Guggenheim Active Allocation Fund Files 8-K

TL;DR

Guggenheim Active Allocation Fund filed an 8-K on 12/15/25 for material agreements and exhibits.

AI Summary

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 West Monroe Street, Chicago, Illinois.

Why It Matters

This filing indicates significant corporate actions, including the execution and termination of agreements, which could impact the fund's operations and investment strategy.

Risk Assessment

Risk Level: low — The filing is a routine disclosure of corporate actions and does not inherently suggest immediate financial risk.

Key Numbers

• 811-23702 — SEC File Number (Identifies the fund's registration with the SEC.)
• 87-2512331 — I.R.S. Employer Identification No. (Tax identification number for the fund.)

Key Players & Entities

• Guggenheim Active Allocation Fund (company) — Registrant
• December 15, 2025 (date) — Date of report
• 227 West Monroe Street, Chicago, Illinois (location) — Principal executive offices

FAQ

Key Financial Figures

• $0.01 — Common Shares of Beneficial Interest, $0.01 par value GUG New York Stock Exchan

Filing Documents

• gug89492-8k.htm (8-K) — 22KB
• ex9911.htm (EX-99) — 276KB
• ex9912.htm (EX-99) — 223KB
• ex9913.htm (EX-99) — 41KB
• image_001.jpg (GRAPHIC) — 5KB
• 0001821268-25-000268.txt ( ) — 570KB

01. Entry into a Material Definitive Agreement

Item 1.01. Entry into a Material Definitive Agreement. Entry into Fund Administration and Accounting Agreement with BNY On December 15, 2025, Guggenheim Active Allocation Fund (NYSE: GOF) (the "Fund") entered into a Fund Administration and Accounting Agreement (the "FAA Agreement") with The Bank of New York Mellon ("BNY"). Pursuant to the FAA Agreement, BNY performs administrative functions and bookkeeping, accounting and pricing functions for the Fund. For these services, BNY receives a fee, accrued daily and paid monthly, based on average daily net assets of the Fund, subject to a minimum fee per year. The Fund also reimburses BNY for certain out-of-pocket expenses. The foregoing description of the FAA Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the FAA Agreement, which is filed with this report as Exhibit 1.1 and incorporated herein by reference. Entry into Custody Agreement with BNY On December 15, 2025, the Fund entered into a Custody Agreement (the "Custody Agreement") and Foreign Custody Manager Agreement ("Foreign Custody Agreement") with BNY amending and replacing the prior agreements with BNY dated July 26, 2007. Pursuant to the Custody Agreement, BNY serves as the Fund's custodian and holds securities and cash on behalf of the Fund in accordance with the Investment Company Act of 1940, as amended (the "1940 Act"). Pursuant to the Foreign Custody Agreement, BNY provides services as foreign custody manager for the Fund in connection with its services under the Custody Agreement. For its services, BNY receives a monthly fee based upon, among other things, the average daily net assets of the Fund, plus certain charges for securities transactions. The foregoing description of the Custody Agreement and Foreign Custody Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Custody Agreement and Foreign Custody Agreement, which are f

02. Termination of a Material Definitive

Item 1.02. Termination of a Material Definitive Agreement. Termination of Fund Administration and Accounting Agreement with MUFG On December 15, 2025, in conjunction with entering into the FAA Agreement, the Fund terminated its existing administration and accounting agreement with MUFG Investor Services (US) LLC ("MUFG") (the "Prior FAA Agreement"), subject to the provision of certain ongoing transition services. Other than ordinary course payments under the Prior FAA Agreement through the effective date of termination, no termination or other fees are payable by the Fund in connection with the termination of the Prior FAA Agreement. Termination of Prior Custody Agreement and Foreign Custody Agreement with BNY On December 15, 2025, in conjunction with entering into the Custody Agreement and Foreign Custody Agreement, the Fund terminated its existing custody agreement and foreign custody manager agreement with BNY (collectively, the "Prior Custody Agreements"). Other than ordinary course payments under the Prior Custody Agreements through the effective date of termination, no termination or other fees are payable by the Fund in connection with the termination of the Prior Custody Agreements.

01. Financial Statements and Exhibits

Item 9.01. Financial Statements and Exhibits. (d) Exhibits 1.1 1.2 1.3 Fund Administration and Accounting Agreement between the Fund and The Bank of New York Mellon. Custody Agreement between the Fund and The Bank of New York Mellon Foreign Custody Manager Agreement between the Fund and The Bank of New York Mellon

SIGNATURES

SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. GUGGENHEIM ACTIVE ALLOCATION FUND Date: December 15, 2025 By: /s/ Amy J. Lee _____ Name: Amy J. Lee Title: Chief Legal Officer and Vice President

View Full Filing

View this 8-K filing on SEC EDGAR