Guggenheim Investments is the global asset management and investment advisory division of Guggenheim Partners, with more than $259 billion¹ in total assets across fixed income, equity, and alternative strategies. Guggenheim focuses on the return and risk needs of insurance companies, corporate and public pension funds, sovereign wealth funds, endowments and foundations, consultants, wealth managers, and high-net-worth investors. Its 275+ investment professionals perform rigorous research to understand market trends and identify undervalued opportunities in areas that are often complex and underfollowed. This approach to investment management has enabled us to deliver innovative strategies providing diversification opportunities and attractive long-term results.
Company profile
Ticker
GUG
Exchange
Employees
Incorporated
Location
Fiscal year end
SEC CIK
GUG stock data
Latest filings (excl ownership)
DEF 14A
Definitive proxy
4 Mar 24
DEF 14A
Definitive proxy
1 Mar 24
N-CSRS
Certified semi-annual shareholder report (management investment company)
2 Feb 24
N-PX
Annual report of proxy voting record
17 Aug 23
N-CEN
Annual report (registered investment company)
14 Aug 23
N-CSR
Certified annual shareholder report (management investment company)
2 Aug 23
DEF 14A
Definitive proxy
3 Mar 23
N-CSRS
Certified semi-annual shareholder report (management investment company)
3 Feb 23
N-CSR/A
Certified annual shareholder report (management investment company) (amended)
22 Nov 22
N-PX
Annual report of proxy voting record
24 Aug 22
Latest ownership filings
4
RONALD E TOUPIN JR
1 Apr 24
SC 13G/A
MORGAN STANLEY
8 Feb 24
4
Randall C Barnes
30 Jan 24
NPORT-P
Guggenheim Active Allocation Fund (Nov 2023 report)
29 Jan 24
4
RONALD E TOUPIN JR
29 Dec 23
4
Randall C Barnes
13 Dec 23
4
Randall C Barnes
11 Dec 23
4
Randall C Barnes
8 Dec 23
4
Randall C Barnes
7 Dec 23
4
Randall C Barnes
6 Dec 23
Funds
Series | Ticker | %Monthly Return ? | $Assets | #Holdings | As of | ||
---|---|---|---|---|---|---|---|
Guggenheim Active Allocation Fund | – | -1.68 | -1.91 | 5.15 | 677.27 mm | 1,307 | Nov 2023 |
Institutional ownership, Q3 2023
25.5% owned by funds/institutions
13F holders | Current |
---|---|
Total holders | 41 |
Opened positions | 7 |
Closed positions | 2 |
Increased positions | 20 |
Reduced positions | 8 |
13F shares | Current |
---|---|
Total value | 97.10 bn |
Total shares | 8.42 mm |
Total puts | 0.00 |
Total calls | 0.00 |
Total put/call ratio | – |
Largest owners | Shares | Value |
---|---|---|
MS Morgan Stanley | 2.14 mm | $28.83 bn |
Saba Capital Management | 988.88 k | $13.35 bn |
BAC Bank Of America | 985.51 k | $13.30 bn |
Guggenheim Capital | 950.00 k | $12.83 bn |
CNS Cohen & Steers | 926.25 k | $12.50 mm |
Penserra Capital Management | 290.95 k | $3.93 mm |
WFC Wells Fargo & Co. | 259.85 k | $3.51 bn |
Relative Value Partners | 214.52 k | $2.90 bn |
Baird Financial | 206.58 k | $2.79 bn |
Corrado Advisors | 193.47 k | $2.61 bn |
Recent insider trades
Date | Owner | Security | Transaction | Code | Indirect | 10b5-1 | $Price | #Shares | $Value | #Remaining |
---|---|---|---|---|---|---|---|---|---|---|
1 Apr 24 | Toupin Ronald E JR | Common Stock | Buy | Acquire P | No | No | 14.65 | 194 | 2.84 k | 11,046.29 |
30 Jan 24 | Barnes Randall C | Common Stock | Buy | Acquire P | No | No | 14.5 | 385 | 5.58 k | 65,822 |
29 Dec 23 | Toupin Ronald E JR | Common Stock | Buy | Acquire P | No | No | 14.665 | 200 | 2.93 k | 10,591.87 |
13 Dec 23 | Barnes Randall C | Common Stock | Buy | Acquire P | No | No | 13.92 | 5,880 | 81.85 k | 65,437 |
8 Dec 23 | Barnes Randall C | Common Stock | Buy | Acquire P | No | No | 14.07 | 2,000 | 28.14 k | 59,557 |