Guggenheim GBAB manager buys $13.6K in shares

A portfolio manager for GBAB bought 1,000 common shares in a direct open-market transaction.

Rhea-AI Filing Summary

Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (GBAB) reported that portfolio manager Allen Li purchased 1,000 shares of common stock on September 8, 2026 at a price of $13.59 per share in an open-market or private transaction. Following this transaction, Li holds 1,000 shares, all reported as owned directly, and no Rule 10b5-1 trading plan is reported.

Insider Trade Summary

Net Buyer: 1,000 shares

Net Buy 1 txn

Insider Li Allen

Role Insider

Bought 1,000 shs ($14K)

Type	Security	Shares	Price	Value
Purchase	Common Stock	1,000	$13.59	$14K

Holdings After Transaction: Common Stock — 1,000 shares (Direct)

Key Figures

Shares purchased: 1,000 shares Purchase price per share: $13.59 per share Total transaction value: $13,590 +1 more

4 metrics

Shares purchased 1,000 shares Common stock acquired on September 8, 2026

Purchase price per share $13.59 per share Common stock transaction on September 8, 2026

Total transaction value $13,590 1,000 shares purchased at $13.59 per share

Shares owned after transaction 1,000 shares Direct holdings reported following the September 8, 2026 purchase

FAQ

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

What insider transaction did GBAB disclose for portfolio manager Allen Li?

Allen Li reported a purchase of 1,000 GBAB common shares on September 8, 2026 in an open-market or private transaction, at a reported price of $13.59 per share.

How many GBAB shares does Allen Li own after this Form 4 transaction?

After the reported transaction, Allen Li is shown as owning 1,000 GBAB common shares, all held as direct ownership.

What was the total dollar value of Allen Li’s GBAB share purchase?

Based on 1,000 shares at $13.59 per share, the reported purchase represents a total value of approximately $13,590.

Was Allen Li’s GBAB trade made under a Rule 10b5-1 trading plan?

The filing indicates that no Rule 10b5-1 trading plan is reported for this transaction, meaning it is not identified as made under a pre-arranged trading plan.

Did the GBAB Form 4 report any stock sales by Allen Li?

No. The Form 4 reports only a purchase of 1,000 GBAB common shares by Allen Li and no sales of GBAB shares.

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

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Available on EDGAR 09/09/2026 - 12:17 PM Accepted by SEC EDGAR 09/09/2026 - 12:17 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)
09/08/2026

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	09/08/2026		P		1,000	A	$13.59	1,000	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	09/09/2026
	** 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)