Insider · CIK 0001277343

FRIEDRICH ROMAN III

Reports to the SEC for 9 companies · VANCOUVER, A1

sec.gov

Transactions

Companies

Filings

CIK

0001277343

Forms 4 and 5

Insider transactions

25 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2019-05-07	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+1,090 sh	$20.16	+$22K	5,075.44
2019-05-07	Guggenheim Credit Allocation FundP Purchase	Director, Trustee	PPurchase	+1,060 sh	$20.60	+$21.8K	3,057
2019-03-19	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+158 sh	$19.64	+$3,103.91	3,916
2019-03-07	Guggenheim Credit Allocation FundP Purchase	Director, Trustee	PPurchase	+1,095 sh	$21.20	+$23.2K	1,997
2018-09-06	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+150 sh	$22.19	+$3,328.5	3,558
2018-07-17	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+850 sh	$21.35	+$18.1K	3,361
2018-03-29	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+740 sh	$20.20	+$14.9K	2,434
2017-11-28	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+135 sh	$21.64	+$2,921.063	1,640
2017-07-20	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+500 sh	$21.07	+$10.5K	1,461
2016-08-25	Guggenheim Credit Allocation FundP Purchase	Director, Trustee	PPurchase	+452 sh	$22.10	+$9,989.2	902
2014-08-28	Guggenheim Credit Allocation FundP Purchase	Director, Trustee	PPurchase	+250 sh	$24.27	+$6,068	450
2013-12-26	FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUNDS Sale	Director, Trustee	SSale	−282 sh	$25.30	−$7,134.6	0
2013-12-26	GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustS Sale	Director, Trustee	SSale	+355 sh	$19.66	+$6,979.3	0
2013-12-26	GUGGENHEIM ENHANCED EQUITY STRATEGY FUNDS Sale	Director, Trustee	SSale	−147 sh	$18.47	−$2,715.09	0
2013-11-25	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+100 sh	$21.48	+$2,148.2	1,052
2013-09-03	Guggenheim Credit Allocation FundP Purchase	Director, Trustee	PPurchase	+200 sh	$23.73	+$4,746.8	200
2013-06-24	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+234 sh	$21.31	+$4,985.721	763
2013-04-16	FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUNDP Purchase	Director, Trustee	PPurchase	+270 sh	$25.81	+$6,969.375	270
2013-04-12	FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUNDP Purchase	Director, Trustee	PPurchase	+270 sh	$25.81	+$6,969.375	270
2012-12-27	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+225 sh	$21.10	+$4,747.5	505
2012-12-27	GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustP Purchase	Director, Trustee	PPurchase	+215 sh	$22.72	+$4,884.8	355
2012-12-21	GUGGENHEIM ENHANCED EQUITY STRATEGY FUNDP Purchase	Director, Trustee	PPurchase	+100 sh	$17.16	+$1,716	147
2012-02-23	GBABGuggenheim Taxable Municipal Bond & Investment Grade Debt TrustP Purchase	Director, Trustee	PPurchase	+140 sh	$21.93	+$3,070.2	140
2011-04-04	GOFGUGGENHEIM STRATEGIC OPPORTUNITIES FUNDP Purchase	Director, Trustee	PPurchase	+280 sh	$21.04	+$5,891.2	280
2005-12-02	GUGGENHEIM ENHANCED EQUITY STRATEGY FUNDP Purchase	Director, Trustee	PPurchase	+200 sh	$18.30	+$3,660	200

Recent filings

Accepted (ET)
May 84
FRIEDRICH ROMAN III0001179110-19-005730
SEC(opens sec.gov)
May 84
FRIEDRICH ROMAN III0001179110-19-005731
SEC(opens sec.gov)
Mar 194
FRIEDRICH ROMAN III0001179110-19-004030
SEC(opens sec.gov)
Mar 74
FRIEDRICH ROMAN III0001179110-19-003499
SEC(opens sec.gov)
Sep 64
FRIEDRICH ROMAN III0001179110-18-011134
SEC(opens sec.gov)
Jul 244
FRIEDRICH ROMAN III0001179110-18-009880
SEC(opens sec.gov)
Mar 294
FRIEDRICH ROMAN III0001179110-18-004906
SEC(opens sec.gov)
Dec 54
FRIEDRICH ROMAN III0001179110-17-014946
SEC(opens sec.gov)
Jul 214
FRIEDRICH ROMAN III0001179110-17-010571
SEC(opens sec.gov)
Aug 294
Guggenheim Credit Allocation Fund0001179110-16-029036
SEC(opens sec.gov)
Aug 294
Guggenheim Credit Allocation Fund0001179110-14-013415
SEC(opens sec.gov)
Mar 204
FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND0001179110-14-005614
SEC(opens sec.gov)
Mar 204
Guggenheim Build America Bonds Managed Duration Trust0001179110-14-005612
SEC(opens sec.gov)
Mar 204
GUGGENHEIM ENHANCED EQUITY STRATEGY FUND0001179110-14-005613
SEC(opens sec.gov)
Nov 264
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND0001179110-13-017051
SEC(opens sec.gov)
Sep 44
Guggenheim Credit Allocation Fund0001179110-13-013808
SEC(opens sec.gov)
Jun 254
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND0001179110-13-010833
SEC(opens sec.gov)
Apr 194/A
FRIEDRICH ROMAN III0001179110-13-006963
SEC(opens sec.gov)
Apr 164
FRIEDRICH ROMAN III0001179110-13-006829
SEC(opens sec.gov)

Companies

Address

200 BURRARD STREET, SUITE 1680

VANCOUVER, A1, V6C 3L6