Guggenheim Active Allocation Fund
US ˙ NYSE ˙ US40170T1060

SecurityGUG / Guggenheim Active Allocation Fund
InstitutionMorgan Stanley
Latest Disclosed Ownership2,777,696 shares
Ownership 8.40%
Morgan Stanley ownership in GUG / Guggenheim Active Allocation Fund

2025-11-07 - Morgan Stanley has filed an SCHEDULE 13G/A form with the Securities and Exchange Commission (SEC) disclosing ownership of 2,777,696 shares of Guggenheim Active Allocation Fund (US:GUG). This represents 8.4 percent ownership of the company. In their previous filing dated 2025-02-04 , Morgan Stanley had reported owning 2,410,013 shares, indicating an increase of 15.26 percent.

Institutional Ownership: 13D/G Filings

This table shows a history of the 13D/G filings made by the investor and/or investor group. Note that the share values in this table are not directly comparable to any numbers shown in the 13F table (if any).

File
Date		Effective
Date		Form Prev
Shares		 Latest
Shares		 ΔShares
(Percent)		 Ownership
(Percent)		 ΔOwnership
(Percent)
2025-11-07 2025-11-07 13G/A 2,410,013 2,777,696 15.26 8.40 15.07
2025-02-04 2025-02-04 13G/A 1,819,515 2,410,013 32.45 7.30 32.73
2024-02-08 2024-02-08 13G/A 2,309,762 1,819,515 -21.23 5.50 -21.43
2023-02-09 2023-02-09 13G 2,309,762 7.00

Important Note: One of the primary uses of the 13D/G filings is to evaluate the ability of a firm to control a company (ie, the "beneficial ownership"). To that end, firms are required to report not just direct holdings in companies, but indirect holdings that they control. For investment firms, these indirect holdings can include shares in funds they manage, advisory accounts, and in the case of activist campaigns, pledged votes. Therefore, share counts listed in 13D/G filings can differ significantly than share counts listed in 13F filings.

Institutional Ownership: 13F and NPORT Filings

The Security and Class in the table below are shown exactly as filed by the investor. We do our best to track continuity of investments through acquisitions, and this will be reflected in the table as changes in names. In addition to descriptive data, performance of the investment is shown over time. To calculate quarterly performance, we first calculate cost basis of the shares purchased during the quarter, then use that to calculate gross profit. Quarterly return is Gross Profit / Starting Portfolio value.

Note that cost basis is calculated and stored in thousands, so small quarterly changes in shares frequently result in a cost basis of zero.

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Disclosed Equity Positions (from 13F/NPORT Filings)
File
Date		 Effective
Date		Form Security Class ID Avg Price
Paid (Est)		 Reported
Shares		 ΔShares ΔShares
(%)		 Reported
Value
(x1000)		 ΔValue
(%)		 Alloc
(%)		 ΔAlloc ΔAlloc (%) Cost Basis
(x1000)		 Unrealized
Gain/Loss
(x1000)
2026-05-15 2026-03-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,838,748 56,455 2.03 43,206 1.30 0.0026
2026-05-27 2025-12-31 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,782,293 4,030 0.15 42,653 -1.59 0.0025
2026-02-13 2025-12-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,782,293 4,030 42,653 0.0025
2026-05-27 2025-09-30 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,778,263 197,258 7.64 43,341 7.37 0.0026
2025-11-14 2025-09-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,778,263 197,258 43,341 0.0026
2025-08-15 2025-06-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,581,005 109,208 4.42 40,367 8.37 0.0026
2025-05-15 2025-03-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,471,797 61,784 2.56 37,250 3.94 0.0027
2025-05-15 2024-12-31 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,410,013 373,759 18.36 35,837 6.34 0.0025
2025-02-14 2024-12-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,410,013 373,759 35,837 0.0025
2025-05-14 2024-09-30 13F/A-2 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,036,254 -34,212 -1.65 33,700 9.02 0.0024
2025-02-14 2024-09-30 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,036,254 -34,212 33,700 0.0024
2024-11-14 2024-09-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,036,254 -34,212 33,700 0.0003
2025-05-14 2024-06-30 13F/A-2 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,070,466 113,051 5.78 30,912 7.36 0.0024
2024-10-17 2024-06-30 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,070,466 113,051 30,912 0.0024
2024-08-14 2024-06-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,070,466 113,051 30,912 0.0024
2024-10-17 2024-03-31 13F/A-2 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 1,957,415 137,900 7.58 28,794 7.94 0.0023
2024-08-16 2024-03-31 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 1,957,415 137,900 28,794 0.0003
2024-05-15 2024-03-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 1,957,415 137,900 28,794 0.0023
2024-08-16 2023-12-31 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 1,819,515 -316,201 -14.81 26,674 -7.48 0.0024
2024-02-13 2023-12-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 1,819,515 -316,201 26,674 0.0024
2023-11-15 2023-09-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,135,716 30,552 1.45 28,832 -4.62 0.0029
2023-08-14 2023-06-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,105,164 -35,531 -1.66 30,230 0.58 0.0030
2023-05-15 2023-03-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,140,695 -169,088 -7.32 30,055 -3.25 0.0032
2023-02-14 2022-12-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,309,783 -128,322 -5.26 31,067 -1.15 0.0035
2022-11-14 2022-09-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,438,105 -74,284 -2.96 31,427 -11.91 0.0043
2022-10-27 2022-06-30 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,512,389 79,778 3.28 35,676 -14.39 0.0046
2022-08-15 2022-06-30 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,512,389 79,778 35,676 0.0009
2022-10-27 2022-03-31 13F/A-1 GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,432,611 1,416,187 139.33 41,671 105.40 0.0056
2022-05-13 2022-03-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 2,432,611 1,416,187 41,671 0.0056
2022-02-14 2021-12-31 13F GUGGENHEIM ACTIVE ALLOC FD COMMON STOCK 40170T106 1,016,424 1,016,424 20,288 0.0025
Legend
Shares
The total number of shares held by the institution at the end of the reporting period (the effective date). This is provided in the filing.
Value
The total value of the shares as of the effective date. This is provided in the filing.
Avg. Share Price
The weighted average share price of the shares held by the institution. We use FIFO accounting to determine this price
Class
This is the security class as indicated by the filer. There are a variety of values for this field. Common values include "EC" = equity common, "EP" - equity preferred
Allocation (%)
The percent of the institution's portfolio that this position represents. This is provided in NPORT filings. For 13F filings, we calculate it.
Change in Allocation
The change in allocation from the prior reporting period. This is calculated as current allocation - prior allocation.
Change in Allocation (%)
The percent change in allocation from the prior reporting period. This is calculated as (current allocation - prior allocation) / prior allocation.
Cost Basis
The total cost of the shares held. This is calculated as reported shares * avg. share price
Unrealized Gain/Loss
This is the market value of the position as of the effective date minus the cost basis.