Statistik Asas
| LEI | 549300IU8SNGW5IIGZ97 |
| CIK | 1551949 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Northern Lights Fund Trust II - GGM Macro Alignment ETF
SEC Filings (Chronological Order)
Halaman ini menyediakan senarai kronologi lengkap bagi Pemfailan SEC, tidak termasuk pemfailan pemilikan yang kami sediakan di tempat lain.
| March 21, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FILED PURSUANT TO SECTION 8(f) OF THE INVESTMENT COMPANY ACT OF 1940 (the ?Act?) AND RULE 8f-1 THEREUNDER FOR ORDER DECLARING THAT COMPANY HAS CEASED TO BE AN INVESTMENT COMPANY Dated: March 21, 2022 I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descripti |
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| December 10, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FILED PURSUANT TO SECTION 8(f) OF THE INVESTMENT COMPANY ACT OF 1940 (the ?Act?) AND RULE 8f-1 THEREUNDER FOR ORDER DECLARING THAT COMPANY HAS CEASED TO BE AN INVESTMENT COMPANY Dated: December 10, 2021 I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descri |
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| October 27, 2021 |
Guggenheim Credit Allocation Fund Guggenheim Credit Allocation Fund SCHEDULE OF INVESTMENTS (Unaudited) August 31, 2021 Shares Value COMMON STOCKS† - 4. |
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| October 25, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on November 05, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| September 20, 2021 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-232733 GUGGENHEIM CREDIT ALLOCATION FUND Supplement dated September 20, 2021, to the currently effective Prospectus and Statement of Additional Information dated September 30, 2020, as may be supplemented from time to time This supplement updates information in the Prospectus and Statement of Additional Information for Guggenheim Credit Allocat |
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| August 19, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant Filed by a Party other than the Registrant Check the appropriate box: Preliminary Proxy Statement Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) Definitive Proxy Statement Defin |
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| April 28, 2021 |
Guggenheim Credit Allocation Fund SCHEDULE OF INVESTMENTS (Unaudited) February 28, 2021 Shares Value COMMON STOCKS† - 3. |
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| March 5, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy State |
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| March 3, 2021 |
GUGGENHEIM TAXABLE MUNICIPAL BOND & INVESTMENT GRADE DEBT TRUST (NYSE: GBAB) GUGGENHEIM CREDIT ALLOCATION FUND (NYSE: GGM) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 8, 2021 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| February 2, 2021 |
PROSPECTUS SUPPLEMENT (to Prospectus dated September 30, 2020) Guggenheim Credit Allocation Fund Common Shares of Beneficial Interests Having an Aggregate Initial Offering Price of Up to $62,469,689 Guggenheim Credit Allocation Fund (the “Fund”) is a diversified, closed-end management investment company. |
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| February 2, 2021 |
POS EX 1 gug81663ggm.htm GGM As filed with the Securities and Exchange Commission on February 1, 2021 Securities Act File No. 333-232733 Investment Company Act File No. 811-22715 United States Securities and Exchange Commission Washington, D.C. 20549 FORM N-2 ☒ Registration Statement under the Securities Act of 1933 ☐ Pre-Effective Amendment No. ☒ Post-Effective Amendment No. 3 and/or ☒ Registrati |
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| February 2, 2021 |
GUGGENHEIM CREDIT ALLOCATION FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) FIRST AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT February 1, 2021 THIS FIRST AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of February 1, 2021, by and among Guggenheim Credit Allocation Fund, a statutory trust organized under the laws of the State of Delaware ( |
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| October 27, 2020 |
Guggenheim Credit Allocation Fund SCHEDULE OF INVESTMENTS (Unaudited) August 31, 2020 Shares Value COMMON STOCKS† - 1. |
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| October 1, 2020 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights”, “Senior Securities and Other Financial Leverage” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| October 1, 2020 |
