Guggenheim Active Allocation Fund (GUG)

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Ticker: GUG Exchange: NYS


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• Purchase • Sale • Planned purchase • Planned sale Net purchase Net sale
Abbreviations B: Buy, S: Sell, PP: Planned purchase, PS: Planned sale, O: Option / Other
Notification date Transaction date B/S Transaction type Insider and/or position Nb. shares
Price
Value 		Number of shares Price Total value Details
Sept. 29, 2023 Sept. 29, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,784 +7.0%
13.58
24,227 USD 		1,784 +7.0% 13.58 24,227 USD
Sept. 29, 2023 Sept. 29, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
215 +2.3%
13.54
2,911 USD 		215 +2.3% 13.54 2,911 USD
Sept. 5, 2023 Sept. 5, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,390 +5.8%
13.98
19,432 USD 		1,390 +5.8% 13.98 19,432 USD
Sept. 1, 2023 Sept. 1, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
202 +2.2%
14.10
2,848 USD 		202 +2.2% 14.10 2,848 USD
Sept. 1, 2023 Sept. 1, 2023 B Purchase

Barnes Randall C

Non-Executive Director
333 +1.4%
14.10
4,695 USD 		333 +1.4% 14.10 4,695 USD
Aug. 1, 2023 Aug. 1, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,729 +7.9%
14.16
24,483 USD 		1,729 +7.9% 14.16 24,483 USD
July 31, 2023 July 31, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
202 +2.3%
14.23
2,874 USD 		202 +2.3% 14.23 2,874 USD
July 5, 2023 July 5, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
202 +2.3%
14.30
2,889 USD 		202 +2.3% 14.30 2,889 USD
July 3, 2023 July 1, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,645 +8.1%
14.36
23,622 USD 		1,645 +8.1% 14.36 23,622 USD
June 7, 2023 June 7, 2023 B Purchase

Barnes Randall C

Non-Executive Director
310 +1.6%
13.80
4,278 USD 		310 +1.6% 13.80 4,278 USD
June 1, 2023 June 1, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,400 +7.6%
13.75
19,250 USD 		1,400 +7.6% 13.75 19,250 USD
June 1, 2023 June 1, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
215 +2.6%
13.90
2,989 USD 		215 +2.6% 13.90 2,989 USD
May 2, 2023 May 1, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,146 +6.6%
14.11
16,170 USD 		1,146 +6.6% 14.11 16,170 USD
May 1, 2023 April 28, 2023 B Purchase

Barnes Randall C

Non-Executive Director
500 +3.0%
14.08
7,040 USD 		500 +3.0% 14.08 7,040 USD
April 28, 2023 April 28, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
200 +2.5%
14.03
2,806 USD 		200 +2.5% 14.03 2,806 USD
April 10, 2023 April 6, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
250 +3.2%
14.18
3,545 USD 		250 +3.2% 14.18 3,545 USD
March 13, 2023 March 13, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
245 +3.3%
13.98
3,425 USD 		245 +3.3% 13.98 3,425 USD
March 10, 2023 March 10, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,610 +10.5%
14.27
22,975 USD 		1,610 +10.5% 14.27 22,975 USD
Feb. 3, 2023 Feb. 3, 2023 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
189 +2.6%
15.07
2,848 USD 		189 +2.6% 15.07 2,848 USD
Feb. 1, 2023 Feb. 1, 2023 B Purchase

Barnes Randall C

Non-Executive Director
1,540 +11.2%
14.85
22,869 USD 		1,540 +11.2% 14.85 22,869 USD
Jan. 3, 2023 Dec. 30, 2022 B Purchase

Barnes Randall C

Non-Executive Director
1,645 +13.6%
13.49
22,191 USD 		1,645 +13.6% 13.49 22,191 USD
Jan. 3, 2023 Dec. 30, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
1 +0.0%
13.45
13 USD 		1 +0.0% 13.45 13 USD
Jan. 3, 2023 Dec. 30, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
248 +3.6%
13.45
3,336 USD 		248 +3.6% 13.45 3,336 USD
Dec. 22, 2022 Dec. 21, 2022 B Purchase

