$GUG

$13.83 +$0.08 (0.58%) Close

$GUG Overview Financial Statements SEC Filings Executives News Red Flags Capital Raising Ownership Insider Transactions Congressional Trades

Ownership

13F as of Q2 2026 · 33.0M shares outstanding

Who owns GUG?

By type of holder

Institutions 34.6% Insiders 0.2% Everyone else 65.1%

Concentration Top 10 holders own 29.7%

Morgan Stanley 8.7% · Bank Of America Corp /de/ 2.9%

Institutional ownership

34.6%

+2.6 pts vs last qtr

Institutional holders

+2 vs last qtr

Net shares bought

+860.1K

by institutions in Q2 2026

New / sold out

9 / 7

positions opened vs closed

How is ownership changing?

Institutions, last 8 quarters

Biggest buyers in Q2 2026

Atlas Wealth LLC NEW +848.5K
Wells Fargo & Company/mn +369.1K

Biggest sellers in Q2 2026

Pathstone Holdings, LLC −517.8K
Focus Partners Wealth SOLD OUT −75.7K

Who is planning to sell?

No insider has filed a notice of proposed sale (Form 144) for Guggenheim Active Allocation Fund in the last 12 months.

Is your stake being diluted?

There are not yet two fiscal years of reported share counts for Guggenheim Active Allocation Fund.

How patient are the owners?

Institutional shares by how long they've been held

5+ years0% 3–5 years74% 1–3 years14% Under 1 year12%

Quarterly turnover

12.4%

of institutional shares changed hands

Top 10 managers, median time held

4.3 years

Super Investors

Investment managers reporting GUG on Form 13F

Holder	Shares	% of company	Change vs last qtr	Held since	% of their book
MS Morgan Stanley	2.9M	8.69%	+27.2K (+1.0%)	2021	0.0%
Shares held by quarter Peak holding2.9M (Q2'26) Change over 8 quarters+829.6K Share of the company8.690% Morgan Stanley's full portfolio →
BO Bank Of America Corp /de/	960.1K	2.91%	+45.2K (+4.9%)	2021	0.0%
Shares held by quarter Peak holding960.1K (Q2'26) Change over 8 quarters+360.3K Share of the company2.910% Bank Of America Corp /de/'s full portfolio →

Morgan Stanley

2.9M

% of company

8.69%

Change vs last qtr

+27.2K (+1.0%)

Held since

2021

Bank Of America Corp /de/

960.1K

% of company

2.91%

Change vs last qtr

+45.2K (+4.9%)

Held since

2021

28 more super investors behind a free account

See every manager holding Guggenheim Active Allocation Fund, how their position has changed, and how long they've held it.

Institutional Funds

Mutual funds and ETFs reporting GUG on Form N-PORT; together they hold 4.5% of the company

Fund	Position value	Shares	% of company	% of the fund	As of
GS Guggenheim Strategic Opportunities Fund Guggenheim Strategic Opportunities Fund	$15.1M	950.0K	2.88%	0.63%	February 27, 2026
CS Cohen & Steers Closed-End Opportunity Fund, Inc. Cohen & Steers Closed-End Opportunity Fund, Inc.	$8.25M	516.2K	1.57%	2.17%	June 30, 2026

Guggenheim Strategic Opportunities Fund

Position value

$15.1M

% of company

2.88%

% of the fund

0.63%

As of

February 27, 2026

Cohen & Steers Closed-End Opportunity Fund, Inc.

Position value

$8.25M

% of company

1.57%

% of the fund

2.17%

As of

June 30, 2026

Insiders and 5%+ holders

From Forms 3/4/5 and Schedules 13D/G

Holder	Shares	% of company	Change vs last qtr	8 quarters	Held since	% of their book
BR Barnes Randall C Insider	62.3K	0.19%	—	—	—	—
Insider holdings come from Form 3/4/5 filings, which are not quarterly. Share of the company0.190% Barnes Randall C's insider activity →
TR Toupin Ronald E JR Insider	13.6K	0.04%	—	—	—	—
Insider holdings come from Form 3/4/5 filings, which are not quarterly. Share of the company0.040% Toupin Ronald E JR's insider activity →

Barnes Randall C

Insider

62.3K

% of company

0.19%

Change vs last qtr

—

Held since

—

Toupin Ronald E JR

Insider

13.6K

% of company

0.04%

Change vs last qtr

—

Held since

—

1 more holders behind a free account

See every insider and 5%+ holder of Guggenheim Active Allocation Fund.

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