Advent Convertible and Income Fund - 股权
US ˙ NYSE

介绍

本页面提供了有关 Randall C Barnes 已知的内部交易历史的全面分析。内部人士包括公司的高管、董事或重要投资者。一般而言，基于内幕、非公开信息进行交易是非法的。这并不意味着他们在自己的公司进行任何交易都是非法的。但是，他们必须通过Form 4向美国证券交易委员会（SEC）报告所有交易。尽管存在这些限制，学术研究表明，整体而言，内部人士在自己公司中的投资表现往往优于市场。

平均交易盈利能力

“平均交易盈利能力”衡量了内部人士在过去三年中所有非计划性的公开市场买入交易的平均回报率。计算过程包括检查每笔交易，排除了作为10b5-1交易计划的一部分的交易。然后，对每笔交易在3、6和12个月的表现进行平均，以生成该笔交易最终的表现指标。然后，将所有交易的表现指标进行平均，计算出内部人士的总体平均表现指标。列表仅包含在过去两年中进行过至少三笔交易的内部人士。

如果内部人士的交易盈利能力显示为"N/A"，则可能是因为该内部人士在过去三年内没有进行任何公开市场买入交易，或者他们进行的交易距离现在时间太近，无法计算出可靠的表现指标。

更新频率：每日

查看收益最高的的内幕交易者列表。

查看排名最高的内部人士。
报告内部持仓的公司

美国证券交易委员会（SEC）文件显示Randall C Barnes已报告在以下公司拥有持仓或进行了交易：

证券 职位 最新报告的持仓
US:AVK / Advent Convertible and Income Fund Director 15,140
US:GUG / Guggenheim Active Allocation Fund Director 65,322
US:GOF / Guggenheim Strategic Opportunities Fund Director 0
US:GGM / Northern Lights Fund Trust II - GGM Macro Alignment ETF Director 12,530
US:FMO / Fiduciary/Claymore Energy Infrastructure Fund Director 40,513
US:GPM / Guggenheim Enhanced Equity Income Fund Director 0
Director 0
Director 5,700
US:LCM / Advent Claymore Convertible Securities and Income Fund II Director 3,828
US:GGE / Green Giant Inc. Director 0
US:GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust Director 0
US:MCN / XAI Madison Equity Premium Income Fund Director 0
如何解读这些图表

以下图表显示了在Randall C Barnes进行的每笔公开市场非计划交易后证券的股价表现。非计划交易是指没有作为10b5-1交易计划的一部分而进行的交易。股价表现以累积百分比变化的方式绘制。例如，如果一笔内部人士交易是在2019年1月1日进行的，该图表将显示该证券的每日百分比变化直至当前日期。如果在此期间股价从10美元涨至15美元，则股价的累积百分比变化将为50%。从10美元涨至20美元的价格变化将为100%，而从10美元跌至5美元的价格变化将为-50%。

最终，我们将评估内部人士的交易与股价的超额回报（正向或负向）之间的相关性，以判断内部人士是否在交易中利用内部信息获利。如果内部人士有这样的行为，我们预期看到（a）买入后的正回报，或者（b）卖出后的负回报。对于情况（a），买入图表将显示一系列向上倾斜的曲线，表示每次买入后都有正回报。对于情况（b），卖出图表将显示一系列向下倾斜的曲线，表示每次卖出后都有负回报。

然而，仅凭这一点还不足以得出结论。例如，如果公司的股价在多年内呈现非周期性上升，我们会预期所有买入后的图表都呈现向上倾斜。同样地，多年来呈现非周期性下降的股价会导致卖出后的图表也呈现向下倾斜。这两种情况的图表都不能表示内部人士在进行内幕交易。

最有力的指标是在公司股价呈极度循环波动的情况下，“买入”图表显示正向信号，而“卖出”图表显示负向趋势。这种情况强烈暗示内部人士可能根据内幕信息精确地计时进行交易，以获得财务优势。

AVK.RT / Advent Convertible and Income Fund - Equity Right内部人士买入 - 短期收益分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2024-10-17 AVK Barnes Randall C 3,785 11.2800 3,785 11.2800 42,695 301 12.5500 4,808 11.26
2022-01-13 AVK Barnes Randall C 1,370 17.8700 1,370 17.8700 24,482
2022-01-10 AVK Barnes Randall C 1,000 18.2000 1,000 18.2000 18,200
2022-01-04 AVK Barnes Randall C 1,000 18.2500 1,000 18.2500 18,250
2021-12-30 AVK Barnes Randall C 1,000 17.7500 1,000 17.7500 17,750
2021-07-19 AVK Barnes Randall C 640 18.1700 640 18.1700 11,629
2014-10-10 AVK Barnes Randall C 1,000 16.6590 1,000 16.6590 16,659
2007-12-21 AVK Barnes Randall C 5,000 22.5200 5,000 22.5200 112,600
2007-12-21 AVK Barnes Randall C 4,000 22.5900 4,000 22.5900 90,360
2007-08-15 AVK Barnes Randall C 6,000 22.5250 6,000 22.5250 135,150
2007-08-14 AVK Barnes Randall C 1,000 23.3700 1,000 23.3700 23,370
2007-05-29 AVK Barnes Randall C 210 27.5900 210 27.5900 5,794
2007-01-30 AVK Barnes Randall C 1,475 28.1000 1,475 28.1000 41,448
2007-01-26 AVK Barnes Randall C 3,000 28.1200 3,000 28.1200 84,360
2006-11-17 AVK Barnes Randall C 156 26.2000 156 26.2000 4,087
2006-11-17 AVK Barnes Randall C 140 26.2000 140 26.2000 3,668
2005-10-11 AVK Barnes Randall C 600 24.9100 600 24.9100 14,946

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

AVK.RT / Advent Convertible and Income Fund - Equity Right Insider Trades
AVK.RT / Advent Convertible and Income Fund - Equity Right内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2014-02-18 AVK Barnes Randall C 2,388 18.7800 2,388 18.7800 44,847 239 15.7700 -7,187 -16.03
2014-01-22 AVK Barnes Randall C 1,000 18.7700 1,000 18.7700 18,770
2014-01-22 AVK Barnes Randall C 2,000 18.7600 2,000 18.7600 37,520
2014-01-09 AVK Barnes Randall C 2,000 18.7400 2,000 18.7400 37,480
2010-10-07 AVK Barnes Randall C 5,000 17.7600 5,000 17.7600 88,800
2010-10-07 AVK Barnes Randall C 5,000 17.7600 5,000 17.7600 88,800
2010-08-13 AVK Barnes Randall C 1 16.8800 1 16.8800 9

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

AVK.RT / Advent Convertible and Income Fund - Equity Right Insider Trades
GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust内部人士买入 - 短期收益分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
当前未知该内部人士进行过任何未预先计划的公开市场交易。

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust Insider Trades
GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
当前未知该内部人士进行过任何未预先计划的公开市场交易。

