|
|
|
|
|
Mutual Funds |
| |
Equity |
| |
1.31.2023 |
Ticker Symbol |
Fund Name | |||
Class A |
Class C |
Institutional Class |
Class P |
|
TVDAX |
TVDCX |
TVIDX |
TVFDX |
Guggenheim RBP® Large-Cap Defensive Fund |
TVEAX |
TVECX |
TVEIX |
TVEFX |
Guggenheim RBP® Dividend Fund |
TVMAX |
TVMCX |
TVIMX |
TVFMX |
Guggenheim RBP® Large-Cap Market Fund |
TVVAX |
TVVCX |
TVVIX |
TVVFX |
Guggenheim RBP® Large-Cap Value Fund |
TVRAX |
TVRCX |
TVRIX |
TVFRX |
Guggenheim Directional Allocation Fund |
RBP-STAT-PRO-0123x0124 |
guggenheiminvestments.com |
1 | |
8 | |
15 | |
23 | |
30 | |
42 | |
42 | |
43 | |
43 | |
67 | |
67 | |
68 | |
68 | |
69 | |
69 | |
71 | |
72 | |
72 | |
72 | |
73 | |
73 | |
73 | |
74 | |
75 | |
75 | |
75 | |
75 | |
76 | |
76 | |
77 | |
79 | |
79 | |
80 | |
80 | |
81 | |
81 | |
81 | |
82 | |
82 | |
83 | |
83 | |
83 | |
83 |
84 | |
84 | |
84 | |
84 | |
84 | |
85 | |
85 | |
85 | |
86 | |
86 | |
86 | |
86 | |
87 | |
87 | |
87 | |
87 | |
87 | |
87 | |
89 | |
89 | |
89 | |
90 | |
90 | |
90 | |
90 | |
90 | |
91 | |
93 | |
93 | |
94 | |
95 | |
121 | |
122 | |
122 | |
122 | |
A-1 |
|
Class A |
Class C |
Institutional Class |
Class P |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
|
|
|
|
Maximum Deferred Sales Charge (Load) (as a percentage of original purchase price or redemption proceeds, whichever is lower) |
|
|
|
|
|
Class A |
Class C |
Institutional Class |
Class P |
Management Fees |
|
|
|
|
Distribution and/or Service (12b-1) Fees |
|
|
|
|
Other Expenses |
|
|
|
|
Total Annual Fund Operating Expenses |
|
|
|
|
Fee Waiver (and/or expense reimbursement)1 |
- |
- |
- |
- |
Total Annual Fund Operating Expenses After Fee Waiver (and/or expense reimbursement) |
|
|
|
|
|
1 Year |
3 Years |
5 Years |
10 Years |
Class A |
$ |
$ |
$ |
$ |
Class C |
$ |
$ |
$ |
$ |
Institutional |
$ |
$ |
$ |
$ |
Class P |
$ |
$ |
$ |
$ |
|
1 Year |
3 Years |
5 Years |
10 Years |
Class C |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
1 Year |
5 Years |
10 Years |
Class P |
|
|
|
Return Before Taxes |
- |
|
|
Return After Taxes on Distributions |
- |
|
|
Return After Taxes on Distributions and Sale of Fund Shares |
- |
|
|
Class A—Before Taxes |
- |
|
|
Class C—Before Taxes |
- |
|
|
Institutional Class—Before Taxes |
- |
|
|
Index |
|
|
|
Dow Jones U.S. Large-Cap Total Stock Market IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Guggenheim RBP® Large-Cap Defensive IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Name* |
Experience with the Fund |
Primary Title with Investment Manager |
Burak Hurmeydan |
Since 2018 |
Director and Portfolio Manager |
Farhan Sharaff |
Since 2017 |
Assistant Chief Investment Officer, Equities, Senior Managing Director and Portfolio Manager |
Douglas Makin |
Since 2020 |
Director and Portfolio Manager |
|
Class A |
Class C |
Institutional Class |
Class P |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
|
|
|
|
Maximum Deferred Sales Charge (Load) (as a percentage of original purchase price or redemption proceeds, whichever is lower) |
|
|
|
|
|
Class A |
Class C |
Institutional Class |
Class P |
Management Fees |
|
|
|
|
Distribution and/or Service (12b-1) Fees |
|
|
|
|
Other Expenses |
|
|
|
|
Total Annual Fund Operating Expenses |
|
|
|
|
Fee Waiver (and/or expense reimbursement)1 |
- |
- |
- |
- |
Total Annual Fund Operating Expenses After Fee Waiver (and/or expense reimbursement) |
|
|
|
|
|
1 Year |
3 Years |
5 Years |
10 Years |
Class A |
$ |
$ |
$ |
$ |
Class C |
$ |
$ |
$ |
$ |
Institutional |
$ |
$ |
$ |
$ |
Class P |
$ |
$ |
$ |
$ |
|
1 Year |
3 Years |
5 Years |
10 Years |
Class C |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
1 Year |
5 Years |
10 Years |
Institutional Class |
|
|
|
Return Before Taxes |
- |
|
|
Return After Taxes on Distributions |
- |
|
|
Return After Taxes on Distributions and Sale of Fund Shares |
- |
|
|
Class A—Before Taxes |
- |
|
|
Class C—Before Taxes |
- |
|
|
Class P—Before Taxes |
- |
|
|
Index |
|
|
|
Dow Jones U.S. Large-Cap Total Stock Market IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Guggenheim RBP® Dividend IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Name* |
Experience with the Fund |
Primary Title with Investment Manager |
Burak Hurmeydan |
Since 2018 |
Director and Portfolio Manager |
Farhan Sharaff |
Since 2017 |
Assistant Chief Investment Officer, Equities, Senior Managing Director and Portfolio Manager |
Douglas Makin |
Since 2020 |
Director and Portfolio Manager |
|
Class A |
Class C |
Institutional Class |
Class P |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
|
|
|
|
Maximum Deferred Sales Charge (Load) (as a percentage of original purchase price or redemption proceeds, whichever is lower) |
|
|
|
|
|
Class A |
Class C |
Institutional Class |
Class P |
Management Fees |
|
|
|
|
Distribution and/or Service (12b-1) Fees |
|
|
|
|
Other Expenses |
|
|
|
|
Total Annual Fund Operating Expenses |
|
|
|
|
Fee Waiver (and/or expense reimbursement)1 |
- |
- |
- |
- |
Total Annual Fund Operating Expenses After Fee Waiver (and/or expense reimbursement) |
|
|
|
|
|
1 Year |
3 Years |
5 Years |
10 Years |
Class A |
$ |
$ |
$ |
$ |
Class C |
$ |
$ |
$ |
$ |
Institutional |
$ |
$ |
$ |
$ |
Class P |
$ |
$ |
$ |
$ |
|
1 Year |
3 Years |
5 Years |
10 Years |
Class C |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
1 Year |
5 Years |
10 Years |
Class P |
|
|
|
Return Before Taxes |
- |
|
|
Return After Taxes on Distributions |
- |
|
|
Return After Taxes on Distributions and Sale of Fund Shares |
- |
|
|
Class A—Before Taxes |
- |
|
|
Class C—Before Taxes |
- |
|
|
Institutional Class—Before Taxes |
- |
|
|
Index |
|
|
|
Dow Jones U.S. Large-Cap Total Stock Market IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Guggenheim RBP® Large-Cap Market IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Name* |
Experience with the Fund |
Primary Title with Investment Manager |
Burak Hurmeydan |
Since 2018 |
Director and Portfolio Manager |
Farhan Sharaff |
Since 2017 |
Assistant Chief Investment Officer, Equities, Senior Managing Director and Portfolio Manager |
