Stock Transactions — GUGGENHEIM ACTIVE ALLOC FD

Total Bought
778,569
28 transactions
Total Sold
2,501,602
20 transactions
Net
-1,723,033
shares
Filing Period:Transaction:
FundPrevious Shares
Current Shares
▲▼
Change in Shares
▲▼
Previous Portfolio Weightage (%)
Current Portfolio Weightage (%)
▲▼
Change in Weight (%)
▲▼
Type
MORGAN STANLEY1,819,5151,957,415+137,9000.000.00-0.00buy
Baird Financial Group, Inc.413,797543,260+129,4630.010.02+0.00buy
Advisors Asset Management, Inc.169,008271,627+102,6190.050.08+0.03buy
BANK OF AMERICA CORP /DE/802,178886,128+83,9500.000.00-0.00buy
LANDSCAPE CAPITAL MANAGEMENT, L.L.C.082,164+82,1640.000.11+0.11buy
Pathstone Holdings, LLC148,513197,311+48,7980.010.01+0.00buy
ENVESTNET ASSET MANAGEMENT INC026,791+26,7910.000.00+0.00buy
Corient Private Wealth LLC024,484+24,4840.000.00+0.00buy
Cetera Investment Advisers020,455+20,4550.000.00+0.00buy
WEDBUSH SECURITIES INC016,077+16,0770.000.01+0.01buy
1607 Capital Partners, LLC74,84590,442+15,5970.080.11+0.03buy
Concurrent Investment Advisors, LLC014,702+14,7020.000.01+0.01buy
US BANCORP \DE\012,485+12,4850.000.00+0.00buy
Equitable Holdings, Inc.012,370+12,3700.000.00+0.00buy
Laird Norton Wetherby Wealth Management, LLC011,232+11,2320.000.01+0.01buy
COHEN & STEERS, INC.926,251936,251+10,0000.030.03+0.00buy
STIFEL FINANCIAL CORP36,26743,955+7,6880.000.00+0.00buy
HighTower Advisors, LLC29,40936,289+6,8800.000.00+0.00buy
JOURNEY STRATEGIC WEALTH LLC38,79243,292+4,5000.030.03+0.00buy
B. Riley Wealth Advisors, Inc.102,203105,330+3,1270.040.04-0.00buy
J.W. COLE ADVISORS, INC.38,10140,495+2,3940.030.03-0.00buy
Avior Wealth Management, LLC02,208+2,2080.000.00+0.00buy
SIGNATUREFD, LLC01,006+1,0060.000.00+0.00buy
Steward Partners Investment Advisory, LLC0864+8640.000.00+0.00buy
FNY Investment Advisers, LLC0400+4000.000.00+0.00buy
BESSEMER GROUP INC754977+2230.000.00+0.00buy
Arete Wealth Advisors, LLC20,82621,016+1900.020.03+0.01buy
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC4,2004,202+20.010.01-0.00buy
GUGGENHEIM CAPITAL LLC950,000950,00000.110.10-0.01hold
IFP Advisors, Inc1,2501,25000.000.00-0.00hold
Geneos Wealth Management Inc.1,5001,50000.000.00-0.00hold
Kingsview Wealth Management, LLC18,10118,10100.010.01-0.00hold
HARBOUR INVESTMENTS, INC.1,5001,50000.000.00-0.00hold
COMERICA BANK4,2004,20000.000.00-0.00hold
Aviance Capital Partners, LLC23,08922,690-3990.070.05-0.02sell
OPPENHEIMER & CO INC87,07586,575-5000.020.02-0.00sell
WELLS FARGO & COMPANY/MN263,750262,905-8450.000.00-0.00sell
DAVENPORT & Co LLC24,70023,700-1,0000.000.00-0.00sell
OSAIC HOLDINGS, INC.66,58764,686-1,9010.000.00+0.00sell
COMMONWEALTH EQUITY SERVICES, LLC18,21410,489-7,7250.000.00-0.00sell
LM Advisors LLC9,8000-9,8000.030.00-0.03sell
CORRADO ADVISORS, LLC188,927178,839-10,0882.271.73-0.54sell
Bank of New York Mellon Corp10,4020-10,4020.000.00-0.00sell
NOMURA HOLDINGS INC16,8430-16,8430.000.00-0.00sell
BancFirst Trust & Investment Management19,3770-19,3770.130.00-0.13sell
Nordwand Advisors, LLC36,14216,500-19,6420.140.09-0.05sell
BOOTHBAY FUND MANAGEMENT, LLC20,8360-20,8360.010.00-0.01sell
U.S. Capital Wealth Advisors, LLC122,06794,460-27,6070.070.05-0.02sell
METEORA CAPITAL, LLC28,9990-28,9990.070.00-0.07sell
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC43,9800-43,9800.000.00-0.00sell
AE Wealth Management LLC96,3480-96,3480.010.00-0.01sell
Penserra Capital Management LLC312,5870-312,5870.090.00-0.09sell
ROYAL BANK OF CANADA1,324,730495,000-829,7300.000.00-0.00sell
Saba Capital Management, L.P.1,178,262135,269-1,042,9930.420.04-0.38sell
Page 1 of 1