Amendment to Fund Accounting Agreement dated 8.27.2020 AMENDMENT TO FUND ACCOUNTING AGREEMENTS This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of August, 2020, by and between MUFG Investor Services (US), LLC (“MUIS”) and each of Fiduciary/Claymore Energy Infrastructure Fund (formerly, Fiduciary/Claymore MLP Opportunity Fund) (“FMO”); Guggenheim Taxable Municipal Managed Duration Trust (formerly, Guggenheim Build America Bonds Managed Duration Trust) (“GBAB”); Guggenheim Energy & Income Fund (“XGEIX”); Guggenheim Credit Allocation Fund (“GGM”); Guggenheim Strategic Opportunities Fund (“GOF”); and Guggenheim Enhanced Equity Income Fund (“GPM”) (each a “Trust” and collectively, the “Trusts”). |
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| October 1, 2020 |
(l) Opinion and Consent of Dechert LLP 1900 K Street, NW Washington, DC 20006-1110 +1 202 261 3300 Main +1 202 261 3333 Fax www. |
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| October 1, 2020 |
(a) Amended and Restated Agreement and Declaration of Trust of Registrant Guggenheim Credit Allocation Fund Amended and Restated Agreement and Declaration of Trust Dated as of August 27, 2020 TABLE OF CONTENTS Page Article I The Trust 1. |
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| October 1, 2020 |
Amended and Restated By-Laws of Registrant FOURTH AMENDED AND RESTATED BY-LAWS OF GUGGENHEIM CREDIT ALLOCATION FUND GUGGENHEIM CREDIT ALLOCATION FUND FOURTH AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the “By-Laws”), dated as of August 27, 2020, are made and adopted pursuant to Section 3. |
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| October 1, 2020 |
POWER OF ATTORNEY BY THESE PRESENTS, that each of the undersigned constitutes and appoints Amy J. |
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| October 1, 2020 |
Amendment to Fund Accounting Agreement dated 7.27.2016 EXECUTION VERSION AMENDMENT TO FUND ACCOUNTING AGREEMENT This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of July, 2016, by and between Rydex Fund Services, LLC (“RFS”) and Guggenheim Credit Allocation Fund (the “Trust”). |
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| October 1, 2020 |
Amendment to Administration Agreement AMENDMENT TO FUND ADMINISTRATION AGREEMENT This AMENDMENT (this “Amendment”) is made and entered into, as of this 27th day of August, 2020, by and between MUFG Investor Services (US), LLC (“MUIS”) and each of Fiduciary/Claymore Energy Infrastructure Fund (formerly, Fiduciary/Claymore MLP Opportunity Fund) (“FMO”); Guggenheim Taxable Municipal Managed Duration Trust (formerly, Guggenheim Build America Bonds Managed Duration Trust) (“GBAB”); Guggenheim Energy & Income Fund (“XGEIX”); Guggenheim Credit Allocation Fund (“GGM”); Guggenheim Strategic Opportunities Fund (“GOF”); and Guggenheim Enhanced Equity Income Fund (“GPM”) (each a “Trust” and collectively, the “Trusts”). |
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| October 1, 2020 |
Guggenheim Credit Allocation Fund Up to 2,700,000 Common Shares PROSPECTUS SUPPLEMENT (to Prospectus dated September 30, 2020) Guggenheim Credit Allocation Fund Up to 2,700,000 Common Shares Guggenheim Credit Allocation Fund (the “Fund”) is a diversified, closed-end management investment company. |
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| October 1, 2020 |
As filed with the Securities and Exchange Commission on September 30, 2020 Securities Act File No. |
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| October 1, 2020 |
(b)(2) Amended and Restated By-Laws of Registrant (May 2020) THIRD AMENDED AND RESTATED BY-LAWS OF GUGGENHEIM CREDIT ALLOCATION FUND GUGGENHEIM CREDIT ALLOCATION FUND THIRD AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the “By-Laws”), dated as of May 18, 2020, are made and adopted pursuant to Section 3. |
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| April 28, 2020 |
Guggenheim Credit Allocation Fund SCHEDULE OF INVESTMENTS (Unaudited) February 29, 2020 – Shares Value COMMON STOCKS† - 1. |
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| February 26, 2020 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEFR14A - - CEF PROXY UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Definitive Proxy Statement |
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| February 25, 2020 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEF 14A - - CEF PROXY FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND (NYSE: FMO) GUGGENHEIM TAXABLE MUNICIPAL MANAGED DURATION TRUST (NYSE: GBAB) GUGGENHEIM CREDIT ALLOCATION FUND (NYSE: GGM) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 2, 2020 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| October 29, 2019 |
GGM / Guggenheim Credit Allocation Fund NPORT-EX - - GUGGENHEIM CREDIT ALLOCATION FUND NQ Guggenheim Credit Allocation Fund SCHEDULE OF INVESTMENTS (Unaudited) August 31, 2019 Shares Value COMMON STOCKS† - 2. |
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| September 10, 2019 |
GGM / Guggenheim Credit Allocation Fund POS EX - - GGM As filed with the Securities and Exchange Commission on September 10, 2019 Securities Act File No. |