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GBAB / Guggenheim Taxable Municipal Bond & Investment Grade Debt Trust Insider Trades
GGEI / Green Giant Inc.内部人士买入 - 短期收益分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2012-05-03 GGE Barnes Randall C 2,900 17.2200 1,450 34.4400 49,938 730
2012-05-03 GGE Barnes Randall C 700 17.2400 350 34.4800 12,068

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GGEI / Green Giant Inc. Insider Trades
GGEI / Green Giant Inc.内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2013-01-10 GGE Barnes Randall C 2,850 17.8800 1,425 35.7600 50,958 730
2013-01-10 GGE Barnes Randall C 50 17.9000 25 35.8000 895

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GGEI / Green Giant Inc. Insider Trades
GGM / Northern Lights Fund Trust II - GGM Macro Alignment ETF内部人士买入 - 短期收益分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2019-05-09 GGM Barnes Randall C 2,400 20.6600 2,400 20.6600 49,584 14 21.4000 1,776 3.58
2018-12-13 GGM Barnes Randall C 400 19.7000 400 19.7000 7,880
2016-12-06 GGM Barnes Randall C 620 21.2600 620 21.2600 13,181
2016-06-29 GGM Barnes Randall C 1,350 20.2300 1,350 20.2300 27,310
2016-05-03 GGM Barnes Randall C 260 19.3000 260 19.3000 5,018
2016-03-14 GGM Barnes Randall C 600 18.3500 600 18.3500 11,010
2016-02-02 GGM Barnes Randall C 550 18.3000 550 18.3000 10,065
2016-02-01 GGM Barnes Randall C 1,200 18.5500 1,200 18.5500 22,260
2016-02-01 GGM Barnes Randall C 900 18.5000 900 18.5000 16,650
2015-12-12 GGM Barnes Randall C 400 21.8000 400 21.8000 8,720
2015-10-02 GGM Barnes Randall C 1,200 19.7400 1,200 19.7400 23,688
2015-10-02 GGM Barnes Randall C 650 19.7500 650 19.7500 12,838
2015-06-30 GGM Barnes Randall C 500 21.7500 500 21.7500 10,875
2015-03-11 GGM Barnes Randall C 626 22.1800 626 22.1800 13,885
2015-03-11 GGM Barnes Randall C 579 22.1690 579 22.1690 12,836
2015-03-10 GGM Barnes Randall C 119 22.3000 119 22.3000 2,654
2015-03-06 GGM Barnes Randall C 2,350 22.3600 2,350 22.3600 52,546
2015-03-06 GGM Barnes Randall C 1,000 22.3600 1,000 22.3600 22,360
2015-03-02 GGM Barnes Randall C 168 22.4000 168 22.4000 3,763
2014-12-11 GGM Barnes Randall C 200 21.7800 200 21.7800 4,356
2014-12-09 GGM Barnes Randall C 400 22.1000 400 22.1000 8,840
2014-12-09 GGM Barnes Randall C 290 22.1000 290 22.1000 6,409
2013-12-30 GGM Barnes Randall C 645 22.5000 645 22.5000 14,512
2013-12-30 GGM Barnes Randall C 1,530 22.5000 1,530 22.5000 34,425
2013-10-31 GGM Barnes Randall C 1,000 23.1000 1,000 23.1000 23,100
2013-10-31 GGM Barnes Randall C 500 23.0500 500 23.0500 11,525
2013-10-08 GGM Barnes Randall C 1,000 23.2000 1,000 23.2000 23,200
2013-10-08 GGM Barnes Randall C 1,000 23.3500 1,000 23.3500 23,350
2013-10-08 GGM Barnes Randall C 1,500 23.3500 1,500 23.3500 35,025
2013-10-07 GGM Barnes Randall C 1,000 23.5000 1,000 23.5000 23,500
2013-10-07 GGM Barnes Randall C 1,000 23.4500 1,000 23.4500 23,450
2013-10-07 GGM Barnes Randall C 1,000 23.3500 1,000 23.3500 23,350
2013-10-07 GGM Barnes Randall C 1,000 23.3500 1,000 23.3500 23,350
2013-10-04 GGM Barnes Randall C 1,100 23.5500 1,100 23.5500 25,905
2013-10-04 GGM Barnes Randall C 1,000 23.6000 1,000 23.6000 23,600
2013-10-04 GGM Barnes Randall C 1,000 23.5300 1,000 23.5300 23,530
2013-10-03 GGM Barnes Randall C 100 23.5800 100 23.5800 2,358
2013-10-01 GGM Barnes Randall C 1,000 23.5800 1,000 23.5800 23,580
2013-09-30 GGM Barnes Randall C 1,100 23.6200 1,100 23.6200 25,982
2013-09-05 GGM Barnes Randall C 630 23.4000 630 23.4000 14,742
2013-09-04 GGM Barnes Randall C 1,600 23.5000 1,600 23.5000 37,600

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GGM / Northern Lights Fund Trust II - GGM Macro Alignment ETF Insider Trades
GGM / Northern Lights Fund Trust II - GGM Macro Alignment ETF内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2014-03-18 GGM Barnes Randall C 2,011 23.5000 2,011 23.5000 47,258 272 20.9400 -5,148 -10.89

