SCHEDULE: Morgan Stanley Amends Stake in Guggenheim Active Allocation Fund

Morgan Stanley and its subsidiary, Morgan Stanley Smith Barney LLC, have filed an Amendment No. 3 to their Schedule 13G, disclosing an 8.4% beneficial ownership in Guggenheim Active Allocation Fund.

Summary

• Morgan Stanley and Morgan Stanley Smith Barney LLC are reporting beneficial ownership in Guggenheim Active Allocation Fund.
• Morgan Stanley beneficially owns 2,777,696.00 common shares, representing 8.4% of the class.
• Morgan Stanley Smith Barney LLC beneficially owns 2,775,942.00 common shares, also representing 8.4% of the class.
• The filing is an Amendment No. 3 to a Schedule 13G, indicating an update to previous ownership disclosures.
• The date of the event requiring this filing is September 30, 2025.
• Morgan Stanley Smith Barney LLC is identified as a wholly-owned subsidiary of Morgan Stanley.

Sentiment

Score: 5

Explanation: Neutral, as this is a factual disclosure of beneficial ownership without performance or operational details of the issuer.

Positives

• Disclosure of significant institutional ownership by Morgan Stanley, a major financial institution, in Guggenheim Active Allocation Fund.

Future Outlook

NA

Industry Context

This filing reflects a standard disclosure of significant beneficial ownership by a major financial institution in an investment fund, common in the asset management and investment banking sectors. Such disclosures provide transparency regarding institutional investment positions.

Stakeholder Impact

• Shareholders of Guggenheim Active Allocation Fund: Provides transparency regarding significant institutional holders, which can influence market perception and liquidity.
• Morgan Stanley: Discloses its investment position in the fund.

Key Dates

Keywords

Morgan Stanley, Guggenheim Active Allocation Fund, Schedule 13G, Beneficial Ownership, Institutional Investor, Common Shares, Investment Fund, SEC Filing