Guggenheim Active Allocation Fund — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| NYBERG RONALD | — | Purchase | 321 | $15.53 | $4,985 | 2,426 | Dec 18, 2025 |
| NYBERG RONALD | — | Purchase | 1,305 | $15.15 | $19,771 | 2,105 | May 5, 2025 |
| TOUPIN RONALD E JR | — | Purchase | 1,500 | $15.10 | $22,650 | 13,617 | Apr 1, 2025 |
| Barnes Randall C | — | Sale | 500 | $16.45 | $8,225 | 65,322 | Oct 3, 2024 |
| Brock-Kyle Angela | — | Purchase | 2 | $15.93 | $32 | 3,356 | Sep 3, 2024 |
| TOUPIN RONALD E JR | — | Purchase | 194 | $14.65 | $2,842 | 11,046 | Apr 1, 2024 |
| Barnes Randall C | — | Purchase | 385 | $14.50 | $5,583 | 65,822 | Jan 30, 2024 |
| TOUPIN RONALD E JR | — | Purchase | 200 | $14.67 | $2,934 | 10,592 | Dec 29, 2023 |
| Barnes Randall C | — | Purchase | 5,880 | $13.92 | $81,850 | 65,437 | Dec 13, 2023 |
| Barnes Randall C | — | Purchase | 2,000 | $14.07 | $28,140 | 59,557 | Dec 8, 2023 |
| Barnes Randall C | — | Purchase | 7,725 | $14.12 | $109,077 | 57,557 | Dec 7, 2023 |
| Barnes Randall C | — | Purchase | 14,705 | $14.01 | $206,017 | 49,832 | Dec 6, 2023 |
| Barnes Randall C | — | Purchase | 6,000 | $13.92 | $83,520 | 35,127 | Dec 5, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 200 | $13.73 | $2,746 | 10,306 | Nov 30, 2023 |
| Barnes Randall C | — | Purchase | 1,000 | $13.85 | $13,850 | 29,127 | Nov 30, 2023 |
| Barnes Randall C | — | Purchase | 1,000 | $12.99 | $12,990 | 28,127 | Oct 31, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 220 | $13.04 | $2,869 | 10,020 | Oct 31, 2023 |
| Brock-Kyle Angela | — | Purchase | 775 | $12.90 | $9,998 | 2,244 | Oct 23, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 215 | $13.54 | $2,911 | 9,711 | Sep 29, 2023 |
| Barnes Randall C | — | Purchase | 1,784 | $13.58 | $24,227 | 27,127 | Sep 29, 2023 |
| Barnes Randall C | — | Purchase | 1,390 | $13.98 | $19,432 | 25,343 | Sep 5, 2023 |
| Barnes Randall C | — | Purchase | 333 | $14.10 | $4,695 | 23,953 | Sep 1, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 202 | $14.10 | $2,848 | 9,414 | Sep 1, 2023 |
| Barnes Randall C | — | Purchase | 1,729 | $14.16 | $24,483 | 23,620 | Aug 1, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 202 | $14.23 | $2,874 | 9,134 | Jul 31, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 202 | $14.30 | $2,889 | 8,858 | Jul 5, 2023 |
| Barnes Randall C | — | Purchase | 1,645 | $14.36 | $23,622 | 21,891 | Jul 1, 2023 |
| Barnes Randall C | — | Purchase | 310 | $13.80 | $4,278 | 20,246 | Jun 7, 2023 |
| Barnes Randall C | — | Purchase | 1,400 | $13.75 | $19,250 | 19,936 | Jun 1, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 215 | $13.90 | $2,989 | 8,584 | Jun 1, 2023 |
| Barnes Randall C | — | Purchase | 1,146 | $14.11 | $16,170 | 18,536 | May 1, 2023 |
| Barnes Randall C | — | Purchase | 500 | $14.08 | $7,040 | 17,390 | Apr 28, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 200 | $14.03 | $2,806 | 8,297 | Apr 28, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 250 | $14.18 | $3,545 | 8,029 | Apr 6, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 245 | $13.98 | $3,425 | 7,711 | Mar 13, 2023 |
| Barnes Randall C | — | Purchase | 1,610 | $14.27 | $22,975 | 16,890 | Mar 10, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 189 | $15.07 | $2,848 | 7,405 | Feb 3, 2023 |
| Barnes Randall C | — | Purchase | 1,540 | $14.85 | $22,869 | 15,280 | Feb 1, 2023 |
| TOUPIN RONALD E JR | — | Purchase | 1 | $13.45 | $13 | 7,157 | Dec 30, 2022 |
| Barnes Randall C | — | Purchase | 1,645 | $13.49 | $22,191 | 13,740 | Dec 30, 2022 |
| Barnes Randall C | — | Purchase | 2,400 | $13.73 | $32,952 | 12,095 | Dec 21, 2022 |
| Barnes Randall C | — | Purchase | 2,030 | $13.87 | $28,156 | 9,695 | Dec 20, 2022 |
| Brock-Kyle Angela | — | Purchase | 353 | $14.16 | $5,000 | 1,353 | Dec 2, 2022 |
| Brock-Kyle Angela | — | Purchase | 0 | $14.21 | $1 | 1,353 | Dec 2, 2022 |
| Barnes Randall C | — | Purchase | 1,560 | $13.80 | $21,528 | 7,665 | Nov 30, 2022 |
| Barnes Randall C | — | Purchase | 2,860 | $14.01 | $40,069 | 6,105 | Nov 28, 2022 |
| NYBERG RONALD | — | Purchase | 800 | $13.57 | $10,856 | 800 | Nov 1, 2022 |
| Barnes Randall C | — | Purchase | 1,565 | $13.60 | $21,284 | 3,245 | Nov 1, 2022 |
| Barnes Randall C | — | Purchase | 270 | $13.05 | $3,524 | 1,680 | Oct 25, 2022 |
| TOUPIN RONALD E JR | — | Purchase | 145 | $13.67 | $1,982 | 5,729 | Oct 12, 2022 |