Douglas Makin |
Since 2020 |
Director and Portfolio Manager |
|
Class A |
Class C |
Institutional Class |
Class P |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
|
|
|
|
Maximum Deferred Sales Charge (Load) (as a percentage of original purchase price or redemption proceeds, whichever is lower) |
|
|
|
|
|
Class A |
Class C |
Institutional Class |
Class P |
Management Fees |
|
|
|
|
Distribution and/or Service (12b-1) Fees |
|
|
|
|
Other Expenses |
|
|
|
|
Total Annual Fund Operating Expenses |
|
|
|
|
Fee Waiver (and/or expense reimbursement)1 |
- |
- |
- |
- |
Total Annual Fund Operating Expenses After Fee Waiver (and/or expense reimbursement) |
|
|
|
|
|
1 Year |
3 Years |
5 Years |
10 Years |
Class A |
$ |
$ |
$ |
$ |
Class C |
$ |
$ |
$ |
$ |
Institutional |
$ |
$ |
$ |
$ |
Class P |
$ |
$ |
$ |
$ |
|
1 Year |
3 Years |
5 Years |
10 Years |
Class C |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
1 Year |
5 Years |
10 Years |
Institutional Class |
|
|
|
Return Before Taxes |
- |
|
|
Return After Taxes on Distributions |
- |
|
|
Return After Taxes on Distributions and Sale of Fund Shares |
- |
|
|
Class A—Before Taxes |
- |
|
|
Class C—Before Taxes |
- |
|
|
Class P—Before Taxes |
- |
|
|
Index |
|
|
|
Dow Jones U.S. Large-Cap Value Total Stock Market IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Guggenheim RBP® Large-Cap Value IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Name* |
Experience with the Fund |
Primary Title with Investment Manager |
Burak Hurmeydan |
Since 2018 |
Director and Portfolio Manager |
Farhan Sharaff |
Since 2017 |
Assistant Chief Investment Officer, Equities, Senior Managing Director and Portfolio Manager |
Douglas Makin |
Since 2020 |
Director and Portfolio Manager |
|
Class A |
Class C |
Institutional Class |
Class P |
Maximum Sales Charge (Load) Imposed on Purchases (as a percentage of offering price) |
|
|
|
|
Maximum Deferred Sales Charge (Load) (as a percentage of original purchase price or redemption proceeds, whichever is lower) |
|
|
|
|
|
Class A |
Class C |
Institutional Class |
Class P |
Management Fees |
|
|
|
|
Distribution and/or Service (12b-1) Fees |
|
|
|
|
Other Expenses |
|
|
|
|
Total Annual Fund Operating Expenses |
|
|
|
|
Fee Waiver (and/or expense reimbursement)1,2 |
- |
- |
- |
- |
Total Annual Fund Operating Expenses After Fee Waiver (and/or expense reimbursement) |
|
|
|
|
|
1 Year |
3 Years |
5 Years |
10 Years |
Class A |
$ |
$ |
$ |
$ |
Class C |
$ |
$ |
$ |
$ |
Institutional |
$ |
$ |
$ |
$ |
Class P |
$ |
$ |
$ |
$ |
|
1 Year |
3 Years |
5 Years |
10 Years |
Class C |
$ |
$ |
$ |
$ |
|
|
|
|
|
|
|
|
|
|
1 Year |
5 Years |
10 Years |
Institutional Class |
|
|
|
Return Before Taxes |
- |
|
|
Return After Taxes on Distributions |
- |
|
|
Return After Taxes on Distributions and Sale of Fund Shares |
- |
|
|
Class A—Before Taxes |
- |
|
|
Class C—Before Taxes |
- |
|
|
Class P—Before Taxes |
- |
|
|
Index |
|
|
|
Dow Jones U.S. Large-Cap Total Stock Market IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Guggenheim Directional Allocation IndexSM (reflects no deduction for fees, expenses or taxes) |
- |
|
|
Name* |
Experience with the Fund |
Primary Title with Investment Manager |
Burak Hurmeydan |
Since 2018 |
Director and Portfolio Manager |
Farhan Sharaff |
Since 2017 |
Assistant Chief Investment Officer, Equities, Senior Managing Director and Portfolio Manager |
Douglas Makin |
Since 2020 |
Director and Portfolio Manager |
Fund |
Effective Advisory Fees |
Guggenheim RBP® Large-Cap Defensive Fund |
0.00% |
Guggenheim RBP® Dividend Fund |
0.05% |
Guggenheim RBP® Large-Cap Market Fund |
0.00% |
Guggenheim RBP® Large-Cap Value Fund |
0.00% |
Guggenheim Directional Allocation Fund |
0.90% |
Method |
Cut-Off Time |
By Mail |
Market Close |
Method |
Cut-Off Time |
By Phone |
Market Close |
By Internet |
Market Close |
By Financial Intermediary |
Market Close* |
Amount of Investment |
Sales Charge as % of Offering Price |
Sales Charge as % of Net Amount Invested |
Less than $100,000 |
4.75% |
4.99% |
$100,000-$250,000 |
3.75% |
3.90% |
$250,000-$500,000 |
2.75% |
2.83% |
$500,000-$1,000,000 |
2.00% |
2.04% |
Greater than $1,000,000* |
None |
None |
|
Initial Purchase |
Subsequent Purchases |
Complete the account application that corresponds to the type of account you are opening. •Make sure to designate the Fund(s) you want to purchase. •Make sure your investment meets the account minimum. |
Complete the Guggenheim Investments investment slip included with your quarterly statement or send written purchase instructions that include: •Your name •Your shareholder account number •The Fund(s) you want to purchase. | |
Make your check payable to Guggenheim Investments. | ||
BY MAIL IRA and other retirement accounts require additional paperwork. Call Guggenheim Investments Client Services to request a Retirement Account Investor application kit. |
Your check must be drawn on a U.S. bank and payable in U.S. dollars. | |
Include the name of the Fund(s) you want to purchase on your check. If you do not specify the Fund(s) you want to purchase, your investment generally will be credited to the Rydex U.S. Government Money Market Fund, which is offered in a separate prospectus. | ||
Mail your application and check to: |
Mail your written purchase instructions and check to: | |
Mailing Addresses: | ||
Standard Delivery |
Overnight Delivery | |
Guggenheim Investments P.O. Box 10839 Rockville, MD 20849-0839 |
Guggenheim Investments 805 King Farm Boulevard, Suite 600 Rockville, MD 20850 |
BY WIRE Guggenheim Investments Client Services phone number: 800.820.0888 or 301.296.5100 |
Initial Purchase |
Subsequent Purchases |
Complete and submit the account application that corresponds to the type of account you are opening. Contact Client Services at 800.820.0888 to obtain your new account number. Use the Wire Instructions below to send your wire. •Make sure to designate the Fund(s) you want to purchase. •Make sure your investment meets the account minimum. |
Be sure to designate in your wire instructions the Fund(s) you want to purchase. | |
To obtain “same-day credit” (to get that Business Day’s NAV) for your purchase order, you should call Guggenheim Investments Client Services and provide the following information prior to the transaction cut-off time for the Fund(s) you are purchasing: •Account Number •Fund Name •Amount of Wire •Fed Wire Reference Number (upon request) You will receive a confirmation number to verify that your purchase order has been accepted. If you do not notify Guggenheim Investments Client Services of the incoming wire, your purchase order may not be processed until the Business Day following the receipt of the wire. | ||
Wire Instructions: U.S. Bank Cincinnati, OH Routing Number: 0420-00013 For Account of: Guggenheim Investments Account Number: 48038-9030 [Your Name] [Your shareholder account number] [Your fund designation] If you do not specify the Fund(s) you want to purchase, your investment generally will be credited to the Rydex U.S. Government Money Market Fund, which is offered in a separate prospectus. | ||
BY ACH (FAX) Guggenheim Investments Fax number: 301.296.5103 |
Initial Purchase (Class A shares and Class C shares only) |
Subsequent Purchases |
Submit a new account application. Be sure to complete the “Electronic Investing via ACH” section. If you are establishing an Individual, Joint, or UGMA/UTMA account, you may fax the application to Guggenheim Investments. All other applications should be mailed. •Make sure to designate the Fund(s) you want to purchase. •Make sure your investment meets the account minimum. |
Subsequent purchases made via ACH must be a minimum of $20. A maximum of $50,000 is allowed to be purchased via ACH per day. To make a subsequent purchase send written purchase instructions that include: •Your name •Your shareholder account number •The Fund(s) you want to purchase •ACH bank information (if not on record). | |
BY ACH (MAIL) |
Mailing Addresses | |
Standard Delivery |
Overnight Delivery | |
Guggenheim Investments P.O. Box 10839 Rockville, MD 20849-0839 |
Guggenheim Investments 805 King Farm Boulevard, Suite 600 Rockville, MD 20850 | |
BY ACH (INTERNET) |
Purchase payments may be sent via ACH only if you have existing ACH instructions on file. If you have existing ACH instructions on file, log-in to your account at www.TradeRydex.com and click on “Electronic Investing.” If you currently do not have ACH instructions on file, download the Bank Information and Alternate Payee Form from the www.guggenheiminvestments.com site, and follow the instructions for adding bank instructions. |
MAIL |
Standard Delivery |
Overnight Delivery |
Guggenheim Investments P.O. Box 10839 Rockville, MD 20849-0839 |
Guggenheim Investments 805 King Farm Boulevard, Suite 600 Rockville, MD 20850 | |
FAX |
301.296.5103 If you send your redemption order by fax, you must call Guggenheim Investments Client Services at 800.820.0888 or 301.296.5100 to verify that your fax was received and when it will be processed. | |
TELEPHONE |
800.820.0888 or 301.296.5100 (not available for retirement accounts) | |
BY ACH |
Redemption proceeds may be sent via ACH only if you have existing ACH instructions on file. If you currently do not have ACH instructions on file, download the Bank Information and Alternate Payee Form from the www.guggenheiminvestments.com site and follow the instructions for adding bank instructions. A maximum of $50,000 is allowed to be redeemed via ACH per day. |
MAIL |
Standard Delivery |
Overnight Delivery |
Guggenheim Investments P.O. Box 10839 Rockville, MD 20849-0839 |
Guggenheim Investments 805 King Farm Boulevard, Suite 600 Rockville, MD 20850 | |
FAX |
301.296.5103 If you send your exchange request by fax, you must call Guggenheim Investments Client Services at 800.820.0888 to verify that your fax was received and when it will be processed. | |
TELEPHONE |
800.820.0888 or 301.296.5100 | |
INTERNET |
Follow the directions on the Guggenheim Investments website—Visit www.TradeRydex.com |
A-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$12.15 |
$10.46 |
$11.06 |
$12.09 |
$11.77 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.01 |
— |
.06 |
.06 |
.04 |
Net gain (loss) on investments (realized and unrealized) |
(1.44) |
1.96 |
.11 |
.65 |
1.64 |
Total from investment operations |
(1.43) |
1.96 |
.17 |
.71 |
1.68 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
(.03) |
(.05) |
(.03) |
(.04) |
Net realized gains |
(2.92) |
(.24) |
(.72) |
(1.71) |
(1.32) |
Total distributions |
(2.92) |
(.27) |
(.77) |
(1.74) |
(1.36) |
Net asset value, end of period |
$7.80 |
$12.15 |
$10.46 |
$11.06 |
$12.09 |
|
|
|
|
|
|
Total Returnb |
(17.94%) |
18.97% |
1.40% |
8.35% |
15.27% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$3,471 |
$4,494 |
$3,821 |
$4,698 |
$4,200 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.06% |
0.01% |
0.56% |
0.54% |
0.37% |
Total expensesc |
2.81% |
2.70% |
2.48% |
2.26% |
2.06% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.21% |
Portfolio turnover rate |
79% |
123% |
100% |
96% |
117% |
C-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$11.58 |
$10.03 |
$10.65 |
$11.76 |
$11.52 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
(.06) |
(.08) |
(.02) |
(.02) |
(.04) |
Net gain (loss) on investments (realized and unrealized) |
(1.32) |
1.87 |
.12 |
.62 |
1.60 |
Total from investment operations |
(1.38) |
1.79 |
.10 |
.60 |
1.56 |
Less distributions from: |
|
|
|
|
|
Net realized gains |
(2.92) |
(.24) |
(.72) |
(1.71) |
(1.32) |
Total distributions |
(2.92) |
(.24) |
(.72) |
(1.71) |
(1.32) |
Net asset value, end of period |
$7.28 |
$11.58 |
$10.03 |
$10.65 |
$11.76 |
|
|
|
|
|
|
Total Returnb |
(18.60%) |
18.03% |
0.74% |
7.44% |
14.48% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$1,092 |
$1,539 |
$2,595 |
$3,882 |
$5,142 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
(0.66%) |
(0.70%) |
(0.19%) |
(0.20%) |
(0.36%) |
Total expensesc |
3.54% |
3.41% |
3.22% |
2.94% |
2.73% |
Net expensesd,e,f |
1.95% |
1.95% |
