GUG - Guggenheim Active Allocation Fund

What this means for you

No investor has reported owning 5% or more of this fund. That is the normal state for most closed-end funds.

Nothing is required of you. If that changes, the notice appears here within a day of being filed with the regulator.

Email me if this changes

What happened, and when

Nothing on file yet. No large investor has reported a stake in this fund, and the fund has not announced a buy-back, a vote or a closing.

About this fund

• Run by Guggenheim Funds Investment Advisors, LLC. Part of the Guggenheim fund family. As of May 31, 2026, from the fund's yearly report. Original document →
• Size: about $550 million of holdings, as of May 29, 2026. As of May 29, 2026, from the fund's quarterly holdings report. Original document →
• Borrowing: the fund borrows about 39% on top of its own money, as of May 29, 2026. Borrowed money makes gains and losses bigger. As of May 29, 2026, from the fund's quarterly holdings report. Original document →
• Costs: 1.7% a year in management fees; 3.2% a year in total, including interest on borrowed money. Fiscal year ended May 31, 2026. As of May 31, 2026, from the fund's yearly report. Original document →
• Payouts: last fiscal year (ended May 31, 2026) the fund paid $1.43 a share. $0.98 of that was income; $0.45 was your own money back, not income. As of May 31, 2026, from the fund's annual report. Original document →
• Value of holdings per share at the last fiscal year end (May 31, 2026): $16.67. The shares traded at $16.20, about 2.8% below that. As of May 31, 2026, from the fund's yearly report. Original document →
• How the holdings did: up 1.6% over the last three months we have (March-May 2026), before the share price is taken into account. Over the last 12 months: +10.4%. As of May 29, 2026, from the fund's quarterly holdings report. Original document →
• How the holdings did over the fiscal year (ended May 31, 2026): the value of the holdings returned +10.4%. How the share price did: the shares returned +17.4% over the same year, counting payouts and the change in the market price. As of May 31, 2026, from the fund's annual report. Original document →
• First reported to the regulator in 2021.

What the fund holds

Mostly bonds (46%), the rest loans, mortgage bonds and asset-backed bonds. About 74% issued in the U.S.

The fund also sells options on its holdings to raise income.

1. Federal National Mortgage Association, FNMA-30YR - 11.9%
2. Derivatives - 2%
3. United States of America - Bureau of the Public Debt, B 0 06/09/26 - 1.8%
4. Lightning 2022-1 A Funded - 1.5%
5. Thunderbird 2022-1 A Funded - 1.5%
6. Hotwire Funding LLC, Hwire 2021-1 C - 1.4%
7. Australia, Commonwealth of, Acgb 4.25 03/21/36 172 - 1.3%
8. Madison Park Funding LIII Ltd / LLC, Mdpk 2022-53A E - 1.2%
9. Ftai Aircraft Leasing Fun - 1.1%
10. Obra Longevity Rff Cl A Nts Funded class A shares - 1%

As of May 29, 2026, from the fund's quarterly holdings report. Original document →