Guggenheim Active Allocation Fund SEC filings GUG
Guggenheim Active Allocation Fund has 168 filings in SEC EDGAR's recent list, going back to Jun 1, 2021. The most recent current report (Form 8-K) was filed on Dec 15, 2025 (material agreement, agreement ended). The company's fiscal year ends on May 31.
| Form | Description | Filed | Period |
|---|---|---|---|
| NPORT-P | Filing | Oct 30, 2026 | Aug 31, 2026 |
| 40-17G | Combined 40-17g filing | Sep 18, 2026 | — |
| N-PX | Filing | Aug 24, 2026 | Jun 30, 2026 |
| N-CEN | Filing | Aug 14, 2026 | May 31, 2026 |
| N-CSR | Gug | Aug 7, 2026 | May 31, 2026 |
| NPORT-P | Filing | Jul 22, 2026 | May 29, 2026 |
| 40-APP/A | Filing | Apr 30, 2026 | — |
| NPORT-P | Filing | Apr 29, 2026 | Feb 27, 2026 |
| 40-APP/A | Filing | Apr 13, 2026 | — |
| APP WD | Filing | Apr 13, 2026 | — |
| 40-APP | 40app | Apr 1, 2026 | — |
| 4 | Insider transaction | Mar 9, 2026 | Mar 6, 2026 |
| DEF 14A | Proxy statement | Feb 26, 2026 | Apr 2, 2026 |
| N-CSRS | Gug | Feb 3, 2026 | Nov 30, 2025 |
| NPORT-P | Filing | Jan 28, 2026 | Nov 30, 2025 |
| 4 | Insider transaction | Dec 19, 2025 | Dec 18, 2025 |
| 8-K |
Current report
Material agreement, Agreement ended
|
Dec 15, 2025 | Dec 15, 2025 |
| 40-APP | Filing | Nov 10, 2025 | — |
| SCHEDULE 13G/A | Amended ownership over 5% (passive) | Nov 7, 2025 | — |
| NPORT-P | Filing | Oct 28, 2025 | Aug 31, 2025 |
| N-PX | Filing | Aug 26, 2025 | Jun 30, 2025 |
| N-CEN | Filing | Aug 13, 2025 | May 31, 2025 |
| N-CSR | Ncsr | Aug 4, 2025 | May 31, 2025 |
| NPORT-P | Filing | Jul 29, 2025 | May 31, 2025 |
| 40-17G | Combined 40-17g filing | Jul 28, 2025 | — |
| 4 | Insider transaction | May 8, 2025 | May 5, 2025 |
| NPORT-P | Filing | Apr 25, 2025 | Feb 28, 2025 |
| 4 | Insider transaction | Apr 1, 2025 | Apr 1, 2025 |
| DEF 14A | Proxy statement | Feb 28, 2025 | Apr 3, 2025 |
| N-CSRS | Gug | Feb 5, 2025 | Nov 30, 2024 |
| SCHEDULE 13G/A | Amended ownership over 5% (passive) | Feb 4, 2025 | — |
| NPORT-P | Filing | Jan 29, 2025 | Nov 30, 2024 |
| 3 | Initial insider ownership | Dec 5, 2024 | Nov 21, 2024 |
| NPORT-P | Filing | Oct 30, 2024 | Aug 31, 2024 |
| 4 | Insider transaction | Oct 4, 2024 | Oct 3, 2024 |
| 4 | Insider transaction | Sep 3, 2024 | Sep 3, 2024 |
| N-PX | Filing | Aug 27, 2024 | Jun 30, 2024 |
| NPORT-P/A | Filing | Aug 20, 2024 | Nov 30, 2023 |
| NPORT-P/A | Filing | Aug 20, 2024 | Aug 31, 2023 |
| N-CEN | Filing | Aug 14, 2024 | May 31, 2024 |
| N-CSR | Ncsr | Aug 2, 2024 | May 31, 2024 |
| 40-17G | Combined 40-17g filing | Jul 31, 2024 | — |
| NPORT-P | Filing | Jul 29, 2024 | May 31, 2024 |
| NPORT-P | Filing | Apr 29, 2024 | Feb 29, 2024 |
| 4 | Insider transaction | Apr 1, 2024 | Apr 1, 2024 |
| DEF 14A | Proxy statement | Mar 4, 2024 | Apr 4, 2024 |
| DEF 14A | Proxy statement | Mar 1, 2024 | Apr 4, 2024 |
| SC 13G/A | Amended ownership over 5% (passive) | Feb 8, 2024 | — |
| N-CSRS | Gug | Feb 2, 2024 | Nov 30, 2023 |
