Every SEC Form 3/4/5 on record for this filer (CIK 1251343) — 5 issuers, 8 transactions. Section-16 filings only: what they filed, not a biography, and titles are as filed on their latest form at each issuer.
| Ticker | Company | Role as filed | On file | Forms | Open-market net |
|---|---|---|---|---|---|
| GUG | Guggenheim Active Allocation Fund | Director | 2021-11-24 → 2025-12-19 | 4 | $35,612 |
| GOF | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND | Director | 2025-12-19 → 2025-12-19 | 1 | $4,998 |
| AVK | ADVENT CONVERTIBLE & INCOME FUND | Trustee · Director | 2018-08-28 → 2024-10-21 | 2 | $41,409 |
| GPM | Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund) | Filer · lapsed | 2017-03-21 → 2017-03-21 | 1 | — |
| XGEIX | Guggenheim Energy & Income Fund | Filer · lapsed | 2015-08-27 → 2015-08-27 | 1 | — |
| Ticker | Date | Action | Shares | Price | Value | Held after |
|---|---|---|---|---|---|---|
| GOF | 2025-12-18 | Buy | 412 | $12.13 | $4,998 | 5,010 |
| GUG | 2025-12-18 | Buy | 321 | $15.53 | $4,985 | 2,426 |
| GUG | 2025-05-05 | Buy | 1,305 | $15.15 | $19,771 | 2,105 |
| AVK | 2024-10-17 | Buy | 3,671 | $11.28 | $41,409 | 14,657 |
| GUG | 2022-11-01 | Buy | 800 | $13.57 | $10,856 | 800 |