Director Barnes trims Guggenheim Active Allocation (GUG) share stake

Rhea-AI Filing Summary

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.

Insider Trade Summary

Net Seller: 3,000 shares ($47,550)

Net Sell 1 txn

Insider Barnes Randall C

Role Director

Sold 3,000 shs ($48K)

Type	Security	Shares	Price	Value
Sale	Common Stock	3,000	$15.85	$48K

Holdings After Transaction: Common Stock — 62,322 shares (Direct)

Footnotes (1)

Form 4 Insider Transactions: What Each Field Means →

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^*

Barnes Randall C

(Last) (First) (Middle)

227 W. MONROE STREET

(Street)

CHICAGO IL 60606

(City) (State) (Zip)

2. Issuer Name and Ticker or Trading Symbol
Guggenheim Active Allocation Fund [ GUG ]

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

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

3. Date of Earliest Transaction (Month/Day/Year)
03/06/2026

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

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

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

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	03/06/2026		S		3,000	D	$15.85	62,322	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/ Randall C. Barnes, by Mark E. Mathiasen Pursuant to a Power of Attorney	03/09/2026
	** 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.

FAQ

What did Randall C. Barnes report in the latest GUG Form 4 filing?

Randall C. Barnes reported an open-market sale of 3,000 Guggenheim Active Allocation Fund shares at $15.85 each. This Form 4 filing discloses his recent trading activity as a director and trustee of the fund.

How many GUG shares did Randall C. Barnes sell and at what price?

He sold 3,000 shares of Guggenheim Active Allocation Fund common stock at a price of $15.85 per share. The transaction was reported as an open-market sale under SEC Form 4 requirements.

How many Guggenheim Active Allocation Fund shares does Barnes still own after the sale?

After the sale, Randall C. Barnes directly owns 62,322 shares of Guggenheim Active Allocation Fund common stock. This post-transaction ownership amount is explicitly disclosed in the Form 4 filing data.

Was the GUG transaction by Randall C. Barnes a buy or a sell?

The transaction was a sell. The Form 4 lists a transaction code "S" and identifies it as an open-market sale of 3,000 Guggenheim Active Allocation Fund common shares at $15.85 per share.

What role does Randall C. Barnes hold at Guggenheim Active Allocation Fund (GUG)?

Randall C. Barnes is identified as a director and trustee of Guggenheim Active Allocation Fund. His insider status requires reporting trades like this 3,000-share sale on Form 4 to provide transparency to investors.