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GGM / Northern Lights Fund Trust II - GGM Macro Alignment ETF Insider Trades
GOF / Guggenheim Strategic Opportunities Fund内部人士买入 - 短期收益分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2020-04-16 GOF Barnes Randall C 4,140 15.1600 4,140 15.1600 62,762 362 21.9500 28,111 44.79
2019-12-27 GOF Barnes Randall C 1,000 18.2800 1,000 18.2800 18,280
2019-12-27 GOF Barnes Randall C 1,000 18.2600 1,000 18.2600 18,260
2019-12-27 GOF Barnes Randall C 1,330 18.2500 1,330 18.2500 24,272
2019-01-22 GOF Barnes Randall C 2,700 19.0000 2,700 19.0000 51,300
2019-01-22 GOF Barnes Randall C 2,575 18.9500 2,575 18.9500 48,796
2018-12-26 GOF Barnes Randall C 725 17.4300 725 17.4300 12,637
2018-09-26 GOF Barnes Randall C 3,950 20.5500 3,950 20.5500 81,172
2018-07-17 GOF Barnes Randall C 5,100 21.1100 5,100 21.1100 107,661
2018-06-18 GOF Barnes Randall C 790 21.4700 790 21.4700 16,961
2018-02-06 GOF Barnes Randall C 2,770 19.7100 2,770 19.7100 54,597
2018-02-05 GOF Barnes Randall C 2,600 20.2250 2,600 20.2250 52,585
2018-01-30 GOF Barnes Randall C 2,997 20.8200 2,997 20.8200 62,398
2016-03-14 GOF Barnes Randall C 2,000 16.1300 2,000 16.1300 32,260
2016-03-14 GOF Barnes Randall C 4,000 16.1500 4,000 16.1500 64,600
2016-02-10 GOF Barnes Randall C 3,000 15.5000 3,000 15.5000 46,500
2014-01-31 GOF Barnes Randall C 700 21.1500 700 21.1500 14,805
2014-01-30 GOF Barnes Randall C 5 21.1900 5 21.1900 106
2014-01-17 GOF Barnes Randall C 700 21.1600 700 21.1600 14,812
2013-12-18 GOF Barnes Randall C 900 20.5500 900 20.5500 18,495
2013-12-16 GOF Barnes Randall C 300 21.2500 300 21.2500 6,375
2013-06-24 GOF Barnes Randall C 5,000 21.0800 5,000 21.0800 105,400
2013-06-24 GOF Barnes Randall C 200 21.1100 200 21.1100 4,222
2013-06-11 GOF Barnes Randall C 2,600 21.9000 2,600 21.9000 56,940
2013-06-11 GOF Barnes Randall C 1,000 21.8900 1,000 21.8900 21,890
2013-06-11 GOF Barnes Randall C 2,000 21.8500 2,000 21.8500 43,700
2013-06-11 GOF Barnes Randall C 400 21.9000 400 21.9000 8,760
2013-06-11 GOF Barnes Randall C 200 21.9000 200 21.9000 4,380
2012-12-28 GOF Barnes Randall C 1,300 21.2300 1,300 21.2300 27,599
2012-12-28 GOF Barnes Randall C 400 21.1500 400 21.1500 8,460
2012-12-28 GOF Barnes Randall C 2,000 21.1700 2,000 21.1700 42,340
2012-12-28 GOF Barnes Randall C 140 20.9300 140 20.9300 2,930
2012-12-28 GOF Barnes Randall C 4,000 21.2300 4,000 21.2300 84,920
2012-12-28 GOF Barnes Randall C 500 21.1300 500 21.1300 10,565
2012-12-28 GOF Barnes Randall C 4,000 21.2400 4,000 21.2400 84,960
2012-12-28 GOF Barnes Randall C 200 21.2200 200 21.2200 4,244
2012-12-28 GOF Barnes Randall C 2,000 21.2300 2,000 21.2300 42,460
2012-12-26 GOF Barnes Randall C 1,600 21.4000 1,600 21.4000 34,240
2012-12-26 GOF Barnes Randall C 2,000 21.4500 2,000 21.4500 42,900
2012-12-26 GOF Barnes Randall C 1,500 21.4000 1,500 21.4000 32,100
2012-12-26 GOF Barnes Randall C 1,890 21.6500 1,890 21.6500 40,918
2012-12-26 GOF Barnes Randall C 2,400 21.4500 2,400 21.4500 51,480
2012-12-21 GOF Barnes Randall C 110 21.6500 110 21.6500 2,382
2012-12-05 GOF Barnes Randall C 1,000 21.1000 1,000 21.1000 21,100
2012-12-05 GOF Barnes Randall C 1,000 21.0800 1,000 21.0800 21,080
2012-12-05 GOF Barnes Randall C 793 21.0000 793 21.0000 16,653
2012-02-06 GOF Barnes Randall C 2,000 19.9800 2,000 19.9800 39,960
2012-02-06 GOF Barnes Randall C 950 19.9800 950 19.9800 18,981
2008-09-11 GOF Barnes Randall C 1,000 15.8400 1,000 15.8400 15,840
2008-09-10 GOF Barnes Randall C 1,200 15.9300 1,200 15.9300 19,116
2008-08-19 GOF Barnes Randall C 1,610 15.6600 1,610 15.6600 25,213
2008-08-19 GOF Barnes Randall C 2,700 15.7400 2,700 15.7400 42,498
2008-04-10 GOF Barnes Randall C 210 16.3200 210 16.3200 3,427

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GOF / Guggenheim Strategic Opportunities Fund Insider Trades
GOF / Guggenheim Strategic Opportunities Fund内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2024-07-02 GOF Barnes Randall C 5,849 15.0200 5,849 15.0200 87,852 279 13.7400 -7,486 -8.52
2024-02-01 GOF Barnes Randall C 10,000 13.9500 10,000 13.9500 139,500
2024-01-05 GOF Barnes Randall C 20,000 13.6000 20,000 13.6000 272,000
2023-12-13 GOF Barnes Randall C 6,000 13.6700 6,000 13.6700 82,020
2023-12-08 GOF Barnes Randall C 2,000 13.8600 2,000 13.8600 27,720
2023-12-07 GOF Barnes Randall C 8,000 13.7100 8,000 13.7100 109,680
2023-12-06 GOF Barnes Randall C 16,000 13.6600 16,000 13.6600 218,560
2023-12-05 GOF Barnes Randall C 20,000 13.4700 20,000 13.4700 269,400
2023-12-04 GOF Barnes Randall C 3,000 13.3600 3,000 13.3600 40,080
2023-12-01 GOF Barnes Randall C 6,211 13.3600 6,211 13.3600 82,979
2023-11-30 GOF Barnes Randall C 10,000 13.3000 10,000 13.3000 133,000
2023-11-29 GOF Barnes Randall C 1,000 13.2500 1,000 13.2500 13,250
2023-11-28 GOF Barnes Randall C 1,000 13.3000 1,000 13.3000 13,300
2023-11-03 GOF Barnes Randall C 9,926 13.4600 9,926 13.4600 133,601
2022-06-16 GOF Barnes Randall C 356 0.0000 356 0.0000 0
2022-06-15 GOF Barnes Randall C 1 16.7500 1 16.7500 11
2022-06-15 GOF Barnes Randall C 0 16.7700 0 16.7700 7
2022-06-14 GOF Barnes Randall C 20,000 0.0000 20,000 0.0000 0
2022-06-02 GOF Barnes Randall C 13,000 17.6100 13,000 17.6100 228,930
2021-11-02 GOF Barnes Randall C 33,000 19.0800 33,000 19.0800 629,640
2012-12-28 GOF Barnes Randall C 74 21.0400 74 21.0400 1,557