| 4 | Insider transaction | Jan 30, 2024 | Jan 30, 2024 |
| NPORT-P | Filing | Jan 29, 2024 | Nov 30, 2023 |
| 4 | Insider transaction | Dec 29, 2023 | Dec 29, 2023 |
| 4 | Insider transaction | Dec 13, 2023 | Dec 13, 2023 |
| 4 | Insider transaction | Dec 11, 2023 | Dec 8, 2023 |
| 4 | Insider transaction | Dec 8, 2023 | Dec 7, 2023 |
| 4 | Insider transaction | Dec 7, 2023 | Dec 6, 2023 |
| 4 | Insider transaction | Dec 6, 2023 | Dec 5, 2023 |
| 4 | Insider transaction | Nov 30, 2023 | Nov 30, 2023 |
| 4 | Insider transaction | Nov 30, 2023 | Nov 30, 2023 |
| 4 | Insider transaction | Nov 1, 2023 | Oct 31, 2023 |
| 4 | Insider transaction | Oct 31, 2023 | Oct 31, 2023 |
| NPORT-P | Filing | Oct 25, 2023 | Aug 31, 2023 |
| 4 | Insider transaction | Oct 23, 2023 | Oct 23, 2023 |
| 4 | Insider transaction | Sep 29, 2023 | Sep 29, 2023 |
| 4 | Insider transaction | Sep 29, 2023 | Sep 29, 2023 |
| 4 | Insider transaction | Sep 5, 2023 | Sep 5, 2023 |
| 4 | Insider transaction | Sep 1, 2023 | Sep 1, 2023 |
| 4 | Insider transaction | Sep 1, 2023 | Sep 1, 2023 |
| N-PX | Gug | Aug 17, 2023 | Jun 30, 2023 |
| N-CEN | Filing | Aug 14, 2023 | May 31, 2023 |
| N-CSR | Gug | Aug 2, 2023 | May 31, 2023 |
| 4 | Insider transaction | Aug 1, 2023 | Aug 1, 2023 |
| 4 | Insider transaction | Jul 31, 2023 | Jul 31, 2023 |
| NPORT-P | Filing | Jul 27, 2023 | May 31, 2023 |
| 40-17G | Combined 40-17g filing | Jul 25, 2023 | — |
| 4 | Insider transaction | Jul 5, 2023 | Jul 5, 2023 |
| 4 | Insider transaction | Jul 3, 2023 | Jul 1, 2023 |
| 4 | Insider transaction | Jun 7, 2023 | Jun 7, 2023 |
| 4 | Insider transaction | Jun 1, 2023 | Jun 1, 2023 |
| 4 | Insider transaction | Jun 1, 2023 | Jun 1, 2023 |
| 4 | Insider transaction | May 2, 2023 | May 1, 2023 |
| 4 | Insider transaction | May 1, 2023 | Apr 28, 2023 |
| 4 | Insider transaction | Apr 28, 2023 | Apr 28, 2023 |
| NPORT-P | Filing | Apr 27, 2023 | Feb 28, 2023 |
| 4 | Insider transaction | Apr 10, 2023 | Apr 6, 2023 |
| 4 | Insider transaction | Mar 13, 2023 | Mar 13, 2023 |
| 4 | Insider transaction | Mar 10, 2023 | Mar 10, 2023 |
| DEF 14A | Proxy statement | Mar 3, 2023 | Apr 6, 2023 |
| SC 13G | Ownership over 5% (passive) | Feb 9, 2023 | — |
| N-CSRS | Gug | Feb 3, 2023 | — |
| 4 | Insider transaction | Feb 3, 2023 | Feb 3, 2023 |
| 4 | Insider transaction | Feb 1, 2023 | Feb 1, 2023 |
| NPORT-P | Filing | Jan 30, 2023 | Nov 30, 2022 |
| 4 | Insider transaction | Jan 3, 2023 | Dec 30, 2022 |
| 4 | Insider transaction | Jan 3, 2023 | Dec 30, 2022 |
| 4 | Insider transaction | Dec 22, 2022 | Dec 21, 2022 |
| 4 | Insider transaction | Dec 20, 2022 | Dec 20, 2022 |
| 4/A | Filing | Dec 5, 2022 | Dec 2, 2022 |
| 4 | Insider transaction | Dec 2, 2022 | Dec 2, 2022 |
| 4 | Insider transaction | Nov 30, 2022 | Nov 30, 2022 |
| 4 | Insider transaction | Nov 28, 2022 | Nov 28, 2022 |
| N-CSR/A | Gug | Nov 23, 2022 | May 31, 2022 |
| 4 | Insider transaction | Nov 2, 2022 | Nov 1, 2022 |
| 4 | Insider transaction | Nov 1, 2022 | Nov 1, 2022 |
| NPORT-P | Filing | Oct 27, 2022 | Aug 31, 2022 |
| 4 | Insider transaction | Oct 26, 2022 | Oct 25, 2022 |
| 4 | Insider transaction | Oct 12, 2022 | Oct 12, 2022 |
| 4 | Insider transaction | Sep 29, 2022 | Sep 29, 2022 |
| 4 | Insider transaction | Sep 22, 2022 | Sep 22, 2022 |
| 4 | Insider transaction | Sep 9, 2022 | Sep 8, 2022 |
| N-PX | Guggenheim active allocation fund | Aug 24, 2022 | Jun 30, 2022 |
| 40-17G | Combined 40-17g filing | Aug 19, 2022 | — |
| N-CEN | Filing | Aug 15, 2022 | May 31, 2022 |
| N-CSR | Gug | Aug 10, 2022 | May 31, 2022 |
| NPORT-P | Filing | Aug 1, 2022 | May 31, 2022 |
| 4 | Insider transaction | Jul 13, 2022 | Jul 13, 2022 |
| 4 | Insider transaction | Jun 21, 2022 | Jun 21, 2022 |
| 4 | Insider transaction | Jun 9, 2022 | Jun 9, 2022 |
| 8-K |
Current report
Other events
|
Apr 29, 2022 | Apr 29, 2022 |
| NPORT-P | Filing | Apr 28, 2022 | Feb 28, 2022 |
| 4 | Insider transaction | Apr 12, 2022 | Apr 12, 2022 |
| 4 | Insider transaction | Apr 5, 2022 | Apr 5, 2022 |
| 4 | Insider transaction | Mar 31, 2022 | Mar 31, 2022 |
| 4 | Insider transaction | Mar 17, 2022 | Mar 17, 2022 |
| N-CSRS | Gug | Feb 4, 2022 | Nov 30, 2021 |
| 4 | Insider transaction | Feb 2, 2022 | Feb 2, 2022 |
| NPORT-P | Filing | Jan 28, 2022 | Nov 30, 2021 |
| 40-17G | 40-17g filing for gug | Jan 18, 2022 | — |
| 4 | Insider transaction | Nov 26, 2021 | Nov 26, 2021 |
| 3 | Initial insider ownership | Nov 26, 2021 | Nov 26, 2021 |
| 3 | Initial insider ownership | Nov 26, 2021 | Nov 26, 2021 |
| 424B1 | Guggenheim active allocation | Nov 26, 2021 | — |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| 3 | Initial insider ownership | Nov 24, 2021 | Nov 24, 2021 |
| EFFECT | Filing | Nov 23, 2021 | — |
| N-2MEF | Guggenheim active allocation | Nov 23, 2021 | — |
| N-2/A | Guggenheim active allocation fund | Nov 23, 2021 | — |
| CORRESP | Letter to the SEC | Nov 22, 2021 | — |
| CERT | Nyse certification | Nov 18, 2021 | — |
| 8-A12B | Registration of certain classes of securities pursuant to section 12(b) or (g) o | Nov 17, 2021 | — |
| N-2/A | Guggenheim active allocation fund | Oct 28, 2021 | — |
| CORRESP | Letter to the SEC | Oct 27, 2021 | — |
| CORRESP | Letter to the SEC | Oct 1, 2021 | — |
| N-2/A | Guggenheim active allocation fund | Oct 1, 2021 | — |
| UPLOAD | Letter from the SEC | Jul 2, 2021 | — |
| N-2 | Guggenheim active allocation fund | Jun 1, 2021 | — |
| N-8A | Guggenheim active allocation fund | Jun 1, 2021 | — |
Showing 168 filings. Main filings leave out insider and ownership forms such as Form 4; choose a type above to see them. Each form opens on SEC.gov. Older filings are on SEC EDGAR.
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Company profile
- Listed as
- GUG (NYSE)
- Fiscal year ends
- May 31
- Incorporated in
- DE
- Headquarters
- Chicago, IL
- SEC CIK
- 1864208
Source: SEC EDGAR filings. This is company-reported data, not investment advice.