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.
Guggenheim Active Allocation Fund filings document a closed-end fund’s service-provider agreements, custody arrangements, administration and accounting functions, and governance under the Investment Company Act of 1940. Recent 8-K disclosure includes agreements with BNY covering fund administration, bookkeeping, accounting, pricing, securities and cash custody, and foreign custody management.
The fund’s regulatory record also centers on NAV, distributions, leverage, listing status, capital structure, shareholder voting, and related closed-end fund governance matters when those subjects are reported.
Guggenheim Active Allocation Fund director Randall C. Barnes reported an open-market sale of 3,000 shares of common stock at $15.85 per share. After this transaction, he directly owns 62,322 shares of the fund.
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.