Guggenheim Funds Announce Joint Annual Meeting of Shareholders

TL;DR

<b>Guggenheim's GBAB, GOF, and GUG Funds to Hold Joint Annual Shareholder Meeting on April 4, 2024.</b>

AI Summary

GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) filed a Proxy Statement (DEF 14A) with the SEC on March 4, 2024. The Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (GBAB), Guggenheim Strategic Opportunities Fund (GOF), and Guggenheim Active Allocation Fund (GUG) are holding a joint annual meeting of shareholders on April 4, 2024. The filing is a Definitive Proxy Statement (DEF 14A) filed under the 1934 Act. The registrants are Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (Central Index Key: 0001495825), Guggenheim Active Allocation Fund (Central Index Key: 0001864208), and Guggenheim Strategic Opportunities Fund (Central Index Key: 0001380936). All three funds are incorporated in Delaware and have their principal business address at 227 West Monroe Street, Chicago, Illinois. No filing fee was required for this proxy statement.

Why It Matters

For investors and stakeholders tracking GUGGENHEIM STRATEGIC OPPORTUNITIES FUND, this filing contains several important signals. This joint filing indicates coordinated corporate governance and communication efforts across multiple Guggenheim-managed funds. Shareholders of GBAB, GOF, and GUG should review the proxy statement for important information regarding the annual meeting and any proposals to be voted upon.

Risk Assessment

Risk Level: low — GUGGENHEIM STRATEGIC OPPORTUNITIES FUND shows low risk based on this filing. The filing is a routine proxy statement for an annual meeting, with no immediate financial or operational risks indicated.

Analyst Insight

Shareholders should review the proxy materials for details on the annual meeting and any voting matters.

Key Numbers

• 2024-04-04 — Annual Meeting Date (Joint annual meeting of shareholders for GBAB, GOF, and GUG)
• DEF 14A — Filing Type (Schedule 14A Proxy Statement)
• 1934 Act — SEC Act (Securities Exchange Act of 1934)
• 0001495825 — Central Index Key (Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust)
• 0001864208 — Central Index Key (Guggenheim Active Allocation Fund)
• 0001380936 — Central Index Key (Guggenheim Strategic Opportunities Fund)

Key Players & Entities

• Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (company) — Registrant
• GBAB (company) — Ticker symbol for Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust
• Guggenheim Strategic Opportunities Fund (company) — Registrant
• GOF (company) — Ticker symbol for Guggenheim Strategic Opportunities Fund
• Guggenheim Active Allocation Fund (company) — Registrant
• GUG (company) — Ticker symbol for Guggenheim Active Allocation Fund
• 2024-04-04 (date) — Date of joint annual meeting of shareholders
• 2024-03-04 (date) — Filing date

FAQ

Key Dates

• 2024-04-04: Joint Annual Meeting of Shareholders — Shareholders will vote on matters presented by the funds.
• 2024-03-04: Filing Date — Definitive Proxy Statement filed with the SEC.

Filing Documents

• gug87110.htm (DEF 14A) — 572KB
• image_001.gif (GRAPHIC) — 2KB
• image_002.gif (GRAPHIC) — 2KB
• image_003.gif (GRAPHIC) — 2KB
• proxycardsx1x1.gif (GRAPHIC) — 1KB
• proxycardsx1x2.gif (GRAPHIC) — 1KB
• proxycardsx1x3.gif (GRAPHIC) — 1KB
• proxycardsx1x4.gif (GRAPHIC) — 1KB
• proxycardsx1x5.gif (GRAPHIC) — 1KB
• 0001821268-24-000040.txt (&nbsp;) — 590KB