1.96% |
1.97% |
1.95% |
Portfolio turnover rate |
79% |
123% |
100% |
96% |
117% |
P-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$12.58 |
$10.82 |
$11.41 |
$12.41 |
$12.05 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
0.01 |
— |
.06 |
.06 |
.04 |
Net gain (loss) on investments (realized and unrealized) |
(1.52) |
2.03 |
.12 |
.67 |
1.69 |
Total from investment operations |
(1.51) |
2.03 |
.18 |
.73 |
1.73 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
(.03) |
(.05) |
(.02) |
(.05) |
Net realized gains |
(2.92) |
(.24) |
(.72) |
(1.71) |
(1.32) |
Total distributions |
(2.92) |
(.27) |
(.77) |
(1.73) |
(1.37) |
Net asset value, end of period |
$8.15 |
$12.58 |
$10.82 |
$11.41 |
$12.41 |
|
|
|
|
|
|
Total Return |
(17.97) |
18.98% |
1.44% |
8.26% |
15.33% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$286 |
$327 |
$318 |
$443 |
$585 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.07% |
0.01% |
0.56% |
0.53% |
0.36% |
Total expensesc |
2.89% |
2.76% |
2.54% |
2.30% |
1.98% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.20% |
Portfolio turnover rate |
79% |
123% |
100% |
96% |
117% |
Institutional Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$12.69 |
$10.93 |
$11.52 |
$12.52 |
$12.16 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.03 |
.03 |
.09 |
.09 |
.08 |
Net gain (loss) on investments (realized and unrealized) |
(1.53) |
2.04 |
.12 |
.68 |
1.68 |
Total from investment operations |
(1.50) |
2.07 |
.21 |
.77 |
1.76 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
(.07) |
(.08) |
(.06) |
(.08) |
Net realized gains |
(2.92) |
(.24) |
(.72) |
(1.71) |
(1.32) |
Total distributions |
(2.92) |
(.31) |
(.80) |
(1.77) |
(1.40) |
Net asset value, end of period |
$8.27 |
$12.69 |
$10.93 |
$11.52 |
$12.52 |
|
|
|
|
|
|
Total Return |
(17.68%) |
19.23% |
1.69% |
8.62% |
15.52% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$3,626 |
$4,676 |
$5,468 |
$6,286 |
$8,590 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.31% |
0.26% |
0.81% |
0.80% |
0.64% |
Total expensesc |
2.51% |
2.40% |
2.23% |
1.97% |
1.70% |
Net expensesd,e,f |
0.95% |
0.95% |
0.96% |
0.97% |
0.95% |
Portfolio turnover rate |
79% |
123% |
100% |
96% |
117% |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
|
A-Class |
— |
— |
— |
— |
— |
|
C-Class |
— |
— |
0.00%g |
— |
— |
|
P-Class |
— |
— |
— |
— |
— |
|
Institutional Class |
— |
— |
— |
— |
— |
|
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
1.19% |
1.20% |
1.21% |
1.21% |
1.20% |
C-Class |
1.94% |
1.95% |
1.96% |
1.96% |
1.95% |
P-Class |
1.19% |
1.20% |
1.21% |
1.21% |
1.20% |
Institutional Class |
0.94% |
0.95% |
0.96% |
0.96% |
0.95% |
A-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$14.59 |
$10.76 |
$12.00 |
$12.55 |
$12.82 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.11 |
.27 |
.30 |
.29 |
.23 |
Net gain (loss) on investments (realized and unrealized) |
(1.65) |
3.99 |
(.91) |
.05 |
1.37 |
Total from investment operations |
(1.54) |
4.26 |
(.61) |
.34 |
1.60 |
Less distributions from: |
|
|
|
|
|
Net investment income |
(.09) |
(.43) |
(.31) |
(.32) |
(.34) |
Net realized gains |
(2.23) |
— |
(.21) |
(.57) |
(1.53) |
Return of capital |
(.04) |
— |
(.11) |
— |
— |
Total distributions |
(2.36) |
(.43) |
(.63) |
(.89) |
(1.87) |
Net asset value, end of period |
$10.69 |
$14.59 |
$10.76 |
$12.00 |
$12.55 |
|
|
|
|
|
|
Total Returnb |
(14.13%) |
39.75% |
(5.16%) |
3.41% |
13.40% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$8,103 |
$11,274 |
$5,357 |
$5,860 |
$5,775 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.85% |
1.89% |
2.73% |
2.49% |
1.84% |
Total expensesc |
1.92% |
1.91% |
2.04% |
1.95% |
2.08% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.21% |
Portfolio turnover rate |
70% |
157% |
114% |
110% |
97% |
C-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$14.76 |
$10.86 |
$12.06 |
$12.53 |
$12.74 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
— |
.20 |
.22 |
.20 |
.14 |
Net gain (loss) on investments (realized and unrealized) |
(1.66) |
3.99 |
(.92) |
.07 |
1.35 |
Total from investment operations |
(1.66) |
4.19 |
(.70) |
.27 |
1.49 |
Less distributions from: |
|
|
|
|
|
Net investment income |
—h |
(.29) |
(.18) |
(.17) |
(.17) |
Net realized gains |
(2.23) |
— |
(.21) |
(.57) |
(1.53) |
Return of capital |
(.04) |
— |
(.11) |
— |
— |
Total distributions |
(2.27) |
(.29) |
(.50) |
(.74) |
(1.70) |
Net asset value, end of period |
$10.83 |
$14.76 |
$10.86 |
$12.06 |
$12.53 |
|
|
|
|
|
|
Total Returnb |
(14.78%) |
38.60% |
(5.84%) |
2.66% |
12.49% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$834 |
$2,281 |
$3,651 |
$5,223 |
$5,976 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.02% |
1.42% |
1.92% |
1.75% |
1.10% |
Total expensesc |
2.67% |
2.70% |
2.80% |
2.64% |
2.77% |
Net expensesd,e,f |
1.95% |
1.95% |
1.96% |
1.97% |
1.96% |
Portfolio turnover rate |
70% |
157% |
114% |
110% |
97% |
P-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$14.74 |
$10.84 |
$12.13 |
$12.67 |
$12.88 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.11 |
.27 |
.30 |
.29 |
.23 |
Net gain (loss) on investments (realized and unrealized) |
(1.68) |
4.02 |
(.92) |
.06 |
1.37 |
Total from investment operations |
(1.57) |
4.29 |
(.62) |
.35 |
1.60 |
Less distributions from: |
|
|
|
|
|
Net investment income |
(.08) |
(.39) |
(.35) |
(.32) |
(.28) |
Net realized gains |
(2.23) |
— |
(.21) |
(.57) |
(1.53) |
Return of capital |
(.04) |
— |
(.11) |
— |
— |
Total distributions |
(2.35) |
(.39) |
(.67) |
(.89) |
(1.81) |
Net asset value, end of period |
$10.82 |
$14.74 |
$10.84 |
$12.13 |
$12.67 |
|
|
|
|
|
|
Total Return |
(14.18%) |
39.72% |
(5.13%) |
3.43% |
13.35% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$784 |
$1,527 |
$1,093 |
$1,444 |
$1,829 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.80% |
1.87% |
2.60% |
2.50% |
1.84% |
Total expensesc |
1.98% |
1.93% |
2.06% |
2.06% |
2.04% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.21% |
Portfolio turnover rate |
70% |
157% |
114% |
110% |
97% |
