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AI brief of an SEC Form 8-K · Guggenheim Active Allocation Fund (GUG)

Guggenheim Active Allocation Fund moves administration and custody work to BNY

Neutral Impact 1 of 5 product/contract Written later

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.

Key points

  • 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

The filing

CompanyGuggenheim Active Allocation Fund (GUG)
Form8-K, current report
Filed with the SECDec 15, 2025, 5:03 PM ET
Accession number0001821268-25-000268

Items reported: 1.01 Material Definitive Agreement1.02 Termination of Material Agreement

Read the filing on SEC.gov ↗

Written by AI on Nov 9, 2026, 11:44 AM ET, from this filing only. Written later: this filing was briefed after the fact, when past filings were added to the site, so the brief may be read with hindsight; the filing itself is the record of what was known on December 15, 2025.

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.