml · nonDerivative · entry 1 TOUPIN RONALD E JR · CIK 0001254593 · Director · Trustee 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,677.422 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.