From the Filing

DEF 14A 1 gug87110.htm GBAB GOF GUG UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy Statement Definitive Additional Materials Soliciting Material Pursuant to &sect;240.14a-12 GUGGENHEIM TAXABLE MUNICIPAL BOND & INVESTMENT GRADE DEBT TRUST (NYSE: GBAB) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) GUGGENHEIM ACTIVE ALLOCATION FUND (NYSE: GUG) (Name of Registrant as Specified In Its Charter) (Name of Person(s) Filing Proxy Statement, if other than the Registrant) Payment of Filing Fee (Check the appropriate box): No fee required. Fee paid previously with preliminary materials Fee computed on table in exhibit required by Item 25(b) per Exchange Act Rules 14a-6(i)(1) and 0-11 GUGGENHEIM TAXABLE MUNICIPAL BOND & INVESTMENT GRADE DEBT TRUST (NYSE: GBAB) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) GUGGENHEIM ACTIVE ALLOCATION FUND (NYSE: GUG) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF JOINT ANNUAL MEETING OF SHAREHOLDERS To be held on April 4, 2024 Notice is hereby given to the holders of common shares of beneficial interest (&ldquo;Shares&rdquo;) of each of Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (&ldquo;GBAB&rdquo;), Guggenheim Strategic Opportunities Fund (&ldquo;GOF&rdquo;) and Guggenheim Active Allocation Fund (&ldquo;GUG&rdquo;) (GBAB, GOF and GUG are each referred to herein as a &ldquo;Fund&rdquo; and collectively as the &ldquo;Funds&rdquo;) that the joint annual meeting of shareholders of the Funds (the &ldquo;Annual Meeting&rdquo;) will be held in a virtual meeting format only, on Thursday, April 4, 2024, at 10:00 a.m. (Central time). The Annual Meeting is being held for the following purposes: 1. To elect Trustees in the following manner: (a) With respect to GBAB and GUG only: (i) To elect, as Class II Trustees, the Trustee nominees (Mr. Thomas F. Lydon, Jr. and Mr. Ronald A. Nyberg) to serve until each Fund&rsquo;s 2027 annual meeting of shareholders or until their respective successors shall have been elected and qualified. (b) With respect to GOF only: (i) To elect, as Class I Trustees, the Trustee nominees (Mr. Randall C. Barnes, Ms. Angela Brock-Kyle, and Ms. Amy J. Lee) to serve until the Fund&rsquo;s 2026 annual meeting of shareholders or until their respective successors shall have been elected and qualified. 2. To transact such other business as may properly come before the Annual Meeting or any adjournments, postponements, or delays thereof. THE BOARD OF TRUSTEES (THE &ldquo;BOARD&rdquo;) OF EACH FUND UNANIMOUSLY RECOMMENDS THAT YOU VOTE &ldquo;FOR&rdquo; EACH OF THE NOMINEES FOR THE BOARD OF YOUR FUND LISTED IN THE ACCOMPANYING PROXY Further information regarding the purpose of the Annual Meeting is included in the accompanying Proxy Statement dated March 1, 2024. The Annual Meeting will be held in a virtual meeting format only. Shareholders of record on the Record Date (as defined below) for the Annual Meeting may participate in and vote at the Annual Meeting on the Internet by virtual means. To participate in the Annual Meeting, shareholders must register in advance by visiting https://www.viewproxy.com/Guggenheim/broadridgevsm/ and submitting the requested required information to Broadridge Financial Solutions, Inc. (&ldquo;Broadridge&rdquo;), the Funds&rsquo; proxy tabulator. Only shareholders of record at the close of business on February 15, 2024 (the &ldquo;Record Date&rdquo;) are entitled to notice of, and to vote at, the Annual Meeting or any adjournments, postponements, or delays thereof. Proxies are being solicited on behalf of the Board of each Fund. Shareholders whose shares are registered directly with a Fund in the shareholder&rsquo;s name will be asked to submit their name and control number found on the shareholder&rsquo;s proxy card in order to register to participate in and vote at the Annual Meeting. Shareholders whose shares are held by a broker, bank or other nominee must first obtain a &ldquo;legal proxy&rdquo; from the applicable nominee/record holder, who will then provide the shareholder with a newly-issued control number. We note that obtaining a legal proxy may take several days. Requests for registration should be received no later than 2:00 p.m., Central Time, on Wednesday, March 27, 2024, but in any event must be received by the scheduled time for commencement of the Annual Meeting, as indicated above. Once shareholders have obtained a new control number, they must visit https://www.viewproxy.com/Guggenheim/broadridgevsm/ and submit their name and newly issued control number in order to register t

View Full Filing

View this DEF 14A filing on SEC EDGAR