secwatch / observer
8-K filed December 15, 2025, 6:59 PM ET ticker GUG CIK 0001864208
other material confidence high sentiment neutral materiality 0.25

Guggenheim Active Allocation Fund enters new admin & custody deals with BNY, ends MUFG pact

Guggenheim Active Allocation Fund

item 1.01item 1.02item 9.01

Key facts

Extracted from this filing and checked against the source text.

Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.99

Guggenheim Active Allocation Fund entered into Custody Agreement and Foreign Custody Manager Agreement with The Bank of New York Mellon valued at BNY serves as the Fund’s custodian and holds securities and cash on behalf of the Fund; also provide (effective 2025-12-15).

Action
entry
Counterparty
The Bank of New York Mellon
Value
BNY serves as the Fund’s custodian and holds securities and cash on behalf of the Fund; also provide
Effective
2025-12-15
Exact text from the filing
On December 15, 2025, the Fund entered into a Custody Agreement (the “Custody Agreement”) and Foreign Custody Manager Agreement (“Foreign Custody Agreement”) with BNY amending and replacing the prior agreements with BNY dated July 26, 2007.
View on SEC.gov
Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.99

Guggenheim Active Allocation Fund terminated Prior Fund Administration and Accounting Agreement with MUFG Investor Services (US) LLC valued at The Fund terminated its existing administration and accounting agreement with MUFG Investor Services (effective 2025-12-15).

Action
termination
Counterparty
MUFG Investor Services (US) LLC
Value
The Fund terminated its existing administration and accounting agreement with MUFG Investor Services
Effective
2025-12-15
Exact text from the filing
On December 15, 2025, in conjunction with entering into the FAA Agreement, the Fund terminated its existing administration and accounting agreement with MUFG Investor Services (US) LLC (“MUFG”) (the “Prior FAA Agreement”), subject to the provision of certain ongoing transition services.
View on SEC.gov
Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.99

Guggenheim Active Allocation Fund entered into Fund Administration and Accounting Agreement with The Bank of New York Mellon valued at BNY performs administrative functions and bookkeeping, accounting and pricing functions for the Fund (effective 2025-12-15).

Action
entry
Counterparty
The Bank of New York Mellon
Value
BNY performs administrative functions and bookkeeping, accounting and pricing functions for the Fund
Effective
2025-12-15
Exact text from the filing
On December 15, 2025, Guggenheim Active Allocation Fund (NYSE: GOF) (the “Fund”) entered into a Fund Administration and Accounting Agreement (the “FAA Agreement”) with The Bank of New York Mellon (“BNY”).
View on SEC.gov
Material Agreements SEC 8-K Item 1.01/1.02 confidence 0.99

Guggenheim Active Allocation Fund terminated Prior Custody Agreements with The Bank of New York Mellon valued at The Fund terminated its existing custody agreement and foreign custody manager agreement with BNY; n (effective 2025-12-15).

Action
termination
Counterparty
The Bank of New York Mellon
Value
The Fund terminated its existing custody agreement and foreign custody manager agreement with BNY; n
Effective
2025-12-15
Exact text from the filing
On December 15, 2025, in conjunction with entering into the Custody Agreement and Foreign Custody Agreement, the Fund terminated its existing custody agreement and foreign custody manager agreement with BNY (collectively, the “Prior Custody Agreements”).
View on SEC.gov

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Guggenheim Active Allocation Fund filing history →

Source: SEC EDGAR
accession 0001821268-25-000268
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