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GOF / Guggenheim Strategic Opportunities Fund Insider Trades
GUG / Guggenheim Active Allocation Fund内部人士买入 - 短期收益分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2024-01-30 GUG Barnes Randall C 385 14.5000 385 14.5000 5,582 230 16.6500 828 14.84
2023-12-13 GUG Barnes Randall C 5,880 13.9200 5,880 13.9200 81,850
2023-12-08 GUG Barnes Randall C 2,000 14.0700 2,000 14.0700 28,140
2023-12-07 GUG Barnes Randall C 7,725 14.1200 7,725 14.1200 109,077
2023-12-06 GUG Barnes Randall C 14,705 14.0100 14,705 14.0100 206,017
2023-12-05 GUG Barnes Randall C 6,000 13.9200 6,000 13.9200 83,520
2023-11-30 GUG Barnes Randall C 1,000 13.8500 1,000 13.8500 13,850
2023-10-31 GUG Barnes Randall C 1,000 12.9900 1,000 12.9900 12,990
2023-09-29 GUG Barnes Randall C 1,784 13.5800 1,784 13.5800 24,227
2023-09-05 GUG Barnes Randall C 1,390 13.9800 1,390 13.9800 19,432
2023-09-01 GUG Barnes Randall C 333 14.1000 333 14.1000 4,695
2023-08-01 GUG Barnes Randall C 1,729 14.1600 1,729 14.1600 24,483
2023-07-01 GUG Barnes Randall C 1,645 14.3600 1,645 14.3600 23,622
2023-06-07 GUG Barnes Randall C 310 13.8000 310 13.8000 4,278
2023-06-01 GUG Barnes Randall C 1,400 13.7500 1,400 13.7500 19,250
2023-05-01 GUG Barnes Randall C 1,146 14.1100 1,146 14.1100 16,170
2023-04-28 GUG Barnes Randall C 500 14.0800 500 14.0800 7,040
2023-03-10 GUG Barnes Randall C 1,610 14.2700 1,610 14.2700 22,975
2023-02-01 GUG Barnes Randall C 1,540 14.8500 1,540 14.8500 22,869
2022-12-30 GUG Barnes Randall C 1,645 13.4900 1,645 13.4900 22,191
2022-12-21 GUG Barnes Randall C 2,400 13.7300 2,400 13.7300 32,952
2022-12-20 GUG Barnes Randall C 2,030 13.8700 2,030 13.8700 28,156
2022-11-30 GUG Barnes Randall C 1,560 13.8000 1,560 13.8000 21,528
2022-11-28 GUG Barnes Randall C 2,860 14.0100 2,860 14.0100 40,069
2022-11-01 GUG Barnes Randall C 1,565 13.6000 1,565 13.6000 21,284
2022-10-25 GUG Barnes Randall C 270 13.0500 270 13.0500 3,524
2022-09-08 GUG Barnes Randall C 240 14.6000 240 14.6000 3,504
2022-07-13 GUG Barnes Randall C 170 14.1800 170 14.1800 2,411
2022-06-21 GUG Barnes Randall C 275 13.9200 275 13.9200 3,828
2022-04-12 GUG Barnes Randall C 725 16.9300 725 16.9300 12,274

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GUG / Guggenheim Active Allocation Fund Insider Trades
GUG / Guggenheim Active Allocation Fund内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2024-10-03 GUG Barnes Randall C 500 16.4500 500 16.4500 8,225 186 13.9800 -1,235 -15.02

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

GUG / Guggenheim Active Allocation Fund Insider Trades
MCN / XAI Madison Equity Premium Income Fund内部人士买入 - 短期收益分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士买入的盈利情况。这种分析有助于了解内部人士是否持续产生异常的回报，以及是否值得跟踪。该分析基于每笔交易后一年的情况，结果仅为理论值。

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最高利润的
天数		 达到最高利润时的
价格		 最高
利润($)		 最高回报率（%）
2007-11-26 MCN Barnes Randall C 5,000 11.1600 5,000 11.1600 55,800 67 12.32 5,800 10.39
2007-01-26 MCN Barnes Randall C 1,000 15.0700 1,000 15.0700 15,070
2005-06-20 MCN Barnes Randall C 1,300 15.2500 1,300 15.2500 19,825
2005-02-25 MCN Barnes Randall C 400 15.2600 400 15.2600 6,104
2005-01-31 MCN Barnes Randall C 1,300 15.1600 1,300 15.1600 19,708
2005-01-31 MCN Barnes Randall C 1,300 15.1400 1,300 15.1400 19,682

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

MCN / XAI Madison Equity Premium Income Fund Insider Trades
MCN / XAI Madison Equity Premium Income Fund内部人士卖出 - 短期亏损分析

在这一部分，我们分析了在 AVK.RT / Advent Convertible and Income Fund - Equity Right 中进行的每笔非计划的公开市场内部人士卖出所达成的短期亏损规避。如果存在持续的亏损规避模式，可能表明未来的内部人士卖出交易预示着价格的下跌。该分析基于每笔交易后一年的情况，

以下表格显示了最近的自动交易计划之外的公开市场买入。

交易日期 股票代码 内部人士 报告
股数		 报告
价格		 经调整
股数		 经调整
价格		 成本基础 达到最低利润的
天数		 达到最低利润时的
价格		 避免的
最高损失金额($)		 避免的
最高损失率($)
2009-05-01 MCN Barnes Randall C 2,450 6.6000 2,450 6.6000 16,170 12 6.31 -710 -4.39
2009-05-01 MCN Barnes Randall C 117 6.6100 117 6.6100 773
2008-08-20 MCN Barnes Randall C 2,500 9.8700 2,500 9.8700 24,675
2008-08-19 MCN Barnes Randall C 1,419 9.8800 1,419 9.8800 14,020
2008-08-19 MCN Barnes Randall C 3,901 9.8900 3,901 9.8900 38,581
2008-08-19 MCN Barnes Randall C 7,234 9.8800 7,234 9.8800 71,472
2008-08-19 MCN Barnes Randall C 526 9.8800 526 9.8800 5,197

