Form 4 - Statement of changes in beneficial ownership of securities
October 03 2023 - 4:40PM
Edgar (US Regulatory)
SEC Form 4
| FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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| OMB APPROVAL |
| OMB Number: |
3235-0287 |
| Estimated average burden |
| hours per response: |
0.5 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b). |
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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
[ GOF ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
| X |
Director |
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10% Owner |
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Officer (give title below) |
X |
Other (specify below) |
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TRUSTEE
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3. Date of Earliest Transaction
(Month/Day/Year)
09/29/2023
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
|---|
| 1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction Code (Instr.
8)
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4. Securities Acquired (A) or Disposed Of (D) (Instr.
3, 4 and 5)
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5.
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr.
3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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7. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
Amount |
(A) or (D) |
Price |
| Common Stock |
09/28/2023 |
10/03/2023 |
P |
V |
100 |
A |
$14.8
|
100 |
I |
Husband's Brokerage Account |
| Common Stock |
|
|
|
|
|
|
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1,128.112 |
D |
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction Code (Instr.
8)
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5.
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr.
3, 4 and 5)
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6. Date Exercisable and Expiration Date
(Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr.
3 and 4)
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8. Price of Derivative Security (Instr.
5)
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9.
Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr.
4)
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10. Ownership Form: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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| Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
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/s/ Angela Brock-Kyle, by Mark E. Mathiasen Pursuant to a Power of Attorney |
10/03/2023 |
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** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
The undersigned, being a person required to file statements under Section 16(a) of the Securities Exchange Act of 1934 (the “1934 Act”) and Section 30(h) of the Investment Company Act of 1940 (the “1940 Act”) with respect to certain closed-end investment companies advised or serviced by Guggenheim Funds Investment Advisors, LLC or its affiliates, as listed on Annex A hereto as may be amended from time to time (the “Guggenheim Closed-End Funds”), hereby authorizes, designates and appoints Amy J. Lee, Mark E. Mathiasen and Michael P. Megaris to act as such person’s true and lawful attorney-in-fact and agents, each with full power of substitution and resubstitution and full power to act alone and without the other, for the undersigned and in the undersigned’s name, place and stead, in any and all capacities, to execute, acknowledge, deliver and file any and all statements on Form 3, Form 4 and For 5 and any successor forms adopted by the Securities Exchange Commission (the “Commission”), as required by the 1934 Act and the 1940 Act, and the rules and regulations thereunder, and to take such other actions as such attorney-in-fact may deem necessary or appropriate in connection with such statements (including without limitation, completing, executing and filing with the Commission an application for EDGAR codes (i.e., Central Index Key (“CIK”) and the CIK confirmation code (“CCC”)) on Form ID) hereby confirming and ratifying all actions that such attorney-in-fact has taken or may take in reliance hereon. This power of attorney supersedes any previous versions of same, and shall be valid from the date hereof until the undersigned no longer has an obligation to file statements under the acts cited above with respect to the Guggenheim Closed-End Funds, or until specifically revoked by the undersigned, and shall be automatically revoked with respect to any attorney in the event that such attorney is no longer affiliated with Guggenheim Funds Investment Advisors, LLC or its affiliates.
IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney on the 18th day of October, 2021.
Signature:
/s/ Angela Brock-Kyle
Angela Brock-Kyle, Trustee
Annex A
Fiduciary/Claymore Energy Infrastructure Fund (“FMO”)
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (“GBAB”)
Guggenheim Credit Allocation Fund (“GGM”)
Guggenheim Strategic Opportunities Fund (“GOF”)
Guggenheim Enhanced Equity Income Fund (“GPM”)
Guggenheim Energy & Income Fund (“XGEIX”)
Guggenheim Active Allocation Fund (“GUG”)
POWER OF ATTORNEY
The undersigned, being a person required to file statements under Section 16(a) of the Securities Exchange Act of 1934 (the “1934 Act”) and Section 30(h) of the Investment Company Act of 1940 (the “1940 Act”) with respect to certain closed-end investment companies advised or serviced by Guggenheim Funds Investment Advisors, LLC or its affiliates, as listed on Annex A hereto as may be amended from time to time (the “Guggenheim Closed-End Funds”), hereby authorizes, designates and appoints Amy J. Lee, Mark E. Mathiasen and Michael P. Megaris to act as such person’s true and lawful attorney-in-fact and agents, each with full power of substitution and resubstitution and full power to act alone and without the other, for the undersigned and in the undersigned’s name, place and stead, in any and all capacities, to execute, acknowledge, deliver and file any and all statements on Form 3, Form 4 and For 5 and any successor forms adopted by the Securities Exchange Commission (the “Commission”), as required by the 1934 Act and the 1940 Act, and the rules and regulations thereunder, and to take such other actions as such attorney-in-fact may deem necessary or appropriate in connection with such statements (including without limitation, completing, executing and filing with the Commission an application for EDGAR codes (i.e., Central Index Key (“CIK”) and the CIK confirmation code (“CCC”)) on Form ID) hereby confirming and ratifying all actions that such attorney-in-fact has taken or may take in reliance hereon. This power of attorney supersedes any previous versions of same, and shall be valid from the date hereof until the undersigned no longer has an obligation to file statements under the acts cited above with respect to the Guggenheim Closed-End Funds, or until specifically revoked by the undersigned, and shall be automatically revoked with respect to any attorney in the event that such attorney is no longer affiliated with Guggenheim Funds Investment Advisors, LLC or its affiliates.
IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney on the 18th day of October, 2021.
Signature:
/s/ Angela Brock-Kyle
Angela Brock-Kyle, Trustee
Annex A
Fiduciary/Claymore Energy Infrastructure Fund (“FMO”)
Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust (“GBAB”)
Guggenheim Credit Allocation Fund (“GGM”)
Guggenheim Strategic Opportunities Fund (“GOF”)
Guggenheim Enhanced Equity Income Fund (“GPM”)
Guggenheim Energy & Income Fund (“XGEIX”)
Guggenheim Active Allocation Fund (“GUG”)
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