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| September 10, 2019 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions "Financial Highlights", "Senior Securities and Other Financial Leverage" and "Independent Registered Public Accounting Firm" in the Prospectus and "Independent Registered Public Accounting Firm" and "Financial Statements" in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| September 10, 2019 |
September 10, 2019 Guggenheim Credit Allocation Fund 227 West Monroe Street Chicago, Illinois 60606 RE: Guggenheim Credit Allocation Fund Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Guggenheim Credit Allocation Fund, a statutory trust (the “Trust”) created under the Delaware Statutory Trust Act (the “DSTA”), in connection with the issuance and sale by the Trust of up to 2,700,000 shares (the “Securities”) of the Trust’s common shares of beneficial interest, par value $0. |
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| September 10, 2019 |
Guggenheim Credit Allocation Fund Common Shares (par value $0.01 per share) Controlled Equity OfferingSM Sales Agreement September 10, 2019 Cantor Fitzgerald & Co. 499 Park Avenue New York, New York 10022 Ladies and Gentlemen: Guggenheim Credit Allocation Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), and Guggenheim Funds Investment Advisors, LLC, a Delawar |
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| August 28, 2019 |
GGM / Guggenheim Credit Allocation Fund CORRESP - - [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] August 28, 2019 DeCarlo McLaren Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| April 29, 2019 |
CERTIFICATIONS I, Brian E. Binder, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the |
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| April 29, 2019 |
GGM / Guggenheim Credit Allocation Fund N-Q (Quarterly Schedule of Portfolio Holdings) GGM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| March 18, 2019 |
GGM / Guggenheim Credit Allocation Fund March 18, 2019 VIA EDGAR Mr. David Manion U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Re: Guggenheim Credit Allocation Fund (File Nos. 811-22715; 333-198646) Guggenheim Strategy Funds Trust (File No. 811-22946) (together, the “Registrants”) Dear Mr. Manion: On behalf of the Registrants, we wish to respond by this letter to comme |
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| February 22, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CEF PROXY FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND (NYSE: FMO) GUGGENHEIM TAXABLE MUNICIPAL MANAGED DURATION TRUST (NYSE: GBAB) GUGGENHEIM CREDIT ALLOCATION FUND (NYSE: GGM) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 4, 2019 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| October 26, 2018 |
CERTIFICATIONS I, Brian E. Binder, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the |
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| October 26, 2018 |
GGM / Guggenheim Credit Allocation Fund GGM (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| September 26, 2018 |
Code of Ethics of the Registrant and the Investment Adviser Policy Number: IC24.0 Code of Ethics Procedure Creation Date: Adopted April 23, 2014 (by the Security Investors, LLC and Guggenheim Funds Investment Advisers, LLC) Procedure Reviewed As Of: April 23, 2014, March 20, 2015, May 9, 2016, April 2017, February 2018, August 2018 Procedure Revised As Of: October 1, 2014 March 20, 2015 May 9, 2016 November 2016 April 2017 February 2018 August 2018 Regulat |
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| September 26, 2018 |
GUGGENHEIM CREDIT ALLOCATION FUND POWER OF ATTORNEY GUGGENHEIM CREDIT ALLOCATION FUND POWER OF ATTORNEY The undersigned, being an officer of Guggenheim Credit Allocation Fund, a statutory trust organized under the laws of the State of Delaware (the "Trust"), hereby constitutes and appoints Amy J. |
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| September 26, 2018 |
GGM / Guggenheim Credit Allocation Fund GGM As filed with the Securities and Exchange Commission on September 26, 2018 Securities Act File No. |
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| September 26, 2018 |
Code of Ethics of the Sub-Adviser Sponsor Guggenheim Partners Investment Management, LLC Chief Compliance Officer Owner GPIM Director of Policies & Procedures Contact Arik. |
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| September 26, 2018 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights”, “Senior Securities and Other Financial Leverage” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| April 30, 2018 |
GGM / Guggenheim Credit Allocation Fund GGM (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| April 30, 2018 |
CERTIFICATIONS I, Brian E. Binder, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the |