Institutional Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$14.14 |
$10.46 |
$11.70 |
$12.28 |
$12.59 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.14 |
.30 |
.32 |
.31 |
.25 |
Net gain (loss) on investments (realized and unrealized) |
(1.59) |
3.86 |
(.88) |
.05 |
1.35 |
Total from investment operations |
(1.45) |
4.16 |
(.56) |
.36 |
1.60 |
Less distributions from: |
|
|
|
|
|
Net investment income |
(.13) |
(.48) |
(.36) |
(.37) |
(.38) |
Net realized gains |
(2.23) |
— |
(.21) |
(.57) |
(1.53) |
Return of capital |
(.04) |
— |
(.11) |
— |
— |
Total distributions |
(2.40) |
(.48) |
(.68) |
(.94) |
(1.91) |
Net asset value, end of period |
$10.29 |
$14.14 |
$10.46 |
$11.70 |
$12.28 |
|
|
|
|
|
|
Total Return |
(13.97%) |
40.06% |
(4.88%) |
3.66% |
13.71% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$6,614 |
$10,101 |
$6,882 |
$8,979 |
$5,203 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
1.08% |
2.22% |
2.94% |
2.76% |
2.08% |
Total expensesc |
1.62% |
1.62% |
1.80% |
1.62% |
1.78% |
Net expensesd,e,f |
0.95% |
0.95% |
0.96% |
0.97% |
0.96% |
Portfolio turnover rate |
70% |
157% |
114% |
110% |
97% |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
— |
— |
0.00%g |
— |
— |
C-Class |
— |
— |
0.00%g |
— |
— |
P-Class |
— |
— |
— |
— |
— |
Institutional Class |
— |
— |
— |
— |
— |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
1.19% |
1.20% |
1.20% |
1.21% |
1.20% |
C-Class |
1.95% |
1.95% |
1.96% |
1.96% |
1.95% |
P-Class |
1.20% |
1.20% |
1.21% |
1.21% |
1.20% |
Institutional Class |
0.94% |
0.95% |
0.95% |
0.96% |
0.95% |
A-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$13.30 |
$10.90 |
$10.71 |
$12.04 |
$11.36 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.01 |
(.01) |
.02 |
.03 |
.01 |
Net gain (loss) on investments (realized and unrealized) |
(1.79) |
2.96 |
.88 |
.25 |
1.84 |
Total from investment operations |
(1.78) |
2.95 |
.90 |
.28 |
1.85 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
— |
(.01) |
— |
— |
Net realized gains |
(2.88) |
(.55) |
(.70) |
(1.61) |
(1.17) |
Total distributions |
(2.88) |
(.55) |
(.71) |
(1.61) |
(1.17) |
Net asset value, end of period |
$8.64 |
$13.30 |
$10.90 |
$10.71 |
$12.04 |
|
|
|
|
|
|
Total Returnb |
(18.71%) |
27.82% |
8.57% |
4.34% |
17.47% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$5,614 |
$6,973 |
$4,372 |
$4,651 |
$4,280 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.10% |
(0.11%) |
0.17% |
0.32% |
0.09% |
Total expensesc |
2.50% |
2.48% |
2.64% |
2.29% |
1.86% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.21% |
Portfolio turnover rate |
67% |
105% |
76% |
81% |
93% |
C-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$12.23 |
$10.13 |
$10.07 |
$11.50 |
$10.98 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
(.07) |
(.10) |
(.06) |
(.04) |
(.07) |
Net gain (loss) on investments (realized and unrealized) |
(1.57) |
2.75 |
.82 |
.22 |
1.76 |
Total from investment operations |
(1.64) |
2.65 |
.76 |
.18 |
1.69 |
Less distributions from: |
|
|
|
|
|
Net realized gains |
(2.88) |
(.55) |
(.70) |
(1.61) |
(1.17) |
Total distributions |
(2.88) |
(.55) |
(.70) |
(1.61) |
(1.17) |
Net asset value, end of period |
$7.71 |
$12.23 |
$10.13 |
$10.07 |
$11.50 |
|
|
|
|
|
|
Total Returnb |
(19.30%) |
26.94% |
7.69% |
3.59% |
16.55% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$1,834 |
$3,360 |
$4,859 |
$6,223 |
$9,672 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
(0.69%) |
(0.83%) |
(0.57%) |
(0.42%) |
(0.66%) |
Total expensesc |
3.16% |
3.22% |
3.32% |
2.92% |
2.62% |
Net expensesd,e,f |
1.95% |
1.95% |
1.96% |
1.97% |
1.96% |
Portfolio turnover rate |
67% |
105% |
76% |
81% |
93% |
P-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$13.78 |
$11.28 |
$11.06 |
$12.37 |
$11.64 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.01 |
(.01) |
.02 |
.04 |
.01 |
Net gain (loss) on investments (realized and unrealized) |
(1.88) |
3.06 |
.91 |
.26 |
1.89 |
Total from investment operations |
(1.87) |
3.05 |
.93 |
.30 |
1.90 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
— |
(.01) |
— |
— |
Net realized gains |
(2.88) |
(.55) |
(.70) |
(1.61) |
(1.17) |
Total distributions |
(2.88) |
(.55) |
(.71) |
(1.61) |
(1.17) |
Net asset value, end of period |
$9.03 |
$13.78 |
$11.28 |
$11.06 |
$12.37 |
|
|
|
|
|
|
Total Return |
(18.72%) |
27.76% |
8.54% |
4.39% |
17.38% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$134 |
$232 |
$131 |
$154 |
$200 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.09% |
(0.10%) |
0.17% |
0.35% |
0.08% |
Total expensesc |
2.67% |
2.61% |
2.79% |
2.34% |
1.97% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.21% |
Portfolio turnover rate |
67% |
105% |
76% |
81% |
93% |
Institutional Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$14.36 |
$11.70 |
$11.44 |
$12.71 |
$11.91 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.04 |
.02 |
.05 |
.07 |
.04 |
Net gain (loss) on investments (realized and unrealized) |
(2.00) |
3.19 |
.95 |
.27 |
1.93 |
Total from investment operations |
(1.96) |
3.21 |
1.00 |
.34 |
1.97 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
— |
(.04) |
— |
— |
Net realized gains |
(2.88) |
(.55) |
(.70) |
(1.61) |
(1.17) |
Total distributions |
(2.88) |
(.55) |
(.74) |
(1.61) |
(1.17) |
Net asset value, end of period |
$9.52 |
$14.36 |
$11.70 |
$11.44 |
$12.71 |
|
|
|
|
|
|
Total Return |
(18.56%) |
28.15% |
8.90% |
4.62% |
17.69% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$2,859 |
$3,488 |
$1,634 |
$3,747 |
$5,026 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.34% |
0.13% |
0.47% |
0.59% |
0.35% |
Total expensesc |
2.18% |
2.15% |
2.25% |
1.96% |
1.57% |
Net expensesd,e,f |
0.95% |
0.95% |
0.96% |
0.97% |
0.96% |
Portfolio turnover rate |
67% |
105% |
76% |
81% |
93% |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
— |
— |
— |
— |
— |
C-Class |
— |
— |
0.00%g |
— |
— |
P-Class |
— |
— |
— |
— |
— |
Institutional Class |
— |
— |
— |
— |
— |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
1.19% |
1.20% |
1.21% |
1.21% |
1.20% |
