Guggenheim GBAB manager buys 700 shares

Rhea-AI Filing Summary

Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (GBAB) insider Li Allen, identified as a Portfolio Manager, reported a purchase of 700 shares of Common Stock on September 14, 2026 at a price of $13.33 per share in an open market or private transaction. Following this transaction, Allen directly holds 1,700 shares of GBAB common stock. No Rule 10b5-1 trading plan is reported for this transaction.

Insider Trade Summary

Net Buyer: 700 shares

Net Buy 1 txn

Insider Li Allen

Role Insider

Bought 700 shs ($9K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	700	$13.33	$9K

Holdings After Transaction: Common Stock — 1,700 shares (Direct)

Key Figures

Shares purchased: 700 shares Purchase price per share: $13.33 per share Shares owned after transaction: 1,700 shares +1 more

4 metrics

Shares purchased 700 shares Common Stock purchased on September 14, 2026

Purchase price per share $13.33 per share Open market or private transaction on September 14, 2026

Shares owned after transaction 1,700 shares Direct ownership following the September 14, 2026 purchase

Net buy shares 700 shares Net change in non-derivative holdings in this Form 4

Key Terms

Common Stock, open market or private transaction, Rule 10b5-1

3 terms

Common Stock financial

"The transaction involved Common Stock of Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust"

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

open market or private transaction financial

"described as a purchase in an open market or private transaction"

Rule 10b5-1 regulatory

"No Rule 10b5-1 trading plan is reported for this transaction"

Rule 10b5-1 is a regulation that allows company insiders to buy or sell their shares at predetermined times, even if they have access to non-public information. It acts like setting a schedule in advance for transactions, helping prevent accusations of unfair trading. This rule provides a way for insiders to plan trades transparently, giving investors confidence that these transactions are not based on hidden information.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction was reported for GBAB in this Form 4?

The filing reports that Portfolio Manager Li Allen purchased 700 shares of Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (GBAB) Common Stock on September 14, 2026.

At what price were the GBAB shares purchased in this insider trade?

The 700 GBAB Common Stock shares were purchased at $13.33 per share in what is described as a purchase in an open market or private transaction.

How many GBAB shares does the reporting person hold after this transaction?

After the reported transaction, Portfolio Manager Li Allen directly holds 1,700 shares of Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust Common Stock.

Was the GBAB insider trade made under a Rule 10b5-1 trading plan?

No. The filing indicates the Rule 10b5-1 checkbox is not affirmed, so this reported purchase was not made under a Rule 10b5-1 trading plan.

What type of security was involved in the GBAB Form 4 transaction?

The transaction involved Common Stock of Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (GBAB), classified as a non-derivative security in the filing.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Available on EDGAR 09/14/2026 - 04:09 PM Accepted by SEC EDGAR 09/14/2026 - 04:09 PM Learn about SEC filing dates

SEC Form 4

FORM 4

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0287
Estimated average burden
hours per response:			0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).

Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.

1. Name and Address of Reporting Person^*

Li Allen

(Last) (First) (Middle)

GUGGENHEIM PARTNERS, LLC

100 WILSHIRE BOULEVARD, SUITE 500

(Street)

SANTA MONICA CALIFORNIA 90401

(City) (State) (Zip)

UNITED STATES

(Country)

2. Issuer Name and Ticker or Trading Symbol
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust [ GBAB ]

5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director		10% Owner
	Officer (give title below)	X	Other (specify below)
			Portfolio Manager

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/14/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3)	2. Transaction Date (Month/Day/Year)	2A. Deemed Execution Date, if any (Month/Day/Year)	3. Transaction Code (Instr. 8)		4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5)			5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)	6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	7. Nature of Indirect Beneficial Ownership (Instr. 4)
			Code	V	Amount	(A) or (D)	Price
Common Stock	09/14/2026		P		700	A	$13.33	1,700	D

Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3)	2. Conversion or Exercise Price of Derivative Security	3. Transaction Date (Month/Day/Year)	3A. Deemed Execution Date, if any (Month/Day/Year)	4. Transaction Code (Instr. 8)		5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)		6. Date Exercisable and Expiration Date (Month/Day/Year)		7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4)		8. Price of Derivative Security (Instr. 5)	9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)	10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)	11. Nature of Indirect Beneficial Ownership (Instr. 4)
				Code	V	(A)	(D)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Allen Li, by Mark E. Mathiasen Pursuant to a Power of Attorney	09/14/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 4: SEC 1474 (03-26)