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| March 26, 2018 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CEF PROXY FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND (NYSE: FMO) GUGGENHEIM TAXABLE MUNICIPAL MANAGED DURATION TRUST (NYSE: GBAB) GUGGENHEIM CREDIT ALLOCATION FUND (NYSE: GGM) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 26, 2018 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| October 30, 2017 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Amy J. Lee, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made |
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| October 30, 2017 |
Guggenheim Credit Allocation Fund - GGM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| September 27, 2017 |
Consent of Independent Registered Public Accounting Firm EX-99.(N) 3 ex99n.htm CONSENT OF INDEPENDANT REGISTERED PUBLIC ACCOUNTING FIRM Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights”, “Senior Securities and Other Financial Leverage” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Fina |
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| September 27, 2017 |
United States Securities and Exchange Commission Washington, D.C. 20549 FORM N-2 As filed with the Securities and Exchange Commission on September 27, 2017 Securities Act File No. |
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| July 31, 2017 |
GPIM AFFILIATED UNDERWRITER TRANSACTION FORM GPIM AFFILIATED UNDERWRITER TRANSACTION FORM 1 Name of Issuer: Albertsons Companies 2 Security Description (Ticker, Cusip/ISIN/Sedol, coupon, etc. |
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| July 31, 2017 |
GPIM AFFILIATED UNDERWRITER TRANSACTION FORM GPIM AFFILIATED UNDERWRITER TRANSACTION FORM Completed Affiliated Underwriter Transaction Forms should be submitted by the applicable GPIM invest team to the GPIM Compliance Conflicts team at GPIMComplianceNewTransactionReporting@guggenheimpartners. |
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| May 1, 2017 |
Guggenheim Credit Allocation Fund - GGM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| May 1, 2017 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| March 31, 2017 |
Fiduciary FMO GBAB GGM GPM GOF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants ? Filed by a Party other than the Co-Registrants ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule |
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| October 31, 2016 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| October 31, 2016 |
Guggenheim Credit Allocation Fund GGM (Quarterly Schedule of Portfolio Holdings) N-Q 1 gug65583ggm-nq.htm GGM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive off |
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| September 15, 2016 |
Execution Version CONTROLLED EQUITY OFFERING SM SALES AGREEMENT Execution Version CONTROLLED EQUITY OFFERING SM SALES AGREEMENT September 15, 2016 CANTOR FITZGERALD & CO. |
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| September 15, 2016 |
Policy Number: IC24.0 Code of Ethics Procedure Creation Date: Adopted April 23, 2014 (by the Security Investors, LLC and Guggenheim Funds Investment Advisers, LLC) Procedure Reviewed As Of: April 23, 2014 Procedure Revised As Of: October 1, 2014 March 20, 2015 May 9, 2016 Regulatory Rules: Rule 17j-1 under the Investment Company Act of 1940 and Rule 204A-1 under the Investment Advisers Act of 1940 |
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| September 15, 2016 |
Guggenheim Partners Investment Management, LLC Guggenheim Partners Investment Management, LLC Code of Ethics Sponsor Guggenheim Partners Investment Management, LLC Chief Compliance Officer Owner GPIM Director of Policies & Procedures Contact Arik. |
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| September 15, 2016 |
AMENDMENT No. 1 U.S. PB AGREEMENT AMENDMENT No. 1 TO U.S. PB AGREEMENT AMENDMENT AGREEMENT (the ? Amendment?), dated as of August 17, 2016 to the U.S. PB Agreement, dated as of March 3, 2014, as may be amended from time to time (the ? Agreement?) between BNP Paribas Prime Brokerage, Inc. (? BNPP PB, Inc.?) and Guggenheim Credit Allocation Fund (the ? Customer?). WHEREAS, the parties hereto desire to amend the Agreement as provided |
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| September 15, 2016 |
Guggenheim Credit Allocation Fund GGM As filed with the Securities and Exchange Commission on September 15, 2016 Securities Act File No. |
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| September 15, 2016 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] September 15, 2016 [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] September 15, 2016 Guggenheim Credit Allocation Fund 227 West Monroe Street Chicago, Illinois 60606 RE: Guggenheim Credit Allocation Fund? Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Guggenheim Credit Allocation Fund, a statutory trust (the ?Trust?) created under the Delaware Statutory Trust Act (the ?DSTA?), in connection with the public offering by the Trust of up to 2,632,734 shares of the Trust?s common shares of beneficial interest, par value $0. |
