Guggenheim Active Allocation Fund
SEC CIK 1864208 · GUG · last insider filing 2026-03-09
Directors (from insider filings)
| Name | Capacity as filed | Filings |
|---|---|---|
| Barnes Randall C | Director | filed 2021 - 2026 |
| Nyberg Ronald | Director | filed 2021 - 2025 |
| Toupin Ronald E JR | Director | filed 2021 - 2025 |
| Brock-Kyle Angela | Director | filed 2021 - 2024 |
| Sponem Sandra G | Director | filed 2021 - 2022 |
| Lydon Thomas F JR | Director | filed 2021 - 2021 |
Officers (from insider filings)
| Name | Title as filed | Filings |
|---|---|---|
| Miller Elisabeth | Chief Compliance Officer | filed 2024 - 2024 |
| Rehder William | Assistant Vice President | filed 2021 - 2021 |
| Howley James | Assistant Treasurer | filed 2021 - 2021 |
| Mathiasen Mark | Secretary | filed 2021 - 2021 |
| Sullivan John Louis | CFO, Chf Acctng Off & Treas. | filed 2021 - 2021 |
| Scott Kimberly J. | Assistant Treasurer | filed 2021 - 2021 |
| Catalucci Joanna M. | Interim CCO | filed 2021 - 2021 |
| Binder Brian E. | President and CEO | filed 2021 - 2021 |
| Stone Bryan | Vice President | filed 2021 - 2021 |
| Megaris Michael P | Assistant Secretary | filed 2021 - 2021 |
| Mcwhinnie Glenn | Assistant Treasurer | filed 2021 - 2021 |
| Szafran Jon | Assistant Treasurer | filed 2021 - 2021 |
About this record
From the SEC's insider-transaction filings (Forms 3, 4 and 5). Every reporting director and officer carries a Commission-assigned identifier (CIK), so these footprints are identifier-verified - no name matching involved. Insiders file when they transact, so dates are filing dates: "last filed" never means "served until". This layer is not yet joined to the nonprofit register - identity joins ship only after independent review.
Source: SEC Insider Transactions Data Sets (Forms 3/4/5), US Federal Government public domain.