Latest Period
Q1 2026
Security Snapshot
Guggenheim Active Allocation Fund - Common Shares (GUG) Institutional Ownership
CUSIP: 40170T106
13F Institutional Holders and Ownership History from Q4 2021 to Q2 2026
Institutions Reporting
44
Shares (Excl. Options)
10,565,750
Price
$15.22
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- Security type / class
- Equity / Common Shares
- Symbol
- GUG on NYSE
- All holders as of 31 Mar 2026
- Q1 2026
- Total 13F shares
- 10,565,750
- Total 13F value
- $160,811,023
- Portfolio coverage rank
- 0%
- Share change
- -214,897
- Value change
- -$3,315,414
- Number of holders
- 44
- Shares outstanding
- 33,067,810
- SEC-reported price per share
- $15.98
- Insider filing price
- $15.98
Latest holder snapshot
5 signals
Issuer context
Names, identifiers, and filing context for this profile.
3 identity fields
13F Shares, Excluding Options vs Price
13F Value, Excluding Options
Total Investors
Key facts
- GUG - Guggenheim Active Allocation Fund - Common Shares is tracked under CUSIP 40170T106.
- 44 institutions reported positions in Q1 2026.
- 1 significant owner is listed from Schedule 13D/13G reporting.
Change
- Holder count moved from 44 to 12 between Q1 2026 and Q2 2026.
- SEC-reported value moved from $160,811,023 to $18,544,342.
Research use
- You can quickly see who holds this security, then open quarter and manager detail pages for full evidence.
- 13F and Schedule 13D/13G sections are kept together so you can cross-check institutional and beneficial ownership context.
Evidence
Source: SEC Form 13F
Open SEC evidence
Latest holder context comes from 44 institutions filings for Q1 2026.
Security key
40170T106
Latest holder period
Q1 2026
13F holders
44
13D/G owners
1
CIK / CUSIP context first
Open Q1 2026 holders
GUG full holder history
Guggenheim Active Allocation Fund SEC filings
Guggenheim Active Allocation Fund insider transactions
Broader feeds
Recent Quarterly Holder Reports
Open recent reporting periods for CUSIP 40170T106:
13D/G owners
Significant owners
Large-stake holder rows connected to Schedule 13D/G evidence.
Rows
1
Security
GUG
| 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 31 Mar 2026, 44 institutional investors reported holding 10,565,750 shares of Guggenheim Active Allocation Fund - Common Shares (GUG). This represents 32% of the company’s total 33,067,810 outstanding shares.
13F concentration
Top 25 institutional shareholders
Largest 13F positions for this security by reported shares and value.
Top holder share
31%
| Institution | Ownership % | Shares Held | Share Change % | Portfolio % | Holdings Value |
|---|---|---|---|---|---|
| MORGAN STANLEY | 8.6% | 2,838,748 | +2% | 0% | $43,205,753 |
| GUGGENHEIM CAPITAL LLC | 2.9% | 950,000 | 0% | 0.12% | $14,459,000 |
| BANK OF AMERICA CORP /DE/ | 2.8% | 914,964 | +3.4% | 0% | $13,925,747 |
| Pathstone Holdings, LLC | 2.7% | 888,872 | -8.9% | 0.05% | $13,528,637 |
| COHEN & STEERS, INC. | 2.6% | 848,149 | +13% | 0.02% | $12,909,000 |
