NYSECHICAGO, IL

Guggenheim Active Allocation Fund GUG

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No share count in the company’s recent SEC filingsCIK 1864208

Insider trades, 12 mo

1 buy · 1 sell

$47.5K sold, open market

Congress trades, 24 mo

—

No disclosed trades

13F holders, Q3 2026

13 added · 13 trimmed

13F holders

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Lobbying, 12 mo

—

No lobbying filings

Federal contracts, 12 mo

—

None matched

Ask your AI:

Latest 10-Q

What changed in Guggenheim Active Allocation Fund's latest quarterly report, compared with the one before.

We have not read a recent 10-Q for this company yet.

Insider trades

2 in 12 mo

Open-market trades from Form 4. 10b5-1 marks a plan set in advance.

No open-market insider trades reported since Mar 6, 2026. Insiders have two business days to file.

Recent insider trades

Randall C. Barnes Director	Mar 6 Form 4 ↗	Sale	−$47.5K 3,000 sh @ $15.85	-24.7%
Ronald Nyberg Director	Dec 18, 2025 Form 4 ↗	Buy	+$4,985 321 sh @ $15.53	-22.8%
Ronald Nyberg Director	May 5, 2025 Form 4 ↗	Buy	+$19.8K 1,305 sh @ $15.15	-42.8%
Ronald E. Toupin Jr. Director	Apr 1, 2025 Form 4 ↗	Buy	+$22.6K 1,500 sh @ $15.10	-44.4%
Randall C. Barnes Director	Oct 3, 2024 Form 4 ↗	Sale	−$8,225 500 sh @ $16.45	-48.7%

All GUG insider trades →Planned sales (Form 144): see notices

Insider trades

Open-market trades from Form 4. 10b5-1 marks a plan set in advance.

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13F holders

7.33M shares

35 funds report GUG. Values checked against market prices.

Q3 2026. 4 new, 13 added to, 13 trimmed, 18 exited since Q2 2026.

Top 13F holders
#
1	Morgan Stanley 13F ↗	2.67M	$37.8M	-6.9%
2	Raymond James Financial Inc 13F ↗	811,552	$11.5M	+3.9%
3	Atlas Wealth LLC 13F ↗	809,922	$11.5M	-4.5%
4	Baird Financial Group, Inc. 13F ↗	685,315	$9.7M	+1.2%
5	Advisors Asset Management, Inc. 13F ↗	549,593	$6.5M	-31.4%
6	Pathstone Holdings, LLC 13F ↗	370,033	$5.2M	-0.3%
7	Sanctuary Advisors, LLC 13F ↗	363,819	$5.1M	n/a
8	Steward Partners Investment Advisory, LLC 13F ↗	182,317	$2.6M	+4.2%
9	Focus Partners Wealth 13F ↗	113,588	$1.6M	New
10	Kestra Advisory Services, LLC 13F ↗	112,018	$1.6M	+11.4%

Download CSV Every fund that holds GUG, not only these ten. A download holds at most 10,000 rows; narrow the filters to get a smaller slice.

13F holders

Funds that report this stock, checked against market prices.

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Trades by members of Congress

Disclosed in dollar ranges, up to 45 days after the trade.

No recent congressional trades for this company.

Trades by members of Congress

Disclosed in dollar ranges, up to 45 days after the trade.

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Lobbying

What Guggenheim Active Allocation Fund and its lobbying firms report each quarter.

No recent lobbying filings for this company.

Lobbying

What Guggenheim Active Allocation Fund and its lobbying firms report each quarter.

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Institutional ownership over time

How many funds reported holding the stock at the end of each quarter, and how many shares they held between them.

Funds holding the stock

Shares they report

Funds holding the stock by quarter

Q4 2021	5	—	1.23M	$24.5M
Q1 2022	14	+9	3.37M	$57.7M
Q2 2022	21	+7	4.91M	$69.7M
Q3 2022	30	+9	5.55M	$71.5M
Q4 2022	34	+4	7.98M	$107.3M
Q1 2023	36	+2	8.56M	$120.0M
Q2 2023	37	+1	8.53M	$122.4M
Q3 2023	41	+4	8.42M	$113.7M
Q4 2023	44	+3	11.64M	$170.6M
Q1 2024	50	+6	12.18M	$178.9M
Q2 2024	51	+1	8.43M	$126.0M
Q3 2024	49	-2	8.40M	$138.2M
Q4 2024	57	+8	9.19M	$136.6M
Q1 2025	53	-4	9.53M	$143.7M
Q2 2025	51	-2	10.85M	$169.7M
Q3 2025	53	+2	10.46M	$163.2M
Q4 2025	55	+2	10.80M	$165.3M
Q1 2026	46	-9	10.57M	$160.8M
Q2 2026	48	+2	11.44M	$182.8M
Q3 2026	35	-13	7.33M	$102.5M

Each point is a quarter-end, from Q4 2021 to Q3 2026. A fund's 13F lists its long positions in US-listed securities as of the last day of the quarter and arrives up to 45 days later, so each point shows holdings at quarter-end, not on the day they were reported.

Common shares only; options and bonds are left out. When a fund amends a report, the amended version is the one counted.

The history follows the company's current CUSIP number (40170T106). If the company's shares were ever re-issued under a different CUSIP, the quarters before the change are not part of this series, so the first point (Q4 2021) can be later than the stock's first appearance in 13F reports.

Share counts are adjusted for stock splits; none took place between these quarters. Values are in dollars as reported at the time and are not adjusted.

A quarter appears once our daily update has built its summary. If a summary cannot be built, older reports are kept and the chart shows the quarters it has until the next update repairs it.

Institutional ownership over time

How many funds reported holding the stock at the end of each quarter, and how many shares they held between them.

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More filings and data

Each opens the table.

Ownership stakesNone in 12 mo 8-K eventsNone in 90 days PatentsNone on record Short interestFINRA · updated Oct 15 Planned insider salesNone in 12 mo Executive payNone on record Wikipedia attentionNone on record SEC enforcementNone on record Ownership stakes…8-K events…Patents…Short interest…Planned insider sales…Executive pay…Wikipedia attention…SEC enforcement…

About the company

The basics from the company’s SEC registration.

Legal name: Guggenheim Active Allocation Fund
Address: 227 W. MONROE STREET, CHICAGO, IL 60606
Phone: 800-345-7999
Fiscal year ends: May 31
Incorporated in: DE
Listed as: GUG (NYSE)
SEC filings: All filings on SEC EDGAR ↗

About the company

The basics from the company’s SEC registration.

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$13.76−$0.14 (−1.01%) Nov 13 close

1M3M1Y

Oct 13, 2026Low $13.66 · High $14.20Nov 13, 2026

Aug 13, 2026Low $13.66 · High $15.50Nov 13, 2026

Nov 13, 2025Low $13.66 · High $16.37Nov 13, 2026

Congress purchase Congress sale Insider sale over $1M

Adjusted for stock splits; not for dividends. Where prices come from.

Live chart

Intraday and historical prices from TradingView. Quotes may be delayed.

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Information, not investment advice. Company matching is automatic; check the source before relying on one row.