Guggenheim Active Allocation Fund director buys 321 GUG shares

Guggenheim Active Allocation Fund director and trustee trade was reported for GUG.

Accepted by SEC EDGAR 12/19/2025 - 02:32 PM EST Learn about SEC filing dates

Rhea-AI Filing Summary

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.

Insider Trade Summary

Net Buyer: 321 shares

Net Buy 1 txn

Insider NYBERG RONALD

Role Director

Bought 321 shs ($5K)

Increase in Position 15.2%

Type	Security	Shares	Price	Value
Purchase	Common Stock	321	$15.53	$5K

Holdings After Transaction: Common Stock — 2,426 shares (Direct)

Holdings Before and After: Common Stock, 2,105 to 2,426 shares (Direct)

FAQ

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

What insider transaction did Guggenheim Active Allocation Fund (GUG) report?

A reporting person of Guggenheim Active Allocation Fund (GUG) reported buying 321 shares of common stock on 12/18/2025.

What was the purchase price in the latest GUG insider trade?

The reported purchase of 321 GUG common shares was made at a price of $15.53 per share.

How many Guggenheim Active Allocation Fund shares does the insider now own?

Following the reported transaction, the insider directly beneficially owned 2,426 shares of Guggenheim Active Allocation Fund common stock.

What is the insider’s relationship to Guggenheim Active Allocation Fund (GUG)?

The reporting person is listed as a Director and as Other – Trustee of Guggenheim Active Allocation Fund.

Was the latest GUG insider transaction a purchase or a sale?

The Form 4 shows a transaction code P, indicating a purchase of 321 shares of GUG common stock.

Is the GUG insider ownership reported as direct or indirect?

The 2,426 shares of GUG common stock held after the transaction are reported as Direct (D) ownership.

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

Form 4 Insider Transactions: What Each Field Means →

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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^*

NYBERG RONALD

(Last) (First) (Middle)

227 W. MONROE STREET

7TH FLOOR

(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)
12/18/2025

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	12/18/2025		P		321	A	$15.53	2,426	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/ Ronald A. Nyberg, by Mark E Mathiasen Pursuant to a Power of Attorney	12/19/2025
	** 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.