Barnes Randall C

Non-Executive Director
2,400 +24.8%
13.73
32,952 USD 		2,400 +24.8% 13.73 32,952 USD
Dec. 20, 2022 Dec. 20, 2022 B Purchase

Barnes Randall C

Non-Executive Director
2,030 +26.5%
13.87
28,156 USD 		2,030 +26.5% 13.87 28,156 USD
Dec. 2, 2022 Dec. 2, 2022 B Purchase

Brock-Kyle Angela

Non-Executive Director
353 +35.3%
14.16
5,000 USD 		353 +35.3% 14.16 5,000 USD
Nov. 30, 2022 Nov. 30, 2022 B Purchase

Barnes Randall C

Non-Executive Director
1,560 +25.6%
13.80
21,528 USD 		1,560 +25.6% 13.80 21,528 USD
Nov. 28, 2022 Nov. 28, 2022 B Purchase

Barnes Randall C

Non-Executive Director
2,860 +88.1%
14.01
40,069 USD 		2,860 +88.1% 14.01 40,069 USD
Nov. 2, 2022 Nov. 1, 2022 B Purchase

NYBERG RONALD

Non-Executive Director
800 +inf%
13.57
10,856 USD 		800 +inf% 13.57 10,856 USD
Nov. 1, 2022 Nov. 1, 2022 B Purchase

Barnes Randall C

Non-Executive Director
1,565 +93.2%
13.60
21,284 USD 		1,565 +93.2% 13.60 21,284 USD
Oct. 26, 2022 Oct. 25, 2022 B Purchase

Barnes Randall C

Non-Executive Director
270 +19.1%
13.05
3,524 USD 		270 +19.1% 13.05 3,524 USD
Oct. 12, 2022 Oct. 12, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
1 +0.0%
13.69
10 USD 		1 +0.0% 13.69 10 USD
Oct. 12, 2022 Oct. 12, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
1,000 +17.5%
13.68
13,680 USD 		1,000 +17.5% 13.68 13,680 USD
Oct. 12, 2022 Oct. 12, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
145 +2.6%
13.67
1,982 USD 		145 +2.6% 13.67 1,982 USD
Sept. 29, 2022 Sept. 29, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
1,000 +22.0%
12.90
12,902 USD 		1,000 +22.0% 12.90 12,902 USD
Sept. 22, 2022 Sept. 22, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
1,000 +28.1%
13.90
13,900 USD 		1,000 +28.1% 13.90 13,900 USD
Sept. 9, 2022 Sept. 8, 2022 B Purchase

Barnes Randall C

Non-Executive Director
240 +20.5%
14.60
3,504 USD 		240 +20.5% 14.60 3,504 USD
July 13, 2022 July 13, 2022 B Purchase

Barnes Randall C

Non-Executive Director
170 +17.0%
14.18
2,411 USD 		170 +17.0% 14.18 2,411 USD
June 21, 2022 June 21, 2022 B Purchase

Barnes Randall C

Non-Executive Director
275 +37.9%
13.92
3,828 USD 		275 +37.9% 13.92 3,828 USD
June 9, 2022 June 9, 2022 B Purchase

SPONEM SANDRA G

Non-Executive Director
1,000 +inf%
15.04
15,040 USD 		1,000 +inf% 15.04 15,040 USD
April 12, 2022 April 12, 2022 B Purchase

Barnes Randall C

Non-Executive Director
725 +inf%
16.93
12,274 USD 		725 +inf% 16.93 12,274 USD
April 5, 2022 April 5, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
110 +3.3%
17.25
1,898 USD 		110 +3.3% 17.25 1,898 USD
March 17, 2022 March 17, 2022 B Purchase

TOUPIN RONALD E JR

Non-Executive Director
1,436 +141.5%
17.35
24,910 USD 		1,436 +141.5% 17.35 24,910 USD
Nov. 26, 2021 Nov. 26, 2021 B Purchase

Brock-Kyle Angela

Non-Executive Director
1 +0.1%
20.01
14 USD 		1 +0.1% 20.01 14 USD
Nov. 26, 2021 Nov. 26, 2021 B Purchase

Brock-Kyle Angela

Non-Executive Director
999 +inf%
20.01
19,986 USD 		999 +inf% 20.01 19,986 USD

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