经调整价格 已按拆股调整。经调整股数 已按拆股调整。

MCN / XAI Madison Equity Premium Income Fund Insider Trades
内幕交易历史

该表格显示了由 Randall C Barnes 进行的所有内幕交易的完整列表，这些交易已向美国证券交易委员会（SEC）披露。

备案日期 交易日期 表格 股票代码 证券 代码 10b5-1 股数 剩余股数 %
变化		 每股
股价		 交易
金额		 剩余
金额
2024-10-21 2024-10-17 4 AVK ADVENT CONVERTIBLE & INCOME FUND
Common Stock 		P - Purchase 3,785 15,140 33.33 11.28 42,695 170,779
2024-10-04 2024-10-03 4 GUG Guggenheim Active Allocation Fund
Common Stock 		S - Sale -500 65,322 -0.76 16.45 -8,225 1,074,547
2024-07-03 2024-07-02 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -5,849 0 -100.00 15.02 -87,852
2024-02-01 2024-02-01 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -10,000 5,849 -63.09 13.95 -139,500 81,596
2024-01-30 2024-01-30 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 385 65,822 0.59 14.50 5,582 954,419
2024-01-05 2024-01-05 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -20,000 15,849 -55.79 13.60 -272,000 215,546
2023-12-13 2023-12-13 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -6,000 35,849 -14.34 13.67 -82,020 490,056
2023-12-13 2023-12-13 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 5,880 65,437 9.87 13.92 81,850 910,883
2023-12-11 2023-12-08 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -2,000 41,849 -4.56 13.86 -27,720 580,027
2023-12-11 2023-12-08 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 2,000 59,557 3.47 14.07 28,140 837,967
2023-12-08 2023-12-07 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -8,000 43,849 -15.43 13.71 -109,680 601,170
2023-12-08 2023-12-07 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 7,725 57,557 15.50 14.12 109,077 812,705
2023-12-07 2023-12-06 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -16,000 51,849 -23.58 13.66 -218,560 708,257
2023-12-07 2023-12-06 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 14,705 49,832 41.86 14.01 206,017 698,146
2023-12-06 2023-12-05 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -20,000 67,849 -22.77 13.47 -269,400 913,926
2023-12-06 2023-12-05 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 6,000 35,127 20.60 13.92 83,520 488,968
2023-12-04 2023-12-01 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -6,211 90,849 -6.40 13.36 -82,979 1,213,743
2023-12-04 2023-12-04 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -3,000 87,849 -3.30 13.36 -40,080 1,173,663
2023-11-30 2023-11-29 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -1,000 107,060 -0.93 13.25 -13,250 1,418,545
2023-11-30 2023-11-30 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -10,000 97,060 -9.34 13.30 -133,000 1,290,898
2023-11-30 2023-11-30 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,000 29,127 3.56 13.85 13,850 403,409
2023-11-28 2023-11-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -1,000 108,060 -0.92 13.30 -13,300 1,437,198
2023-11-06 2023-11-03 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -9,926 0 -100.00 13.46 -133,601
2023-11-01 2023-10-31 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,000 28,127 3.69 12.99 12,990 365,370
2023-09-29 2023-09-29 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,784 27,127 7.04 13.58 24,227 368,385
2023-09-05 2023-09-05 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,390 25,343 5.80 13.98 19,432 354,295
2023-09-01 2023-09-01 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 333 23,953 1.41 14.10 4,695 337,737
2023-08-01 2023-08-01 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,729 23,620 7.90 14.16 24,483 334,459
2023-07-03 2023-07-01 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,645 21,891 8.13 14.36 23,622 314,355
2023-06-07 2023-06-07 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 310 20,246 1.55 13.80 4,278 279,395
2023-06-01 2023-06-01 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,400 19,936 7.55 13.75 19,250 274,120
2023-05-02 2023-05-01 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,146 18,536 6.59 14.11 16,170 261,543
2023-05-01 2023-04-28 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 500 17,390 2.96 14.08 7,040 244,851
2023-03-10 2023-03-10 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,610 16,890 10.54 14.27 22,975 241,020
2023-02-01 2023-02-01 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,540 15,280 11.21 14.85 22,869 226,908
2023-01-03 2022-12-30 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,645 13,740 13.60 13.49 22,191 185,353
2022-12-22 2022-12-21 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 2,400 12,095 24.76 13.73 32,952 166,064
2022-12-20 2022-12-20 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 2,030 9,695 26.48 13.87 28,156 134,470
2022-11-30 2022-11-30 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,560 7,665 25.55 13.80 21,528 105,777
2022-11-28 2022-11-28 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 2,860 6,105 88.14 14.01 40,069 85,531
2022-11-01 2022-11-01 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 1,565 3,245 93.15 13.60 21,284 44,132
2022-10-26 2022-10-25 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 270 1,680 19.15 13.05 3,524 21,924
2022-09-09 2022-09-08 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 240 1,410 20.51 14.60 3,504 20,586
2022-07-13 2022-07-13 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 170 1,170 17.00 14.18 2,411 16,591
2022-06-21 2022-06-21 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 275 1,000 37.93 13.92 3,828 13,920
2022-06-16 2022-06-16 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -356 0 -100.00
2022-06-15 2022-06-15 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -0 356 -0.12 16.77 -7 5,970
2022-06-15 2022-06-15 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -1 8,318 -0.01 16.75 -11 139,326
2022-06-15 2022-06-14 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -20,000 8,319 -70.62
2022-06-08 2022-06-02 4/A GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -13,000 27,881 -31.80 17.61 -228,930 490,984
2022-06-03 2022-06-02 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -13,000 27,881 -31.80 17.61 -228,930 490,984
2022-04-12 2022-04-12 4 GUG Guggenheim Active Allocation Fund
Common Stock 		P - Purchase 725 725 16.93 12,274 12,274
2022-01-13 2022-01-13 4 AVK ADVENT CONVERTIBLE & INCOME FUND
Common Stock 		P - Purchase 1,370 11,355 13.72 17.87 24,482 202,914
2022-01-11 2022-01-10 4 AVK ADVENT CONVERTIBLE & INCOME FUND
Common Stock 		P - Purchase 1,000 9,985 11.13 18.20 18,200 181,727
2022-01-05 2022-01-04 4 AVK ADVENT CONVERTIBLE & INCOME FUND
Common Stock 		P - Purchase 1,000 8,985 12.52 18.25 18,250 163,976
2021-12-30 2021-12-30 4 AVK ADVENT CONVERTIBLE & INCOME FUND
Common Stock 		P - Purchase 1,000 7,985 14.32 17.75 17,750 141,734
2021-11-03 2021-11-02 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -33,000 0 -100.00 19.08 -629,640
2021-07-20 2021-07-19 4 AVK ADVENT CONVERTIBLE & INCOME FUND
Common Stock 		P - Purchase 640 6,986 10.09 18.17 11,629 126,927
2020-04-16 2020-04-16 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 4,140 59,121 7.53 15.16 62,762 896,274
2019-12-30 2019-12-27 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,330 52,649 2.59 18.25 24,272 960,844
2019-12-30 2019-12-27 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,000 51,319 1.99 18.26 18,260 937,085
2019-12-30 2019-12-27 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,000 50,319 2.03 18.28 18,280 919,831
2019-05-13 2019-05-09 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 2,400 12,530 23.69 20.66 49,584 258,867
