Welcome to our dedicated page for Guggenheim Strategic Opp Fund SEC filings (Ticker: GOF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Guggenheim Strategic Opportunities Fund (GOF) SEC filings page provides access to the fund’s regulatory disclosures as a diversified, closed-end management investment company listed on the New York Stock Exchange. As a registered investment company under the Investment Company Act of 1940, GOF files registration statements, current reports, and other documents with the U.S. Securities and Exchange Commission that describe its structure, objectives, and material agreements.
Through its filings, investors can review the fund’s stated objective of maximizing total return through a combination of current income and capital appreciation, and its approach of combining a credit-managed fixed-income portfolio with access to alternative investments and equity strategies. The fund’s registration statement on Form N-2 and related prospectus materials set out these objectives and strategies, along with associated risks and policies.
Current reports on Form 8-K highlight material events for Guggenheim Strategic Opportunities Fund. These include the Controlled Equity OfferingSM Sales Agreement, which allows the fund to offer and sell common shares of beneficial interest through an agent under an effective shelf registration statement, and amendments to that agreement. Other 8-K filings describe the Fund Administration and Accounting Agreement with The Bank of New York Mellon (BNY), under which BNY provides administrative, bookkeeping, accounting, and pricing services, as well as the Custody Agreement and Foreign Custody Manager Agreement under which BNY serves as custodian and foreign custody manager.
On this page, AI-powered tools can summarize lengthy filings such as Form N-2 registration statements and Form 8-K current reports, highlighting key terms of sales agreements, administration and custody arrangements, and other material contracts. Users can quickly identify how GOF issues additional common shares, which service providers support the fund, and how these relationships are structured under the 1940 Act and the Securities Exchange Act of 1934.
Guggenheim Strategic Opportunities Fund director and trustee Randall C. Barnes bought additional shares of the fund in the open market. On this transaction, he purchased 220 shares of Common Stock at $11.39 per share. After the purchase, his direct holdings increased to 6,451 shares of the fund’s common stock.
Guggenheim Strategic Opportunities Fund director buys shares on the open market. Trustee and director Randall C. Barnes purchased 220 shares of Common Stock on March 12, 2026 at an average price of $11.39 per share. Following this open-market purchase, he directly owns 6,451 shares, making this a relatively small, incremental increase in his holdings.
Guggenheim Strategic Opportunities Fund director and trustee Randall C. Barnes reported an open-market purchase of the fund’s common stock. On March 6, 2026, he bought 4,180 shares at a price of $11.59 per share, increasing his directly held position to 6,231 shares after the transaction.
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust, Guggenheim Strategic Opportunities Fund and Guggenheim Active Allocation Fund are calling a joint virtual annual shareholder meeting on April 2, 2026, for holders of record as of February 13, 2026.
The main purpose is to elect Class I Trustees for each fund, with slates including Angela Brock‑Kyle, Amy J. Lee and, for GOF, Thomas F. Lydon Jr. Long‑time Trustee Randall C. Barnes will retire, and each board will be reduced from seven to six members, with a majority remaining independent.
The boards describe their committee structure (audit, nominating and governance, contracts review, valuation oversight) and oversight of risk, valuation and derivatives. Ernst & Young LLP is proposed to continue as independent auditor. For all funds, the boards unanimously recommend shareholders vote “FOR” each trustee nominee and encourage voting by mail, telephone, internet or during the virtual meeting.
Guggenheim Strategic Opportunities Fund insider trade: Director and related party Ronald A. Nyberg reported buying 412 shares of common stock on 12/18/2025 at a price of $12.13 per share. After this purchase, he beneficially owns 5,010 shares held directly. This filing reflects a personal increase in his stake in the closed-end fund, rather than a transaction by the fund itself.
Guggenheim Strategic Opportunities Fund entered into new service agreements with The Bank of New York Mellon on December 15, 2025. The fund signed a Fund Administration and Accounting Agreement under which BNY provides administrative, bookkeeping, accounting and pricing services. BNY’s compensation is based on the fund’s average daily net assets, with fees accrued daily, paid monthly and subject to a minimum annual fee, and the fund also reimburses certain out-of-pocket expenses.
The fund also executed a new Custody Agreement and a Foreign Custody Manager Agreement with BNY, replacing prior custody arrangements dated July 26, 2007. BNY will hold the fund’s securities and cash and act as foreign custody manager, receiving a monthly fee tied in part to average daily net assets plus charges for securities transactions. At the same time, the fund terminated its prior administration and accounting agreement with MUFG Investor Services (US) LLC and the prior BNY custody agreements, with no termination or other fees owed beyond ordinary course payments through the termination dates.
Guggenheim Strategic Opportunities Fund has entered into an amended Controlled Equity OfferingSM Sales Agreement with Cantor Fitzgerald & Co., allowing it to offer and sell common shares with an aggregate initial offering price of up to $1,000,000,000. The sales are to be made from time to time through Cantor Fitzgerald acting as agent under the Fund’s effective shelf registration statement on Form N-2. The offering is supported by a prospectus supplement and base prospectus, both dated November 21, 2025, and the Fund commenced sales under this program on November 24, 2025.
Guggenheim Strategic Opportunities Fund (GOF) is offering up to $1,000,000,000 of common shares in an at-the-market program through Cantor Fitzgerald under a Controlled Equity Offering sales agreement.
Cantor Fitzgerald may receive up to 2.00% of gross proceeds, and sales will only be made when the market price (net of commissions) is at or above the then-current net asset value. As of November 14, 2025, net asset value was $11.38 per share and the NYSE price was $12.91, a premium of 13.44%.
The fund, a diversified closed-end credit and equity strategy using about 16% financial leverage as of May 31, 2025, expects to invest net proceeds (estimated at about $974,000,000 if the full amount is sold) in line with its income and total return mandate, initially in short-term high-quality instruments before moving into its target portfolio. Proceeds may also support ongoing distributions, which can include a significant return of capital.
Guggenheim Strategic Opportunities Fund (GOF) reported an insider purchase. A director and trustee acquired 380 common shares on 11/04/2025 at $13.08 per share. Following the transaction, the reporting person directly holds 1,960 shares.
Guggenheim Strategic Opportunities Fund (GOF) reported an insider open‑market purchase. A director and trustee acquired 1,580 shares of common stock at $13.02 per share on 10/30/2025 (transaction code P).
Following the transaction, the reporting person beneficially owned 1,580 shares, held in direct ownership.