Barnes Randall C 4

What Happened
Randall C. Barnes, a director/trustee of Guggenheim Active Allocation Fund (GUG), sold 3,000 fund shares in an open-market transaction on March 6, 2026. The shares were sold at $15.85 per share for a total transaction value of $47,550. This was a sale (not a purchase or award).

Key Details

• Transaction date: 2026-03-06
• Transaction type: Open-market sale of 3,000 shares (code S)
• Price per share: $15.85; Total proceeds: $47,550
• Shares owned after transaction: Not specified in the filed Form 4 provided
• Footnotes / plans disclosed: None shown in the provided transaction details (no 10b5-1 plan or tax-withholding note disclosed)
• Filing date: Form 4 filed 2026-03-09 — filed within the standard two-business-day reporting window (timely)

Context
Sales by directors can be routine (portfolio rebalancing, liquidity needs, etc.) and do not necessarily signal a change in outlook for the fund. This report documents the disposition of shares but does not include additional context about Barnes’s total holdings or motive.