| Advisors Asset Management, Inc. | 2.4% | 804,347 | -3.8% | 0.2% | $12,242,161 |
| Baird Financial Group, Inc. | 2.2% | 730,304 | +3.1% | 0.02% | $11,115,227 |
| RAYMOND JAMES FINANCIAL INC | 2.1% | 708,954 | +9.4% | 0% | $10,790,279 |
| ROYAL BANK OF CANADA | 1.5% | 500,014 | +3.2% | 0% | $7,610,000 |
| WELLS FARGO & COMPANY/MN | 0.9% | 296,593 | +7.3% | 0% | $4,514,144 |
| Steward Partners Investment Advisory, LLC | 0.45% | 150,120 | +9.3% | 0.01% | $2,284,820 |
| Closed-End Fund Advisors, Inc. | 0.32% | 106,688 | -3.4% | 1.7% | $1,623,791 |
| Invesco Ltd. | 0.26% | 84,958 | +8.4% | 0% | $1,293,061 |
| Focus Partners Wealth | 0.23% | 75,699 | -47% | 0% | $1,152,140 |
| OPPENHEIMER & CO INC | 0.2% | 66,963 | -5.7% | 0.01% | $1,019,177 |
| Ascentis Independent Advisors | 0.15% | 48,577 | +1.9% | 0.06% | $739,335 |
| STIFEL FINANCIAL CORP | 0.15% | 48,126 | -0.32% | 0% | $732,481 |
| Cetera Investment Advisers | 0.13% | 43,694 | +60% | 0% | $665,026 |
| ENVESTNET ASSET MANAGEMENT INC | 0.12% | 40,772 | +30% | 0% | $620,543 |
| OSAIC HOLDINGS, INC. | 0.12% | 39,722 | -13% | 0% | $604,584 |
| LPL Financial LLC | 0.12% | 38,907 | +46% | 0% | $592,166 |
| Concurrent Investment Advisors, LLC | 0.12% | 38,421 | +5.3% | 0.01% | $584,766 |
| World Investment Advisors | 0.1% | 32,529 | +5% | 0.01% | $495,092 |
| JOURNEY STRATEGIC WEALTH LLC | 0.1% | 31,939 | +14% | 0.01% | $486,112 |
| Aviance Capital Partners, LLC | 0.1% | 31,667 | +0.15% | 0.06% | $481,976 |
Quarter history
Institutional holders across reporting periods
Holder count, reported shares/value, and median price by quarter.
Periods
19
Latest
Q1 2026
Rows shown
1-19 of 19
| Period | 13F Shares, Excl. Options | Value, Excl. Options | Value Change | Price (Median) | Investors |
|---|---|---|---|---|---|
| 2026 Q2 | 1,160,475 | $18,544,342 | +$15,147,400 | $15.98 | 12 |
| 2026 Q1 | 10,565,750 | $160,811,023 | -$3,315,414 | $15.22 | 44 |
| 2025 Q4 | 10,794,793 | $165,218,721 | +$3,637,676 | $15.33 | 53 |
| 2025 Q3 | 10,454,989 | $163,106,520 | +$2,202,974 | $15.60 | 51 |
| 2025 Q2 | 10,312,968 | $161,295,435 | +$11,928,145 | $15.64 | 49 |
| 2025 Q1 | 9,526,260 | $143,609,096 | +$6,149,113 | $15.07 | 51 |
| 2024 Q4 | 9,310,438 | $138,450,521 | +$9,350,790 | $14.87 | 57 |
| 2024 Q3 | 8,396,579 | $141,118,847 | -$689,046 | $16.55 | 49 |
| 2024 Q2 | 8,432,107 | $125,959,246 | +$2,805,528 | $14.93 | 51 |
| 2024 Q1 | 8,261,176 | $121,300,978 | -$22,423,244 | $14.71 | 50 |
| 2023 Q4 | 9,786,841 | $143,467,071 | +$18,066,769 | $14.66 | 44 |
| 2023 Q3 | 8,421,426 | $113,690,255 | -$1,805,683 | $13.50 | 41 |
| 2023 Q2 | 8,525,955 | $122,382,368 | +$3,231,961 | $14.36 | 37 |
| 2023 Q1 | 8,301,926 | $116,298,281 | +$4,571,324 | $14.04 | 36 |
| 2022 Q4 | 7,977,928 | $248,647,424 | +$28,591,219 | $13.45 | 34 |
| 2022 Q3 | 5,550,698 | $71,511,000 | +$8,181,798 | $12.89 | 30 |
| 2022 Q2 | 4,927,646 | $69,972,000 | +$22,100,307 | $14.20 | 22 |
| 2022 Q1 | 3,368,217 | $57,712,000 | +$36,637,755 | $17.13 | 14 |
| 2021 Q4 | 1,226,109 | $24,473,000 | +$24,473,000 | $19.96 | 5 |