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| September 15, 2016 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions ?Financial Highlights?, ?Independent Registered Public Accounting Firm? and ?Financial Statements? in the Prospectus and to the incorporation by reference in this Registration Statement (Form N-2) ( file numbers 333-198646 and 811-22715) of Guggenheim Credit Allocation Fund of our report dated July 28, 2016 on the financial statements and financial highlights of Guggenheim Credit Allocation Fund included in the May 31, 2016 Annual Report to shareholders. |
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| September 2, 2016 |
Guggenheim Credit Allocation Fund ESP Guggenheim Credit Allocation Fund 227 West Monroe Street Chicago, Illinois 60606 September 2, 2016 Asen Parachkevov Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Guggenheim Credit Allocation Fund Registration Statement on Form N-2 File Nos. |
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| August 17, 2016 |
Guggenheim Credit Allocation Fund ESP [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] August 17, 2016 Asen Parachkevov Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Guggenheim Credit Allocation Fund (File Nos. |
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| July 29, 2016 |
SECOND AMENDED AND RESTATED BY-LAWS OF GUGGENHEIM CREDIT ALLOCATION FUND GUGGENHEIM CREDIT ALLOCATION FUND SECOND AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the ?By-Laws?), dated as of February 24, 2016, are made and adopted pursuant to Section 3. |
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| July 29, 2016 |
GPIM AFFILIATED UNDERWRITER TRANSACTION FORM 1. Name of Issuer: Albertsons Companies 2. Security Description (Ticker, Cusip/ISIN/Sedol, coupon, etc.): Senior Notes 2024 3. Underwriting Syndicate: Bank of America Merrill Lynch, Credit Suisse, Citigroup, Morgan Stanley, Goldman, Sachs & Co., Deutsche Bank Securities, Barclays, Guggenheim Securities, RBC Capital Markets, Wells Fargo Securities, Drexe |
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| April 29, 2016 |
ex99cert.htm CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading |
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| April 29, 2016 |
Guggenheim Credit Allocation Fund GGM (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| April 11, 2016 |
GUGGENHEIM INVESMENTS 227 W MONROE ST - STE 4900 CHICAGO, ILLINOIS 60606 GUGGENHEIM INVESMENTS 227 W MONROE ST - STE 4900 CHICAGO, ILLINOIS 60606 April 11, 2016 VIA EDGAR Ms. |
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| March 23, 2016 |
Guggenheim Credit Allocation Fund ESP CORRESP [ GUGGENHEIM LETTERHEAD ] March 23, 2016 VIA EDGAR Ms. Lauren Hamilton Ms. Megan Miller Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, D.C. 20549 Re: Rydex Variable Trust (File No. 811-08821) Guggenheim Strategy Funds Trust (File No. 811-22946) Guggenheim Credit Allocation Fund (File No. 811-22715) Guggenheim Variable Funds Trust (File No. |
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| March 4, 2016 |
Guggenheim Credit Allocation Fund DEFINITIVE PROXY STATEMENT gug64158-def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| March 1, 2016 |
ex31.htm SECOND AMENDED AND RESTATED BY-LAWS OF GUGGENHEIM CREDIT ALLOCATION FUND GUGGENHEIM CREDIT ALLOCATION FUND SECOND AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the “By-Laws”), dated as of February 24, 2016, are made and adopted pursuant to Section 3.9 of the Amended and Restated Agreement and Declaration of Trust, dated as of June 13, 2012, as from time to time amended |
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| March 1, 2016 |
gugggm-8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2016 (March 1, 2016) Guggenheim Credit Allocation Fund (Exact name of registrant as specified in its charter) Delaware 811-22715 46-2533885 (State or other |
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| October 30, 2015 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| October 30, 2015 |
Guggenheim Credit Allocation Fund GGM (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| April 29, 2015 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| April 29, 2015 |
Guggenheim Credit Allocation Fund GGM (Quarterly Schedule of Portfolio Holdings) gug61669-nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip co |
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| March 27, 2015 |