2019-01-23 2019-01-22 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,575 30,894 9.09 18.95 48,796 585,442
2019-01-23 2019-01-22 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,700 44,388 6.48 19.00 51,300 843,379
2018-12-27 2018-12-26 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 725 41,277 1.79 17.43 12,637 719,450
2018-12-13 2018-12-13 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 400 16,293,129 0.00 19.70 7,880 320,974,641
2018-12-13 2018-12-13 4/A GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 400 16,293 2.52 19.70 7,880 320,975
2018-09-26 2018-09-26 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 3,950 27,287 16.93 20.55 81,172 560,741
2018-08-28 2018-08-27 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		J - Other 1,895 6,346 42.59 0.50 938 3,142
2018-08-28 2018-08-27 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		J - Other 2,069 4,450 86.91 0.36 751 1,615
2018-07-17 2018-07-17 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 5,100 38,781 15.14 21.11 107,661 818,665
2018-06-18 2018-06-18 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 790 33,396 2.42 21.47 16,961 717,015
2018-03-27 2018-03-26 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 5,000 40,513 14.08 10.80 54,000 437,542
2018-02-07 2018-02-06 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,770 31,427 9.67 19.71 54,597 619,418
2018-02-05 2018-02-05 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,600 28,419 10.07 20.22 52,585 574,768
2018-01-30 2018-01-30 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,997 21,739 15.99 20.82 62,398 452,611
2018-01-30 2018-01-30 4 GPM Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund)
Common Stock 		S - Sale -4,275 0 -100.00 9.30 -39,758
2017-10-24 2017-10-23 4/A FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 500 35,513 1.43 12.30 6,150 436,812
2017-10-23 2017-10-23 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 500 35,513 1.43 12.30 6,150 436,812
2017-08-14 2017-08-11 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 5,000 30,513 19.60 12.70 63,500 387,518
2017-04-26 2017-04-26 4 GPM Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund)
Common Stock 		S - Sale -6,459 3,934 -62.15 8.36 -53,997 32,884
2017-03-22 2017-03-20 4 GPM Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund)
Common Stock 		J - Other 1,492 10,393 16.76 8.66 12,921 90,003
2016-12-07 2016-12-06 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 620 8,001 8.40 21.26 13,181 170,106
2016-06-30 2016-06-29 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,350 12,503 12.10 20.23 27,310 252,936
2016-05-04 2016-05-03 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 260 11,153 2.39 19.30 5,018 215,253
2016-03-15 2016-03-14 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 600 10,893 5.83 18.35 11,010 199,887
2016-03-15 2016-03-14 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 4,000 15,395 35.10 16.15 64,600 248,629
2016-03-15 2016-03-14 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,000 7,498 36.38 16.13 32,260 120,936
2016-02-11 2016-02-10 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 3,000 20,756 16.90 15.50 46,500 321,720
2016-02-09 2016-02-09 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 3,000 25,513 13.33 9.15 27,450 233,446
2016-02-03 2016-02-02 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 550 5,295 11.59 18.30 10,065 96,898
2016-02-02 2016-02-01 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 900 7,138 14.43 18.50 16,650 132,053
2016-02-02 2016-02-01 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,200 10,293 13.20 18.55 22,260 190,935
2016-01-27 2016-01-25 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 300 22,513 1.35 9.65 2,895 217,252
2016-01-19 2016-01-19 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common stock 		P - Purchase 10,000 22,213 81.88 10.36 103,600 230,129
2016-01-11 2016-01-11 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 2,000 12,213 19.58 11.85 23,700 144,726
2015-11-24 2015-11-23 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 3,000 10,213 41.59 14.10 42,300 144,006
2015-10-28 2015-10-27 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 3,000 7,213 71.20 16.01 48,030 115,483
2015-10-06 2015-10-02 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 650 6,238 11.63 19.75 12,838 123,200
2015-10-06 2015-10-02 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,200 9,093 15.20 19.74 23,688 179,496
2015-09-17 2015-09-15 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 2,000 4,213 90.37 17.72 35,450 74,679
2015-08-28 2015-08-27 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 1,000 1,000 18.67 18,670 18,670
2015-08-28 2015-08-27 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 537 2,213 32.04 18.60 9,988 41,165
2015-08-27 3 XGEIX Guggenheim Energy & Income Fund
Common Stock - Initial Filing 		0
2015-07-29 2015-07-27 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		P - Purchase 1,000 1,676 147.89 20.20 20,200 33,859
2015-07-01 2015-06-30 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 500 5,588 9.83 21.75 10,875 121,539
2015-03-13 2015-03-11 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 579 5,088 12.84 22.17 12,836 112,796
2015-03-13 2015-03-11 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 626 4,745 15.20 22.18 13,885 105,244
2015-03-11 2015-03-10 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 119 4,509 2.71 22.30 2,654 100,551
2015-03-09 2015-03-06 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 4,419 29.25 22.36 22,360 98,809
2015-03-09 2015-03-06 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 2,350 7,893 42.40 22.36 52,546 176,487
2015-03-03 2015-03-02 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 168 5,543 3.13 22.40 3,763 124,163
2014-12-23 2014-12-22 4 AGC Advent Claymore Convertible Securities & Income Fund II
Common Stock 		P - Purchase 1,800 5,700 46.15 6.28 11,304 35,796
2014-12-23 2014-12-22 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock 		P - Purchase 200 3,828 5.51 8.91 1,782 34,107
2014-12-15 2015-12-12 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 400 3,119 14.71 21.80 8,720 67,994
2014-12-11 2014-12-11 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 200 2,719 7.94 21.78 4,356 59,220
2014-12-10 2014-12-09 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 290 4,390 7.07 22.10 6,409 97,019
2014-12-10 2014-12-09 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 400 5,375 8.04 22.10 8,840 118,788
2014-10-14 2014-10-10 4 AGC Advent Claymore Convertible Securities & Income Fund II
Common Stock 		P - Purchase 2,000 3,900 105.26 6.50 13,000 25,350
2014-10-14 2014-10-10 4 LCM ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
Common Stock 		P - Purchase 1,900 3,628 109.93 9.14 17,356 33,145
2014-10-14 2014-10-10 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 1,000 2,382 72.38 16.66 16,659 39,675
2014-03-18 2014-03-18 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		S - Sale -2,011 2,519 -44.39 23.50 -47,258 59,196
2014-02-20 2014-02-18 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		S - Sale 2,388 0 -100.00 18.78 44,847
2014-01-31 2014-01-31 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 700 14,343 5.13 21.15 14,805 303,364
2014-01-31 2014-01-30 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 5 9,102 0.05 21.19 106 192,869
2014-01-22 2014-01-22 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		S - Sale -2,000 0 -100.00 18.76 -37,520
