Every material Form 8-K Guggenheim Active Allocation Fund has filed with the SEC since April 29, 2022, read and summarized by AI: what happened, the key figures, whether it reads positive or negative for shareholders, and how big a deal it is (impact 1-5). Newest first; each brief links to its own page and to the filing on SEC.gov.
On December 15, 2025, the fund entered into new fund administration and accounting and custody agreements with The Bank of New York Mellon (BNY). The agreements replace its prior custody arrangements with BNY and its administration and accounting agreement with MUFG Investor Services (US) LLC. The filing states that no termination or other fees are payable beyond ordinary course payments, so the change does not appear to carry a direct cost to shareholders.
Administration and accounting agreement with BNY signed December 15, 2025; BNY performs administrative, bookkeeping, accounting and pricing functions for the fund
Existing administration and accounting agreement with MUFG Investor Services (US) LLC terminated, subject to certain ongoing transition services
Custody and foreign custody manager agreements with BNY replace prior agreements dated July 26, 2007
No termination or other fees payable by the fund beyond ordinary course payments under the prior agreements
On April 29, 2022, the board of Guggenheim Active Allocation Fund approved a new sub-advisory agreement that brings in Guggenheim Partners Advisors, LLC to help supervise and direct the fund's investment strategy alongside current sub-adviser GPIM. The filing says the change will not affect the fund's investment objective, investment policies or portfolio management team, and the fund will not pay GPA directly.
Board approved the new sub-advisory agreement on April 29, 2022.
GPA will assist current sub-adviser Guggenheim Partners Investment Management, LLC in supervising and directing the investment strategy.
Investment objective, investment policies and portfolio management team are not affected.
The Investment Adviser pays GPA out of the advisory fees it receives from the fund; the fund does not pay GPA.
Briefs are written by AI from the filing text and can contain mistakes — open the filing before acting on anything. Impact (1-5) and tone are the AI's reading of the filing for shareholders, not a price forecast. Not investment advice.
Only material 8-Ks get a brief: results, deals, executive changes, restructuring, impairments, delisting notices, restatements, cybersecurity incidents and other disclosed events. Routine filings (vote results, exhibits only) are skipped. Every Guggenheim Active Allocation Fund filing is on SEC EDGAR ↗. 8-K briefs of other companies →