C-Class |
1.95% |
1.95% |
1.96% |
1.96% |
1.95% |
P-Class |
1.19% |
1.20% |
1.21% |
1.21% |
1.20% |
Institutional Class |
0.94% |
0.95% |
0.96% |
0.96% |
0.95% |
A-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$11.69 |
$9.30 |
$10.28 |
$11.17 |
$11.12 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.11 |
.08 |
.15 |
.14 |
.10 |
Net gain (loss) on investments (realized and unrealized) |
(1.11) |
2.69 |
(.96) |
.01 |
1.09 |
Total from investment operations |
(1.00) |
2.77 |
(.81) |
.15 |
1.19 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
(.38) |
(.11) |
(.06) |
(.20) |
Net realized gains |
(1.64) |
— |
(.06) |
(.98) |
(.94) |
Total distributions |
(1.64) |
(.38) |
(.17) |
(1.04) |
(1.14) |
Net asset value, end of period |
$9.05 |
$11.69 |
$9.30 |
$10.28 |
$11.17 |
|
|
|
|
|
|
Total Returnb |
(11.02%) |
30.34% |
(8.05%) |
2.53% |
11.36% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$436 |
$182 |
$53 |
$86 |
$106 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
1.06% |
0.74% |
1.53% |
1.41% |
0.90% |
Total expensesc |
5.09% |
5.90% |
7.41% |
6.32% |
5.49% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.21% |
Portfolio turnover rate |
73% |
132% |
95% |
101% |
104% |
C-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$11.79 |
$9.12 |
$10.14 |
$11.09 |
$10.98 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.02 |
— |
.07 |
.06 |
.01 |
Net gain (loss) on investments (realized and unrealized) |
(1.08) |
2.68 |
(.94) |
.02 |
1.09 |
Total from investment operations |
(1.06) |
2.68 |
(.87) |
.08 |
1.10 |
Less distributions from: |
|
|
|
|
|
Net investment income |
(.15) |
(.01) |
(.09) |
(.05) |
(.05) |
Net realized gains |
(1.64) |
— |
(.06) |
(.98) |
(.94) |
Total distributions |
(1.79) |
(.01) |
(.15) |
(1.03) |
(.99) |
Net asset value, end of period |
$8.64 |
$11.79 |
$9.12 |
$10.14 |
$11.09 |
|
|
|
|
|
|
Total Returnb |
(11.65%) |
29.41% |
(8.80%) |
1.81% |
10.54% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$322 |
$580 |
$447 |
$317 |
$516 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.21% |
0.04% |
0.79% |
0.65% |
0.14% |
Total expensesc |
5.71% |
6.52% |
7.99% |
6.75% |
6.14% |
Net expensesd,e,f |
1.95% |
1.95% |
1.96% |
1.97% |
1.96% |
Portfolio turnover rate |
73% |
132% |
95% |
101% |
104% |
P-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$11.59 |
$9.28 |
$10.33 |
$11.25 |
$11.12 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.11 |
.08 |
.15 |
.14 |
.10 |
Net gain (loss) on investments (realized and unrealized) |
(1.09) |
2.67 |
(.96) |
— |
1.10 |
Total from investment operations |
(.98) |
2.75 |
(.81) |
.14 |
1.20 |
Less distributions from: |
|
|
|
|
|
Net investment income |
(.05) |
(.44) |
(.18) |
(.08) |
(.13) |
Net realized gains |
(1.64) |
— |
(.06) |
(.98) |
(.94) |
Total distributions |
(1.69) |
(.44) |
(.24) |
(1.06) |
(1.07) |
Net asset value, end of period |
$8.92 |
$11.59 |
$9.28 |
$10.33 |
$11.25 |
|
|
|
|
|
|
Total Return |
(10.94%) |
30.31% |
(8.10%) |
2.47% |
11.40% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$229 |
$308 |
$114 |
$405 |
$577 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
1.01% |
0.75% |
1.49% |
1.41% |
0.90% |
Total expensesc |
5.11% |
5.74% |
7.18% |
6.07% |
5.37% |
Net expensesd,e,f |
1.20% |
1.20% |
1.21% |
1.22% |
1.21% |
Portfolio turnover rate |
73% |
132% |
95% |
101% |
104% |
Institutional Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$12.10 |
$9.40 |
$10.42 |
$11.35 |
$11.22 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.14 |
.12 |
.17 |
.17 |
.13 |
Net gain (loss) on investments (realized and unrealized) |
(1.15) |
2.74 |
(.97) |
— |
1.11 |
Total from investment operations |
(1.01) |
2.86 |
(.80) |
.17 |
1.24 |
Less distributions from: |
|
|
|
|
|
Net investment income |
(.10) |
(.16) |
(.16) |
(.12) |
(.17) |
Net realized gains |
(1.64) |
— |
(.06) |
(.98) |
(.94) |
Total distributions |
(1.74) |
(.16) |
(.22) |
(1.10) |
(1.11) |
Net asset value, end of period |
$9.35 |
$12.10 |
$9.40 |
$10.42 |
$11.35 |
|
|
|
|
|
|
Total Return |
(10.73%) |
30.72% |
(7.92%) |
2.77% |
11.69% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$2,868 |
$3,207 |
$2,437 |
$2,701 |
$2,915 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
1.24% |
1.04% |
1.78% |
1.66% |
1.14% |
Total expensesc |
4.69% |
5.49% |
6.86% |
5.80% |
5.07% |
Net expensesd,e,f |
0.95% |
0.95% |
0.96% |
0.97% |
0.96% |
Portfolio turnover rate |
73% |
132% |
95% |
101% |
104% |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
— |
— |
— |
— |
— |
C-Class |
— |
— |
0.01% |
— |
— |
P-Class |
— |
— |
0.00%g |
— |
— |
Institutional Class |
— |
— |
0.01% |
— |
— |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
1.19% |
1.20% |
1.21% |
1.21% |
1.20% |
C-Class |
1.94% |
1.95% |
1.96% |
1.96% |
1.95% |
P-Class |
1.19% |
1.20% |
1.21% |
1.20% |
1.20% |
Institutional Class |
0.94% |
0.95% |
0.96% |
0.96% |
0.95% |
A-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$18.11 |
$14.00 |
$16.50 |
$18.59 |
$15.83 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
(.01) |
(.06) |
.02 |
.03 |
(.03) |
Net gain (loss) on investments (realized and unrealized) |
(1.27) |
4.18 |
.07i |
(.12) |
2.79 |
Total from investment operations |
(1.28) |
4.12 |
.09 |
(.09) |
2.76 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
(.01) |
— |
— |
— |
Net realized gains |
(2.60) |
— |
(2.59) |
(2.00) |
— |
Total distributions |
(2.60) |
(.01) |
(2.59) |
(2.00) |
— |
Net asset value, end of period |
$14.23 |
$18.11 |
$14.00 |
$16.50 |
$18.59 |
|
|
|
|
|
|
Total Returnc |
(9.40%) |
29.42% |
(0.38%) |
1.13% |
17.44% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$135,504 |
$152,598 |
$106,549 |
$104,877 |
$117,786 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
(0.03%) |
(0.38%) |
0.16% |
0.18% |
(0.20%) |
Total expensesd |
1.48% |
1.44% |
1.43% |
1.40% |
1.35% |
Net expensese,f,g |
1.39% |
1.42% |
1.40% |
1.39% |
1.34% |
Portfolio turnover rate |
149% |
131% |
313% |
203% |
92% |
C-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$16.72 |
$13.01 |
$15.59 |
$17.81 |