2014-01-22 2014-01-22 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		S - Sale -1,000 2,389 -29.51 18.77 -18,770 44,836
2014-01-22 2014-01-09 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		S - Sale -2,000 3,389 -37.11 18.74 -37,480 63,504
2014-01-21 2014-01-17 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 700 13,643 5.41 21.16 14,812 288,695
2013-12-31 2013-12-30 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,530 4,530 51.00 22.50 34,425 101,925
2013-12-31 2013-12-30 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 645 4,975 14.90 22.50 14,512 111,938
2013-12-18 2013-12-18 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 900 12,836 7.54 20.55 18,495 263,789
2013-12-18 2013-12-16 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 300 9,019 3.44 21.25 6,375 191,649
2013-11-01 2013-10-31 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 500 4,330 13.05 23.05 11,525 99,806
2013-11-01 2013-10-31 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 5,100 24.39 23.10 23,100 117,810
2013-10-08 2013-10-08 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,500 4,100 57.69 23.35 35,025 95,735
2013-10-08 2013-10-08 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 3,000 50.00 23.35 23,350 70,050
2013-10-08 2013-10-08 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 4,100 32.26 23.20 23,200 95,120
2013-10-08 2013-10-07 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 2,600 62.50 23.35 23,350 60,710
2013-10-08 2013-10-07 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 2,000 100.00 23.35 23,350 46,700
2013-10-08 2013-10-07 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 1,000 23.45 23,450 23,450
2013-10-08 2013-10-07 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 3,100 47.62 23.50 23,500 72,850
2013-10-04 2013-10-04 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 2,100 90.91 23.53 23,530 49,413
2013-10-04 2013-10-04 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 1,100 1,000.00 23.60 23,600 25,960
2013-10-04 2013-10-04 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,100 3,830 40.29 23.55 25,905 90,196
2013-10-04 2013-10-03 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 100 100 23.58 2,358 2,358
2013-10-02 2013-10-01 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,000 2,730 57.80 23.58 23,580 64,373
2013-10-01 2013-09-30 4 GGM Guggenheim Credit Allocation Fund
Coommon Stock 		P - Purchase 1,100 1,730 174.60 23.62 25,982 40,863
2013-09-06 2013-09-05 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 630 630 23.40 14,742 14,742
2013-09-05 2013-09-04 4 GGM Guggenheim Credit Allocation Fund
Common Stock 		P - Purchase 1,600 1,600 23.50 37,600 37,600
2013-06-28 3 GGM Guggenheim Credit Allocation Fund
Common Stock 		0
2013-06-25 2013-06-24 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 200 4,132 5.09 21.11 4,222 87,227
2013-06-25 2013-06-24 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 5,000 10,987 83.51 21.08 105,400 231,606
2013-06-12 2013-06-11 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 200 3,932 5.36 21.90 4,380 86,111
2013-06-12 2013-06-11 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 400 8,274 5.08 21.90 8,760 181,201
2013-06-12 2013-06-11 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,000 12,822 18.48 21.85 43,700 280,161
2013-06-12 2013-06-11 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,000 5,987 20.05 21.89 21,890 131,055
2013-06-12 2013-06-11 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,600 11,328 29.79 21.90 56,940 248,083
2013-01-10 2013-01-10 4 GPM Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund)
Common Stock 		S - Sale -100 0 -100.00 8.76 -876
2013-01-10 2013-01-10 4 GPM Guggenheim Enhanced Equity Income Fund (f/k/a Old Mutual/Claymore Long-Short Fund)
Common Stock 		S - Sale -4,900 100 -98.00 8.76 -42,924 876
2013-01-10 2013-01-10 4 GGE GUGGENHEIM ENHANCED EQUITY STRATEGY FUND
Common Stock 		S - Sale -50 0 -100.00 17.90 -895
2013-01-10 2013-01-10 4 GGE GUGGENHEIM ENHANCED EQUITY STRATEGY FUND
Common Stock 		S - Sale -2,850 50 -98.28 17.88 -50,958 894
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,300 3,700 54.17 21.23 27,599 78,551
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 4,000 10,400 62.50 21.24 84,960 220,896
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 4,000 6,400 166.67 21.23 84,920 135,872
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,000 2,400 500.00 21.17 42,340 50,808
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 400 400 21.15 8,460 8,460
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,000 8,354 31.48 21.23 42,460 177,355
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 200 6,354 3.25 21.22 4,244 134,832
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 500 6,154 8.84 21.13 10,565 130,034
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 140 5,654 2.54 20.93 2,930 118,338
2012-12-31 2012-12-28 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		S - Sale -74 5,514 -1.32 21.04 -1,557 116,015
2012-12-28 2012-12-26 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,000 7,535 36.13 21.45 42,900 161,626
2012-12-28 2012-12-26 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,600 5,535 40.66 21.40 34,240 118,449
2012-12-28 2012-12-26 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,500 5,588 36.69 21.40 32,100 119,583
2012-12-28 2012-12-26 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,890 4,793 65.11 21.65 40,918 103,768
2012-12-28 2012-12-26 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 2,400 2,400 21.45 51,480 51,480
2012-12-26 2012-12-21 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 110 2,903 3.94 21.65 2,382 62,850
2012-12-06 2012-12-05 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 793 2,793 39.65 21.00 16,653 58,653
2012-12-06 2012-12-05 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,000 2,000 100.00 21.08 21,080 42,160
2012-12-06 2012-12-05 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		P - Purchase 1,000 1,000 21.10 21,100 21,100
2012-05-04 2012-05-03 4 GGE GUGGENHEIM ENHANCED EQUITY STRATEGY FUND
Common Stock 		P - Purchase 700 700 17.24 12,068 12,068
2012-05-04 2012-05-03 4 GGE GUGGENHEIM ENHANCED EQUITY STRATEGY FUND
Common Stock 		P - Purchase 2,900 2,900 17.22 49,938 49,938
2012-02-07 2012-02-06 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Shares 		P - Purchase 950 3,650 35.19 19.98 18,981 72,927
2012-02-07 2012-02-06 4 GOF GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Shares 		P - Purchase 2,000 3,820 109.89 19.98 39,960 76,324
2010-10-12 2010-10-07 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		S - Sale -5,000 8,440 -37.20 17.76 -88,800 149,894
2010-10-12 2010-10-07 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		S - Sale -5,000 13,440 -27.11 17.76 -88,800 238,694
2010-09-28 3 BAB Guggenheim Build America Bonds Managed Duration Trust
Common Stock 		0
2010-08-18 2010-08-13 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		S - Sale -1 18,511 0.00 16.88 -9 312,464
2010-02-02 2007-10-01 4 GOF CLAYMORE/GUGGENHEIM STRATEGIC OPPORTUNITIES FUND
Common Stock 		J - Other -1,820 2,700 -40.27 18.25 -33,215 49,275
2010-02-02 2007-10-01 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common Stock 		J - Other -10,720 2,480 -81.21 16.24 -174,093 40,275
2010-02-02 2007-10-01 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common Stock 		J - Other -5,358 5,442 -49.61 16.24 -87,014 88,378
