Welcome to our dedicated page for Guggenheim Active Allocation Fund SEC filings (Ticker: GUG), 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 Active Allocation Fund (GUG) SEC filings page provides access to the fund’s regulatory documents, including reports that describe material events and key contractual arrangements. Guggenheim Active Allocation Fund is described as a diversified closed-end management investment company that seeks to maximize total return through current income and capital appreciation by investing in fixed-income and other debt instruments and, in some cases, equities.
Among its filings, a Form 8-K details the fund’s entry into a Fund Administration and Accounting Agreement with The Bank of New York Mellon. Under this agreement, BNY performs administrative, bookkeeping, accounting, and pricing functions for the fund and receives a fee based on average daily net assets, along with reimbursement of certain out-of-pocket expenses. The same filing explains that the fund entered into a Custody Agreement and a Foreign Custody Manager Agreement with BNY, under which BNY holds securities and cash on behalf of the fund in accordance with the Investment Company Act of 1940, as amended, and provides foreign custody services.
The Form 8-K also describes the termination of prior administration and custody agreements, including the prior administration and accounting agreement with MUFG Investor Services (US) LLC and prior custody and foreign custody manager agreements with BNY. The filing notes that, apart from ordinary course payments through the effective date of termination, no termination or other fees are payable by the fund in connection with these changes.
On this page, users can review such SEC filings and use AI-powered summaries to understand the significance of each document. Filings like Form 8-K can clarify how the fund’s administration, accounting, and custody arrangements are structured, what fees are involved, and how these agreements fit within the regulatory framework of the Investment Company Act of 1940.
Guggenheim Active Allocation Fund director and trustee trade was reported for GUG. A reporting person serving as both director and trustee bought 321 shares of common stock on 12/18/2025 at a price of $15.53 per share. After this purchase, the person directly beneficially owned 2,426 shares of the fund.
Guggenheim Active Allocation Fund reported that on December 15, 2025 it entered into a new Fund Administration and Accounting Agreement with The Bank of New York Mellon. BNY will handle administrative, bookkeeping, accounting and pricing services for the fund, earning a fee accrued daily and paid monthly based on the fund’s average daily net assets, plus reimbursement of certain out-of-pocket expenses.
On the same date, the fund also entered into a new Custody Agreement and Foreign Custody Manager Agreement with BNY, under which BNY will hold the fund’s securities and cash and act as foreign custody manager in line with the Investment Company Act of 1940, for a monthly fee tied in part to average daily net assets and securities transactions. In connection with these new contracts, the fund terminated its prior administration and accounting agreement with MUFG Investor Services (US) LLC and its prior custody and foreign custody agreements with BNY, and no termination or other fees are payable beyond ordinary course payments through the termination date.
Guggenheim Active Allocation Fund (GUG): Schedule 13G/A filed by Morgan Stanley. Morgan Stanley reports beneficial ownership of 2,777,696 Common Shares, representing 8.4% of the class. Morgan Stanley lists 0 sole voting power, 1,755 shared voting power, 0 sole dispositive power, and 2,777,696 shared dispositive power.
Morgan Stanley Smith Barney LLC reports beneficial ownership of 2,775,942 Common Shares, representing 8.4% of the class, with 0 sole voting power, 1 shared voting power, 0 sole dispositive power, and 2,775,942 shared dispositive power.
The filing is made on a passive basis and certifies the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control. The date of event is 09/30/2025.
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