GUG insider buying and SEC filings, explained
Guggenheim Active Allocation Fund · CIK 1864208
Tracked: Forms 3/4/5, 8-K, NT · All filings on sec.gov
Insider activity in the last 12 months
Bought
$0
Insiders who bought
0
Sold (not marked 10b5-1)
$48K
Planned sales (10b5-1)
$0
Insider purchases and sales, last 12 months
| Traded | Type | What was filed | Source |
|---|---|---|---|
| Mar 6, 2026 | Sale | Randall C Barnes (Director and Trustee) sold 3,000 shares at $15.85 ($48K). Holdings down 5% to 62,322 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Mar 9, 2026 |
| Dec 18, 2025 | Purchase (code P) | Ronald Nyberg (Director and Trustee) bought 321 shares at $15.53 ($5K), reported as a purchase (code P). Holdings up 15% to 2,426 shares. Not marked as a 10b5-1 plan trade. | SEC filing Filed Dec 19, 2025 |
Cluster buys
No cluster buys in the last 12 months.
Red flags
No red flags in the last 12 months.
Key events
No key events in the last 12 months.
8-K filings, last 12 months
No 8-K filings in the last 12 months.
Red flags are objective triggers only: the item or form filed, never an opinion.
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