2010-02-02 2007-10-01 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common Stock 		J - Other -23,110 5,000 -82.21 16.24 -375,306 81,200
2010-02-02 2007-10-01 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		J - Other -110 3,786 -2.82 25.76 -2,834 97,527
2010-02-02 2007-10-01 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		J - Other -15,081 2,000 -88.29 25.76 -388,487 51,520
2010-02-02 2007-10-01 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		J - Other -733 12,348 -5.60 25.76 -18,882 318,084
2009-12-21 2009-12-21 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		S - Sale -1,000 600 -62.50 17.44 -17,445 10,467
2009-10-30 2009-10-30 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		S - Sale -2,000 1,600 -55.56 16.32 -32,640 26,112
2009-10-30 2009-10-29 4 FMO FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND
Common Stock 		S - Sale -6,600 3,600 -64.71 16.20 -106,920 58,320
2009-05-06 2009-05-01 4 MCN Madison/Claymore Covered Call & Equity Strategy Fund
Common Stock 		S - Sale -117 0 -100.00 6.61 -773
2009-05-06 2009-05-01 4 MCN Madison/Claymore Covered Call & Equity Strategy Fund
Common Stock 		S - Sale -2,450 117 -95.44 6.60 -16,170 772
2008-09-12 2008-09-11 4 GOF Claymore/Guggenheim Strategic Opportunities Fund
Common Stock 		P - Purchase 1,000 6,720 17.48 15.84 15,840 106,445
2008-09-12 2008-09-10 4 GOF Claymore/Guggenheim Strategic Opportunities Fund
Common Stock 		P - Purchase 1,200 5,720 26.55 15.93 19,116 91,120
2008-08-20 2008-08-19 4 GOF Claymore/Guggenheim Strategic Opportunities Fund
Common Stock 		P - Purchase 2,700 4,520 148.35 15.74 42,498 71,145
2008-08-20 2008-08-19 4 GOF Claymore/Guggenheim Strategic Opportunities Fund
Common Stock 		P - Purchase 1,610 1,820 766.67 15.66 25,213 28,501
2008-08-20 2008-08-20 4 MCN Madison/Claymore Covered Call & Equity Strategy Fund
Common Stock 		S - Sale -2,500 8,394 -22.95 9.87 -24,675 82,849
2008-08-20 2008-08-19 4 MCN Madison/Claymore Covered Call & Equity Strategy Fund
Common Stock 		S - Sale -526 10,894 -4.61 9.88 -5,197 107,633
2008-08-20 2008-08-19 4 MCN Madison/Claymore Covered Call & Equity Strategy Fund
Common Stock 		S - Sale -7,234 11,420 -38.78 9.88 -71,472 112,830
2008-08-20 2008-08-19 4 MCN Madison/Claymore Covered Call & Equity Strategy Fund
Common Stock 		S - Sale -3,901 18,654 -17.30 9.89 -38,581 184,488
2008-08-20 2008-08-19 4 MCN Madison/Claymore Covered Call & Equity Strategy Fund
Common Stock 		S - Sale -1,419 22,555 -5.92 9.88 -14,020 222,843
2008-04-10 2008-04-10 4 GOF Claymore/Guggenheim Strategic Opportunities Fund
Common 		P - Purchase 210 210 16.32 3,427 3,427
2007-12-26 2007-12-24 4 FMO Fiduciary/Claymore MLP Opportunity Fund
Common Stock 		P - Purchase 4,200 11,800 55.26 20.35 85,470 240,130
2007-12-26 2007-12-21 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 4,000 17,081 30.58 22.59 90,360 385,860
2007-12-26 2007-12-21 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 5,000 13,081 61.87 22.52 112,600 294,584
2007-11-26 2007-11-26 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common Stock 		P - Purchase 5,000 28,110 21.64 14.61 73,050 410,687
2007-11-26 2007-11-26 4 MCN Madison/Claymore Covered Call Fund
Common Stock 		P - Purchase 5,000 15,600 47.17 11.16 55,800 174,096
2007-11-23 2007-11-21 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common Stock 		P - Purchase 5,000 23,110 27.61 14.53 72,650 335,788
2007-08-15 2007-08-15 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 6,000 12,581 91.17 22.52 135,150 283,387
2007-08-15 2007-08-14 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 1,000 6,581 17.92 23.37 23,370 153,798
2007-08-07 2007-08-01 4 FMO Fiduciary/Claymore MLP Opportunity Fund
Common Shares 		P - Purchase 3,000 7,600 65.22 22.74 68,220 172,824
2007-05-29 2007-05-29 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 210 5,581 3.91 27.59 5,794 153,980
2007-01-30 2007-01-30 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 1,475 5,371 37.86 28.10 41,448 150,925
2007-01-29 2007-01-26 4 MCN Madison/Claymore Covered Call Fund
Common Stock 		P - Purchase 1,000 10,600 10.42 15.07 15,070 159,742
2007-01-29 2007-01-26 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Stock 		P - Purchase 3,000 3,896 334.82 28.12 84,360 109,556
2006-11-17 2006-11-17 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Shares 		P - Purchase 140 896 18.52 26.20 3,668 23,475
2006-11-17 2006-11-17 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common Shares 		P - Purchase 156 756 26.00 26.20 4,087 19,807
2006-05-26 2006-05-25 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 600 18,110 3.43 16.63 9,978 301,169
2006-05-15 2006-05-11 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 1,600 17,510 10.06 17.06 27,296 298,721
2006-05-15 2006-05-11 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 1,800 15,910 12.76 17.06 30,708 271,425
2006-04-26 2006-04-26 4 FMO Fiduciary/Claymore MLP Opportunity Fund
Common shares 		P - Purchase 400 4,600 9.52 18.45 7,380 84,870
2006-04-26 2006-04-24 4 FMO Fiduciary/Claymore MLP Opportunity Fund
Common shares 		P - Purchase 1,200 4,200 40.00 18.40 22,080 77,280
2006-04-20 2006-04-19 4 FMO Fiduciary/Claymore MLP Opportunity Fund
Common shares 		P - Purchase 2,000 3,000 200.00 18.38 36,760 55,140
2006-01-30 2006-01-27 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 750 14,110 5.61 17.35 13,012 244,808
2006-01-25 2006-01-23 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 160 13,360 1.21 17.24 2,758 230,326
2006-01-25 2006-01-23 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Commons shares 		P - Purchase 2,400 13,200 22.22 17.22 41,328 227,304
2006-01-25 2006-01-23 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 2,300 10,800 27.06 17.22 39,599 185,943
2006-01-25 2006-01-23 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 2,000 8,500 30.77 17.20 34,400 146,200
2006-01-18 2005-01-18 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 2,000 6,500 44.44 17.50 35,000 113,750
2005-12-12 2005-12-08 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 1,500 4,500 50.00 18.00 27,000 81,000
2005-12-01 2005-11-30 4 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		P - Purchase 3,000 3,000 17.76 53,292 53,292
2005-10-12 2005-10-11 4 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common shares 		P - Purchase 600 600 24.91 14,946 14,946
2005-10-11 3 AVK ADVENT CLAYMORE CONVERTIBLE SECURITIES & INCOME FUND
Common shares 		0
2005-08-23 3 OLA Old Mutual/Claymore Long-Short Fund (f.k.a. Analytic Covered Call Plus Fund)
Common shares 		0
2005-06-22 2005-06-20 4 MCN Madison/Claymore Covered Call Fund
Common shares 		P - Purchase 1,300 9,600 15.66 15.25 19,825 146,400
2005-02-28 2005-02-25 4 MCN Madison/Claymore Covered Call Fund
Common stock 		P - Purchase 400 7,100 5.97 15.26 6,104 108,346
2005-02-02 2005-01-31 4 MCN Madison/Claymore Covered Call Fund
Common stock 		P - Purchase 1,300 6,700 24.07 15.14 19,682 101,438
2005-02-02 2005-01-31 4 MCN Madison/Claymore Covered Call Fund
Common stock 		P - Purchase 1,300 5,400 31.71 15.16 19,708 81,864
2004-12-22 3 FMO Fiduciary/Claymore MLP Opportunity Fund
Common Shares 		0
2004-07-29 3/A MCN Madison Claymore Covered Call Fund
Madison/Claymore Covered Call Fund 		0
2004-07-29 3 MCN Madison Claymore Covered Call Fund
Madison/Claymore Covered Call Fund 		0
P
非衍生或衍生证券的公开市场或私下买入
S
非衍生或衍生证券的公开市场或私下卖出
A
公司向内部人员授予、奖励或以其他方式获取证券（例如股票期权）
C
衍生工具转换
D
将证券卖出或转让回公司
F
使用从公司收到的证券的一部分来支付行使价或税务负担。
G
内部人士赠送或接收他人赠送公司股票
K
股权掉期和类似的避险交易
M
行使或转换从公司获得的衍生证券（例如期权）
V
内部人士通过Form 4自愿报告的一笔交易
J
其他（附有交易描述的脚注）