$15.29 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
(.12) |
(.16) |
(.07) |
(.08) |
(.16) |
Net gain (loss) on investments (realized and unrealized) |
(1.13) |
3.87 |
.08i |
(.14) |
2.68 |
Total from investment operations |
(1.25) |
3.71 |
.01 |
(.22) |
2.52 |
Less distributions from: |
|
|
|
|
|
Net realized gains |
(2.60) |
— |
(2.59) |
(2.00) |
— |
Total distributions |
(2.60) |
— |
(2.59) |
(2.00) |
— |
Net asset value, end of period |
$12.87 |
$16.72 |
$13.01 |
$15.59 |
$17.81 |
|
|
|
|
|
|
Total Returnc |
(10.08%) |
28.52% |
(0.99%) |
0.38% |
16.48% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$20,835 |
$60,153 |
$98,656 |
$176,994 |
$239,516 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
(0.82%) |
(1.02%) |
(0.53%) |
(0.53%) |
(0.96%) |
Total expensesd |
2.21% |
2.15% |
2.15% |
2.13% |
2.11% |
Net expensese,f,g |
2.08% |
2.09% |
2.10% |
2.11% |
2.11% |
Portfolio turnover rate |
149% |
131% |
313% |
203% |
92% |
P-Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$18.25 |
$14.10 |
$16.59 |
$18.67 |
$15.90 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
—b |
(.05) |
.03 |
.04 |
(.04) |
Net gain (loss) on investments (realized and unrealized) |
(1.29) |
4.20 |
.07i |
(.12) |
2.81 |
Total from investment operations |
(1.29) |
4.15 |
.10 |
(.08) |
2.77 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
—b |
— |
— |
— |
Net realized gains |
(2.60) |
— |
(2.59) |
(2.00) |
— |
Total distributions |
(2.60) |
— |
(2.59) |
(2.00) |
— |
Net asset value, end of period |
$14.36 |
$18.25 |
$14.10 |
$16.59 |
$18.67 |
|
|
|
|
|
|
Total Return |
(9.38%) |
29.45% |
(0.30%) |
1.19% |
17.42% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$5,424 |
$8,533 |
$9,143 |
$15,056 |
$20,892 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
(0.01%) |
(0.28%) |
0.22% |
0.24% |
(0.22%) |
Total expensesd |
1.43% |
1.38% |
1.40% |
1.40% |
1.37% |
Net expensese,f,g |
1.33% |
1.34% |
1.35% |
1.36% |
1.36% |
Portfolio turnover rate |
149% |
131% |
313% |
203% |
92% |
Institutional Class |
Year Ended September 30, 2022 |
Year Ended September 30, 2021 |
Year Ended September 30, 2020 |
Year Ended September 30, 2019 |
Year Ended September 30, 2018 |
Per Share Data |
|
|
|
|
|
Net asset value, beginning of period |
$18.74 |
$14.48 |
$16.93 |
$18.97 |
$16.12 |
Income (loss) from investment operations: |
|
|
|
|
|
Net investment income (loss)a |
.04 |
(.01) |
.07 |
.08 |
.01 |
Net gain (loss) on investments (realized and unrealized) |
(1.33) |
4.32 |
.07i |
(.12) |
2.84 |
Total from investment operations |
(1.29) |
4.31 |
.14 |
(.04) |
2.85 |
Less distributions from: |
|
|
|
|
|
Net investment income |
— |
(.05) |
— |
— |
— |
Net realized gains |
(2.60) |
— |
(2.59) |
(2.00) |
— |
Total distributions |
(2.60) |
(.05) |
(2.59) |
(2.00) |
— |
Net asset value, end of period |
$14.85 |
$18.74 |
$14.48 |
$16.93 |
$18.97 |
|
|
|
|
|
|
Total Return |
(9.11%) |
29.81% |
(0.03%) |
1.39% |
17.68% |
Ratios/Supplemental Data |
|
|
|
|
|
Net assets, end of period (in thousands) |
$93,219 |
$137,682 |
$152,083 |
$266,223 |
$345,423 |
Ratios to average net assets: |
|
|
|
|
|
Net investment income (loss) |
0.25% |
(0.04%) |
0.47% |
0.48% |
0.04% |
Total expensesd |
1.20% |
1.15% |
1.15% |
1.13% |
1.12% |
Net expensese,f,g |
1.08% |
1.09% |
1.10% |
1.11% |
1.11% |
Portfolio turnover rate |
149% |
131% |
313% |
203% |
92% |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
0.01% |
— |
— |
0.01% |
— |
C-Class |
0.01% |
— |
0.01% |
0.01% |
0.02% |
P-Class |
0.01% |
— |
0.00%h |
0.00%h |
0.01% |
Institutional Class |
0.01% |
— |
0.01% |
0.01% |
0.02% |
|
09/30/22 |
09/30/21 |
09/30/20 |
09/30/19 |
09/30/18 |
A-Class |
1.38% |
1.41% |
1.40% |
1.39% |
1.34% |
C-Class |
2.08% |
2.08% |
2.10% |
2.10% |
2.10% |
P-Class |
1.33% |
1.34% |
1.35% |
1.35% |
1.35% |
Institutional Class |
1.08% |
1.09% |
1.10% |
1.10% |
1.10% |
Transparent Value Trust |
811-22309 |
Front-end Sales Load Waivers on Class A Shares available at Merrill Lynch |
|
Employer-sponsored retirement, deferred compensation and employee benefit plans (including health savings accounts) and trusts used to fund those plans, provided that the shares are not held in a commission-based brokerage account and shares are held for the benefit of the plan; |
Shares purchased by a 529 Plan (does not include 529 Plan units or 529-specific share classes or equivalents); |
Shares purchased through a Merrill Lynch affiliated investment advisory program; |
Shares exchanged due to the holdings moving from a Merrill Lynch affiliated investment advisory program to a Merrill Lynch brokerage (non-advisory) account pursuant to Merrill Lynch’s policies relating to sales load discounts and waivers; |
Shares purchased by third party investment advisors on behalf of their advisory clients through Merrill Lynch’s platform; |
Shares of funds purchased through the Merrill Edge Self-Directed platform; |
Shares purchased through reinvestment of capital gains distributions and dividend reinvestment when purchasing shares of the same fund (but not any other fund within the Guggenheim Investments family of funds (the “Guggenheim Funds”); |
Shares exchanged from Class C shares of the same fund pursuant to Merrill Lynch’s policies relating to sales load discounts and waivers; |
Employees and registered representatives of Merrill Lynch or its affiliates and their family members; |
Directors or Trustees of the Fund, and employees of the Fund’s investment adviser or any of its affiliates, as described in the this prospectus; and |
Eligible shares purchased from the proceeds of redemptions within the Guggenheim Funds, provided (1) the repurchase occurs within 90 days following the redemption, (2) the redemption and purchase occur in the same account, and (3) redeemed shares were subject to a front-end or deferred sales load (known as Rights of Reinstatement). Automated transactions (i.e. systematic purchases and withdrawals) and purchases made after shares are automatically sold to pay Merrill Lynch’s account maintenance fees are not eligible for reinstatement. |
