🕵️ Guggenheim Active Allocation Fund ($GUG)
SEC insider & ownership activity, last 12 months · CIK 1864208 · every row links its SEC filing
Over the last 12 months insiders sold $48K against $5K of open-market buying. Randall C. Barnes sold $48K in discretionary trades (Mar). No red-flag 8-Ks in the window.
Monthly net open-market insider flow, last 12 months (up = net buying)
Insider flow
1 buyer, $5K (1 lots) · 1 seller, $48K (1 lots)
| Insider | Buys | Bought | Sells | Sold | Last |
|---|---|---|---|---|---|
| Randall C. Barnes | 0 | – | 1 | $48K | Mar 6, 2026 |
| Nyberg Ronald | 1 | $5K | 0 | – | Dec 18, 2025 |
5%+ holders
| Holder | Stake | Class | Schedule | Event | |
|---|---|---|---|---|---|
| Morgan Stanley | 8.4% | 13G | Nov 7, 2025 | filing ↗ | |
| Morgan Stanley Smith Barney LLC | 8.4% | 13G | Nov 7, 2025 | filing ↗ |
Planned insider sales (Form 144)
No sale notices filed in the last 12 months.
Material events (8-K)
| Item | Event date | |
|---|---|---|
| Material agreement (1.01) | Dec 15, 2025 | filing ↗ |
| Agreement terminated (1.02) | Dec 15, 2025 | filing ↗ |
| Financial Statements and Exhibits (9.01) | Dec 15, 2025 | filing ↗ |