Barnes Randall C — SEC Form 4 filings
SEC reporting owner CIK 1298064. 11 Form 4 filings on record with FilingPulse; latest filed 2026-03-19.
Transaction summary — filings shown
Covers all 11 filings on record, filed 2024-01-30 to 2026-03-19. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 7 legs across 7 filings — 10,750 shares, $127,277 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 4 legs across 4 filings — 19,349 shares, $283,127 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 0.
- Largest priced transaction: sale of 10,000 shares @ $13.95 ($139,500) in GUGGENHEIM STRATEGIC OPPORTUNITIES FUND, filed 2024-02-01.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Director | 7 | 5 legs · 6,580 sh · $79,000 | 2 legs · 15,849 sh · $227,352 | — |
| Guggenheim Active Allocation Fund (GUG) | Director | 3 | 1 leg · 385 sh · $5,582 | 2 legs · 3,500 sh · $55,775 | — |
| ADVENT CONVERTIBLE & INCOME FUND (AVK) | Director | 1 | 1 leg · 3,785 sh · $42,695 | — | — |
Form 4 filings — Barnes Randall C
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-03-19 | 4 | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Purchase (P): 220 @ $11.39 | EDGAR |
| 2026-03-13 | 4 | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Purchase (P): 220 @ $11.39 | EDGAR |
| 2026-03-09 | 4 | Guggenheim Active Allocation Fund (GUG) | Sale (S): 3,000 @ $15.85 | EDGAR |
| 2026-03-09 | 4 | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Purchase (P): 4,180 @ $11.59 | EDGAR |
| 2025-11-04 | 4 | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Purchase (P): 380 @ $13.08 | EDGAR |
| 2025-10-30 | 4 | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Purchase (P): 1,580 @ $13.02 | EDGAR |
| 2024-10-21 | 4 | ADVENT CONVERTIBLE & INCOME FUND (AVK) | Purchase (P): 3,785 @ $11.28 | EDGAR |
| 2024-10-04 | 4 | Guggenheim Active Allocation Fund (GUG) | Sale (S): 500 @ $16.45 | EDGAR |
| 2024-07-03 | 4 | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Sale (S): 5,849 @ $15.02 | EDGAR |
| 2024-02-01 | 4 | GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (GOF) | Sale (S): 10,000 @ $13.95 | EDGAR |
| 2024-01-30 | 4 | Guggenheim Active Allocation Fund (GUG) | Purchase (P): 385 @ $14.50 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
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