Security key
40170T106
Guggenheim Active Allocation Fund - Common Shares (GUG)
CUSIP: 40170T106
Q4 2022 13F Holders as of 31 Dec 2022
- Security type / class
- Equity / Common Shares
- Total 13F shares
- 7,977,928
- Total 13F value
- $248,647,424
- Share change
- +1,852,618
- SEC-reported price per share
- $13.45
- Number of holders
- 34
- Value change
- +$28,591,219
- Number of buys
- 24
- Number of sells
- 11
- Shares outstanding
- 33,067,810
Holder snapshot
6 signals
Security identity
Names, identifiers, and filing context for this profile.
1 source field
Report period
Q4 2022
Institutions
34
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
15/15
Latest evidence
30 Sep 2022
13F
Lead comparable stake: 7.4%
Showing 1-6 of 15 holder rows.
Quick read
MORGAN STANLEY leads the comparable SEC ownership view at 7.4%.
15 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.
Comparable ownership
Top 5
MORGAN STANLEY
7.4%
BANK OF AMERICA CORP /DE/
2.2%
RIVERNORTH CAPITAL MANAGEMENT, LLC
1.9%
COHEN & STEERS, INC.
1.4%
Penserra Capital Management LLC
1.2%
Ownership % is shown only when SEC disclosures are safely comparable across share classes.
Detailed SEC evidence table Showing 1-6 of 15 holder rows
| Holder | Evidence | Ownership % | Position | 12M Net Δ | As of |
|---|---|---|---|---|---|
| MORGAN STANLEY |
13F
Company
|
7.4%
|
$31,427,000
2,438,105 shares
|
— | 30 Sep 2022 |
| BANK OF AMERICA CORP /DE/ |
13F
Company
|
2.2%
|
$9,470,000
734,710 shares
|
— | 30 Sep 2022 |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
Company
|
1.9%
|
$7,865,000
613,038 shares
|
— | 30 Sep 2022 |
| COHEN & STEERS, INC. |
13F
Company
|
1.4%
|
$6,059,000
470,044 shares
|
— | 30 Sep 2022 |
| Penserra Capital Management LLC |
13F
Company
|
1.2%
|
$5,113,000
396,732 shares
|
— | 30 Sep 2022 |
| CORRADO ADVISORS, LLC |
13F
Company
|
0.68%
|
$2,915,000
226,182 shares
|
— | 30 Sep 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 Q4 2022
Investor-level positions for this CUSIP, loaded as an interactive table.
Institutions
34
Shares
7,977,928
Rows available
34
| 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 Q4 2022 vs Q1 2026 Across Filers
Q1 2026 holders
44
Q4 2022 holders
34
Holder diff
-10
| Investor | Q1 2026 Shares | Q4 2022 Shares | Share Diff | Share Chg % | Q1 2026 value | Q4 2022 value | Value change | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend