Guggenheim Active Allocation Fund - Common Shares (GUG)

Historical Holders from Q4 2021 to Q4 2025

Type / Class
Equity / Common Shares
Symbol
GUG on NYSE
Shares outstanding
33,067,810
Price per share
$15.33
All holders as of 30 Sep 2025
Q3 2025
Total 13F shares as of 30 Sep 2025
10,454,989
Holdings value
$163,106,520
% of all portfolios
0%
Share change
+141,321
Value change
+$2,202,974
Average buys %
+0%
Average sells %
-0%
Number of holders
51
Price from insider filings
$15.53
Reported Shares, Excluding Options vs Price
Reported Value, Excluding Options
Total Investors

Significant Owners of Guggenheim Active Allocation Fund - Common Shares (GUG) based on Schedule 13D/G filings

Filer Ownership Change % Holdings Value Net Change Nb Shares Change % Reporting Name Report Period
MORGAN STANLEY 8.4% +16% $43,332,058 +$5,735,855 2,777,696 +15% Morgan Stanley 30 Sep 2025
As of 30 Sep 2025, Guggenheim Active Allocation Fund - Common Shares (GUG) has 51 institutional shareholders filing 13F forms. They hold 10,454,989 shares of 33,067,810 outstanding shares (32%) .

Top 25 institutional shareholders own 31% of the company.

Filer Ownership Nb Shares Share Change % Portfolio % Holdings Value
MORGAN STANLEY 8.4% 2,778,263 +7.6% 0% $43,340,903
GUGGENHEIM CAPITAL LLC 2.9% 950,000 0% 0.11% $14,820,000
Pathstone Holdings, LLC 2.7% 897,526 +16% 0.05% $14,001,403
Advisors Asset Management, Inc. 2.7% 894,988 +12% 0.24% $13,961,813
COHEN & STEERS, INC. 2.3% 748,149 +0.94% 0.02% $11,671,000
Baird Financial Group, Inc. 2.1% 692,164 -11% 0.02% $10,797,758
BANK OF AMERICA CORP /DE/ 2.1% 678,199 -26% 0% $10,579,899
RAYMOND JAMES FINANCIAL INC 2% 676,297 +4% 0% $10,550,224
ROYAL BANK OF CANADA 1.6% 531,688 +3.2% 0% $8,294,000
WELLS FARGO & COMPANY/MN 0.83% 275,772 +7.8% 0% $4,302,045
CORRADO ADVISORS, LLC 0.52% 172,335 +3.1% 1.4% $2,688,432
Kovitz Investment Group Partners, LLC 0.48% 160,263 -13% 0.01% $2,500,108
Steward Partners Investment Advisory, LLC 0.37% 120,933 +59% 0.01% $1,886,555
Kestra Advisory Services, LLC 0.3% 98,455 +2.3% 0.01% $1,535,896
OPPENHEIMER & CO INC 0.27% 89,495 -1.6% 0.02% $1,396,122
Invesco Ltd. 0.22% 74,097 +23% 0% $1,155,913
OSAIC HOLDINGS, INC. 0.15% 50,280 -3.8% 0% $793,110
STIFEL FINANCIAL CORP 0.15% 49,474 -25% 0% $771,798
Golden State Equity Partners 0.14% 45,330 +14% 0.12% $707,144
J.W. COLE ADVISORS, INC. 0.12% 39,399 +2.6% 0.01% $614,630
Concurrent Investment Advisors, LLC 0.11% 36,307 +30% 0.01% $566,392
Aviance Capital Partners, LLC 0.09% 30,452 +5.8% 0.06% $475,054
World Investment Advisors 0.09% 30,156 0.01% $470,434
ENVESTNET ASSET MANAGEMENT INC 0.09% 28,483 -12% 0% $444,333
JOURNEY STRATEGIC WEALTH LLC 0.08% 27,539 0% 0.01% $429,608

Institutional Holders of Guggenheim Active Allocation Fund - Common Shares (GUG) across Reporting Periods

Period Reported Shares, Excl. Options Value, Excl. Options Value Change Price Investors
2025 Q4 2,700 $41,391 $15.33 1
2025 Q3 10,454,989 $163,106,520 +$2,202,974 $15.60 51
2025 Q2 10,312,968 $161,295,435 +$11,928,139 $15.64 49
2025 Q1 9,526,260 $143,609,096 +$6,149,135 $15.07 51
2024 Q4 9,157,753 $136,280,935 +$8,117,987 $14.87 55
2024 Q3 8,396,218 $141,112,872 -$695,013 $16.55 48
2024 Q2 8,432,107 $125,959,246 +$2,805,519 $14.93 51
2024 Q1 8,261,176 $121,300,978 -$24,451,743 $14.71 50
2023 Q4 9,786,841 $143,467,071 +$22,702,290 $14.66 44
2023 Q3 8,421,426 $113,690,255 -$1,956,885 $13.50 41
2023 Q2 8,525,955 $122,382,368 +$3,231,962 $14.36 37
2023 Q1 8,301,926 $116,298,281 +$4,571,324 $14.04 36
2022 Q4 7,977,928 $107,300,951 +$24,936,630 $13.45 34
2022 Q3 5,550,698 $71,511,000 +$8,180,297 $12.89 30
2022 Q2 2,415,374 $34,298,000 +$20,969,144 $14.20 21
2022 Q1 3,368,217 $57,712,000 +$36,637,826 $17.13 14
2021 Q4 1,226,109 $24,473,000 +$24,473,022 $19.96 5