Fiduciary FMO GBAB GGM GPM GGE GEQ GOF gug61670-def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a |
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| January 23, 2015 |
GGM / Guggenheim Credit Allocation Fund CORRESP - - [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] January 23, 2015 Derek B. |
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| November 14, 2014 |
GGM / Guggenheim Credit Allocation Fund CORRESP - - November 14, 2014 Derek B. Newman Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Guggenheim Credit Allocation Fund (File Nos. 333-198646, 811-22715) Dear Mr. Newman: Guggenheim Credit Allocation Fund (the “Fund”) has received the Staff’s comment letter, dated October 8, 2014, regarding the registration statement on Form N-2 filed by t |
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| October 30, 2014 |
Guggenheim Credit Allocation Fund - GGM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| October 30, 2014 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| July 29, 2014 |
Based upon the Fund’s review of the copies of such forms effecting the Section 16 filings received by it, the Fund believes that for its most recently completed fiscal year, all filings applicable to such persons were completed and filed in a timely manner, except as follows: a Form 3 (no securities owned) for Stevens T. |
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| July 29, 2014 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of the Guggenheim Credit Allocation Fund In planning and performing our audit of the financial statements of Guggenheim Credit Allocation Fund (the Fund) as of and for the year ended May 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), we con |
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| April 28, 2014 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| April 28, 2014 |
Quarterly Schedule of Portfolio Holdings - GGM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices) (Zip code) Amy J. |
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| March 3, 2014 |
- FMO GBAB GGM GPM GGE GEQ GOF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule |
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| February 28, 2014 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 28, 2014 Valerie Lithotomos Securities and Exchange Commission Office of Investment Management 100 F Street, NE Washington, DC 20549 RE: Guggenheim Closed-End Funds Preliminary Proxy Statement Dear Ms. |
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| February 7, 2014 |
- FMO GBAB GGM GPM GGE GEQ GOF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule |
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| October 30, 2013 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Guggenheim Credit Allocation Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statemen |
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| October 30, 2013 |
Quarterly Schedule of Portfolio Holdings - GGM UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-22715 Guggenheim Credit Allocation Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive Lisle, IL 60532 (Address of principal executive offices) (Zip code) Amy J. |
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| June 21, 2013 |
Guggenheim Credit Allocation Fund 2455 Corporate West Drive Lisle, Illinois 60532 June 21, 2013 Ms. |
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| June 7, 2013 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 GUGGENHEIM CREDIT ALLOCATION FUND (Exact Name of Registrant as Specified in its Charter) Delaware (State of Incorporation or Organization) 2455 Corporate West Drive Lisle, Illinois (Address of Principal Execut |
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| May 23, 2013 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] May 23, 2013 Kimberly A. Browning Senior Counsel Office of Disclosure and Review Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Guggenheim Credit Allocation Fund (File Nos. 811-22715 and 333-182157) Dear Ms. Browning: Thank you for your telephonic comments, received April 18, 20 |
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| April 16, 2013 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] April 16, 2013 Kimberly A. |
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| March 11, 2013 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] March 11, 2013 Kimberly A. |
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| June 15, 2012 |
N-8A 1 n-8a.htm FORM N-8A As filed with the Securities and Exchange Commission on June 15, 2012 811- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8A NOTIFICATION OF REGISTRATION FILED PURSUANT TO SECTION 8(a) OF THE INVESTMENT COMPANY ACT OF 1940 The undersigned investment company hereby notifies the Securities and Exchange Commission that it registers under and pursuant to the |
