Company Guggenheim Active Allocation Fund

GUG

US40170T1060

Mutual Funds

Business Summary

Managers

Members of the board

Share class

Shareholders

Company contact information

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Sector Other Mutual Funds

End-of-day quote Nyse Other stock markets 23:00:00 30/05/2024 BST			5-day change	1st Jan Change
15.02 ^USD	+1.76%		+0.74%	+2.46%

Guggenheim Active Allocation Fund (the Fund) is a diversified, closed-end management investment company. The Fundâs investment objective is to maximize total return through a combination of current income and capital appreciation. The Fund seeks invest in a range of both fixed-income and other debt instruments (Income Securities) selected from a variety of sectors and credit qualities, including, but not limited to, government & agency securities, corporate bonds, loans and loan participations, structured finance investments (including residential and commercial mortgage-related securities, asset-backed securities, collateralized debt obligations & risk-linked securities), mezzanine and preferred securities and convertible securities. It may invest in non-United States dollar-denominated Income Securities issued by sovereign entities and corporations, including Income Securities of issuers in emerging market countries. Its investment adviser is Guggenheim Funds Investment Advisors, LLC

Managers	Title	Age	Since
Brian Edward Binder CEO	Chief Executive Officer	52	31/12/20
John Louis Sullivan DFI	Director of Finance/CFO	69	31/12/20
Joanna M. Catalucci CMP	Compliance Officer	58	31/12/20
Amy Lee BRD	Director/Board Member	63	31/12/20
Bryan Stone PRN	Corporate Officer/Principal	45	31/12/20
Mark Mathiasen SEC	Corporate Secretary	46	31/12/20

Members of the board	Title	Age	Since
Amy Lee BRD	Director/Board Member	63	31/12/20

	Vote	Quantity	Free-Float	Company-owned shares	Total Float
Stock A	1	32,980,083	32,980,083 ( 100.00 %)	0	100.00 %

Name	Equities	%	Valuation
Morgan Stanley Smith Barney LLC 5.935 %	1,957,415	5.935 %	28 M $
Guggenheim Funds Investment Advisors LLC 2.881 %	950,000	2.881 %	14 M $
Cohen & Steers Capital Management, Inc. 2.839 %	936,251	2.839 %	14 M $
Bank of America, NA (Charlotte, North Carolina) 2.687 %	886,128	2.687 %	13 M $
Robert W. Baird & Co., Inc. (Equity) 1.647 %	543,260	1.647 %	8 M $
RBC Trust Co. Delaware Ltd. 1.582 %	521,791	1.582 %	8 M $
Advisors Asset Management, Inc. 0.8212 %	270,825	0.8212 %	4 M $
Wells Fargo Advisors Financial Network LLC 0.7972 %	262,905	0.7972 %	4 M $
Relative Value Partners Group LLC 0.7260 %	239,438	0.7260 %	3 M $
Advisor Partners II LLC 0.5983 %	197,311	0.5983 %	3 M $

Guggenheim Active Allocation Fund

227 West Monroe Street

60606, Chicago

+312 827 0100

address Guggenheim Active Allocation Fund(GUG)

Financials

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Collective Investments

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	1st Jan change	Capi.
GUGGENHEIM ACTIVE ALLOCATION FUND	+2.46%	498M
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NORTH AMERICAN FINANCIAL 15 SPLIT CORP.	+30.84%	223M
DIVIDEND GROWTH SPLIT CORP.	+19.92%	194M
IMMORENTE INVEST S.A.	+1.72%	86.45M
PREMIUM INCOME CORPORATION	-16.87%	50.51M

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