Security key
40170T106
Guggenheim Active Allocation Fund - Common Shares (GUG)
CUSIP: 40170T106
Q3 2022 13F Holders as of 30 Sep 2022
- Security type / class
- Equity / Common Shares
- Total 13F shares
- 5,550,698
- Total 13F value
- $71,511,000
- Share change
- +644,426
- SEC-reported price per share
- $12.89
- Number of holders
- 30
- Value change
- +$8,181,798
- Number of buys
- 19
- Number of sells
- 8
- Shares outstanding
- 33,067,810
Holder snapshot
6 signals
Security identity
Names, identifiers, and filing context for this profile.
1 source field
Report period
Q3 2022
Institutions
30
Top holders
10
GUG full security history
Ownership snapshot
Full 13F holder table
Newer quarter: Q3 2025
Guggenheim Active Allocation Fund SEC filings
Broader feeds
Reporting periods
Holder history for CUSIP 40170T106
Recent filing periods:
Ownership snapshot
Top reported holders of GUG - Guggenheim Active Allocation Fund - Common Shares (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Start with comparable ownership when available, then verify the linked 13F, 13D/G, or 3/4/5 evidence.
Comparable stake leader
MORGAN STANLEY
Disclosed value leader
MORGAN STANLEY
Comparable rows
0/15
Latest evidence
30 Jun 2022
13F
Highest disclosed value: $35,676,000
15 rows are not safely comparable across share classes.
Showing 1-6 of 15 holder rows.
Quick read
MORGAN STANLEY has the largest disclosed position value at $35.68M.
0 of 15 rows have a safely comparable ownership percentage. Use this as a filing-backed starting point, then open the detailed table for source links, reporting role, position value, share count, and filing date.
Open SEC evidence
Opens MORGAN STANLEY's linked filing trail.
Disclosed position value
Top 5
MORGAN STANLEY
$35.68M
RIVERNORTH CAPITAL MANAGEMENT, LLC
$10.98M
BANK OF AMERICA CORP /DE/
$8.62M
COHEN & STEERS, INC.
$4.16M
CORRADO ADVISORS, LLC
$3.33M
Value bars compare disclosed positions; verify each figure against the linked filing evidence.
Detailed SEC evidence table Showing 1-6 of 15 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| MORGAN STANLEY |
13F
Company
|
—
denominator unverified
|
$35,676,000
2,512,389 shares
|
— | 30 Jun 2022 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
Company
|
—
denominator unverified
|
$10,984,000
773,521 shares
|
— | 30 Jun 2022 |
| BANK OF AMERICA CORP /DE/ |
13F
Company
|
—
denominator unverified
|
$8,620,000
607,018 shares
|
— | 30 Jun 2022 |
| COHEN & STEERS, INC. |
13F
Company
|
—
denominator unverified
|
$4,163,000
293,194 shares
|
— | 30 Jun 2022 |
| CORRADO ADVISORS, LLC |
13F
Company
|
—
denominator unverified
|
$3,333,000
234,709 shares
|
— | 30 Jun 2022 |
| Almitas Capital LLC |
13F
Company
|
—
denominator unverified
|
$1,469,000
103,464 shares
|
— | 30 Jun 2022 |
How to read this table
Rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
13F holder rows
Institutional holders as of Q3 2022
Investor-level positions for this CUSIP, loaded as an interactive table.
Institutions
30
Shares
5,550,698
Rows available
30
| Investor | Option | Weight % | Change % | SEC-reported value | * Price | Shares | Share Change | Activity | Report Period |
|---|
* SEC-reported price is the security price as of the portfolio date and can indicate the last known price at which the security was still held. The marker flags a reported price that did not pass the local price check.
Compare Q3 2022 vs Q2 2026 Across Filers
Q2 2026 holders
46
Q3 2022 holders
30
Holder diff
-16
| Investor | Q2 2026 Shares | Q3 2022 Shares | Share Diff | Share Chg % | Q2 2026 value | Q3 2022 value | Value change | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend