Guggenheim Active Allocation Fund (GUG) — SEC Filings
Guggenheim Active Allocation Fund (GUG) — 5 SEC filings. Latest: 8-K (Dec 15, 2025). Includes 3 DEF 14A, 1 8-K, 1 SC 13G/A. AI-decoded analysis.
View Guggenheim Active Allocation Fund on SEC EDGAR
Overview
Guggenheim Active Allocation Fund (GUG) is a publicly traded company tracked on ReadTheFiling. The most recent enriched filing is a 8-K filed on Dec 15, 2025: Guggenheim Active Allocation Fund filed an 8-K on December 15, 2025, reporting the entry into and termination of material definitive agreements. The filing also includes financial statements and exhibits. The fund is incorporated in Delaware and its principal executive offices are located at 227 Wes
Sentiment Summary
Across 5 filings, the sentiment breakdown is: 5 neutral. The dominant filing sentiment for Guggenheim Active Allocation Fund is neutral.
Filing Type Overview
Guggenheim Active Allocation Fund (GUG) has filed 1 8-K, 3 DEF 14A, 1 SC 13G/A with the SEC between Feb 2024 to Dec 2025.
Filings by Year
Recent SEC Filings (5)
| Date | Form | Description | Risk |
|---|---|---|---|
| Dec 15, 2025 | 8-K | Guggenheim Active Allocation Fund Files 8-K | low |
| Feb 28, 2025 | DEF 14A | Guggenheim Active Allocation Fund Files Annual Proxy Statement | low |
| Mar 4, 2024 | DEF 14A | Guggenheim Funds Announce Joint Annual Meeting of Shareholders | low |
| Mar 1, 2024 | DEF 14A | Guggenheim Funds Announce Joint Annual Meeting for Three Trusts | low |
| Feb 8, 2024 | SC 13G/A | Morgan Stanley Amends Guggenheim Active Allocation Fund Stake | low |
Risk Profile
Risk Assessment: Of GUG's 5 recent filings, 0 were flagged as high-risk, 0 as medium-risk, and 5 as low-risk. The overall risk profile suggests relatively low risk with generally favorable filings.
Industry Context
The filing pertains to closed-end investment funds, which are publicly traded investment companies that issue a fixed number of shares.
Top Tags
Proxy Statement (2) · Annual Meeting (2) · Shareholder Meeting (2) · Guggenheim Funds (2) · DEF 14A (2) · material-agreement (1) · filing-update (1) · exhibits (1) · proxy-statement (1) · fund-governance (1)
Key Numbers
| Metric | Value | Context |
|---|---|---|
| SEC File Number | 811-23702 | Identifies the fund's registration with the SEC. |
| I.R.S. Employer Identification No. | 87-2512331 | Tax identification number for the fund. |
| Fiscal Year End | 0531 | Guggenheim Active Allocation Fund's fiscal year end |
| Joint Annual Meeting Date | 2024-04-04 | Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust, Guggenheim Strategic Opportunities Fund, Guggenheim Active Allocation Fund |
| Record Date | 2024-03-04 | Shareholders of record as of this date are entitled to vote |
| Filing Date | 2024-03-04 | DEF 14A filing date |
| Annual Meeting Date | 2024-04-04 | Joint annual meeting of shareholders |
| Filing Type | DEF 14A | Schedule 14A Proxy Statement |
| Accession Number | 0001821268-24-000039 | SEC filing accession number |
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Frequently Asked Questions
What are the latest SEC filings for Guggenheim Active Allocation Fund (GUG)?
Guggenheim Active Allocation Fund has 5 recent SEC filings from Feb 2024 to Dec 2025, including 3 DEF 14A, 1 8-K, 1 SC 13G/A. Each filing includes an AI-generated plain-English summary.
What is the overall sentiment of GUG filings?
Across 5 filings, the sentiment breakdown is: 5 neutral. The dominant sentiment is neutral.
Where can I find Guggenheim Active Allocation Fund SEC filings explained simply?
ReadTheFiling provides AI-powered plain-English summaries of all Guggenheim Active Allocation Fund (GUG) SEC filings, including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and insider trades.
What are the key financial highlights for Guggenheim Active Allocation Fund?
Financial highlights for Guggenheim Active Allocation Fund are available when 10-K or 10-Q filings are enriched with AI analysis. Check back as new filings are processed.
What is the investment thesis for GUG?
The investment thesis for GUG includes bull, base, and bear case scenarios derived from AI analysis of recent SEC filings.
Who are the key executives at Guggenheim Active Allocation Fund?
Executive information for Guggenheim Active Allocation Fund is extracted from SEC filings as they are enriched with AI analysis.
What are the main risk factors for Guggenheim Active Allocation Fund stock?
Of GUG's 5 assessed filings, 0 were flagged high-risk, 0 medium-risk, and 5 low-risk.
What are recent predictions and forward guidance from Guggenheim Active Allocation Fund?
Forward guidance and predictions for Guggenheim Active Allocation Fund are extracted from SEC filings as they are enriched.