CDSC Waivers on A and C Shares available at Merrill Lynch |
|
Death or disability of the shareholder; |
Shares sold as part of a systematic withdrawal plan as described in the Fund’s prospectus; |
Return of excess contributions from an IRA Account; |
Shares sold as part of a required minimum distribution for IRA and retirement accounts pursuant to the Internal Revenue Code; |
Shares sold to pay Merrill Lynch fees but only if the transaction is initiated by Merrill Lynch; |
Shares acquired through a right of reinstatement; |
Shares held in retirement brokerage accounts, that are exchanged for a lower cost share class due to transfer to certain fee based accounts or platforms (applicable to A and C shares only); and |
Shares received through an exchange due to the holdings moving from a Merrill Lynch affiliated investment advisory program to a Merrill Lynch brokerage (non-advisory) account pursuant to Merrill Lynch’s policies relating to sales load discounts and waivers. |
Front-end load Discounts Available at Merrill Lynch: Breakpoints, Rights of Accumulation & Letters of Intent |
|
Breakpoints as described in this prospectus; |
Rights of Accumulation (ROA) which entitle shareholders to breakpoint discounts as described in the Fund's prospectus will be automatically calculated based on the aggregated holding of Guggenheim Funds assets held by accounts (including 529 program holdings, where applicable) within the purchaser’s household at Merrill Lynch. Eligible Guggenheim Funds assets not held at Merrill Lynch may be included in the ROA calculation only if the shareholder notifies his or her financial advisor about such assets; and |
Letters of Intent (LOI) which allow for breakpoint discounts based on anticipated purchases within the Guggenheim Funds, through Merrill Lynch, over a 13-month period of time. |
Fund |
Class A |
Class C |
Institutional Class |
Class P |
Guggenheim RBP® Large-Cap Defensive Fund |
TVDAX |
TVDCX |
TVIDX |
TVFDX |
Guggenheim RBP® Dividend Fund |
TVEAX |
TVECX |
TVEIX |
TVEFX |
Guggenheim RBP® Large-Cap Market Fund |
TVMAX |
TVMCX |
TVIMX |
TVFMX |
Guggenheim RBP® Large-Cap Value Fund |
TVVAX |
TVVCX |
TVVIX |
TVVFX |
Guggenheim Directional Allocation Fund |
TVRAX |
TVRCX |
TVRIX |
TVFRX |
3 | |
4 | |
21 | |
21 | |
22 | |
23 | |
25 | |
25 | |
31 | |
32 | |
33 | |
35 | |
35 | |
35 | |
35 | |
35 | |
36 | |
36 | |
36 | |
37 | |
42 | |
43 | |
44 | |
47 | |
47 | |
47 | |
48 | |
49 | |
49 | |
50 | |
50 | |
50 | |
52 | |
52 | |
52 | |
55 | |
55 | |
56 | |
56 | |
62 | |
64 | |
64 | |
64 | |
65 |
Individual/Entity |
Frequency |
Time Lag |
Morningstar |
Monthly |
30 calendar days |
Lipper |
Monthly |
30 calendar days |
Bloomberg |
Quarterly |
60 calendar days |
Thompson Financial |
Quarterly |
30 calendar days |
Vickers Stock Research |
Monthly |
30 calendar days |
FactSet |
Monthly |
30 calendar days |
Name, Address1 and Year of Birth of Trustees |
Position(s) Held with Trust |
Term of Office and Length of Time Served2 |
Principal Occupation(s) During Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee |
Other Directorships Held by Trustees3 |
Independent Trustees | |||||
Randall C. Barnes (1951) |
Trustee and Chair of the Valuation Oversight Committee |
Since 2015 (Trustee) Since 2020 (Chair of the Valuation Oversight Committee) |
Current: Private Investor (2001- present). Former: Senior Vice President and Treasurer, PepsiCo, Inc. (1993-1997); President, Pizza Hut International (1991-1993); Senior Vice President, Strategic Planning and New Business Development, PepsiCo, Inc. (1987-1990). |
155 |
Current: Advent Convertible and Income Fund (2005-present); Purpose Investments Funds (2013- present). Former: Fiduciary/ Claymore Energy Infrastructure Fund (2004-2022); Guggenheim Enhanced Equity Income Fund (2005-2021); Guggenheim Credit Allocation Fund (2013-2021). |
Name, Address1 and Year of Birth of Trustees |
Position(s) Held with Trust |
Term of Office and Length of Time Served2 |
Principal Occupation(s) During Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee |
Other Directorships Held by Trustees3 |
Angela Brock-Kyle (1959) |
Trustee |
Since 2019 |
Current: Founder and Chief Executive Officer, B.O.A.R.D.S. (consulting firm) (2013-present); Director, Mutual Fund Directors Forum (2022-present). Former: Senior Leader, TIAA (financial services firm) (1987-2012). |
154 |
Current: Bowhead Insurance GP, LLC (2020-present); Hunt Companies, Inc. (2019- present). Former: Fiduciary/ Claymore Energy Infrastructure Fund (2019-2022); Guggenheim Enhanced Equity Income Fund (2019-2021); Guggenheim Credit Allocation Fund (2019-2021); Infinity Property & Casualty Corp. (2014-2018). |
Thomas F. Lydon, Jr. (1960) |
Trustee and Chair of the Contracts Review Committee |
Since 2019 (Trustee) Since 2020 (Chair of the Contracts Review Committee) |
Current: President, Global Trends Investments (registered investment adviser) (1996- present); Chief Executive Officer, ETF Flows, LLC (financial advisor and research provider) (2019-present); Chief Executive Officer, Lydon Media (2016- present); Director, GDX Index Partners, LLC (index provider) (2021-present); Vice Chairman, VettaFi (financial advisor content, research and digital distribution provider) (2022-present). |
154 |
Current: US Global Investors, Inc. (GROW) (1995-present). Former: Fiduciary/ Claymore Energy Infrastructure Fund (2019-2022); Guggenheim Enhanced Equity Income Fund (2019-2021); Guggenheim Credit Allocation Fund (2019-2021); Harvest Volatility Edge Trust (3) (2017-2019). |
Ronald A. Nyberg (1953) |
Trustee and Chair of the Nominating and Governance Committee |
Since 2015 |
Current: Of Counsel (formerly Partner), Momkus LLP (law firm) (2016-present). Former: Partner, Nyberg & Cassioppi, LLC (law firm) (2000-2016); Executive Vice President, General Counsel, and Corporate Secretary, Van Kampen Investments (1982-1999). |
155 |
Current: Advent Convertible and Income Fund (2003-present); PPM Funds (2) (2018- present); NorthShore- Edward-Elmhurst Health (2012-present). Former: Fiduciary/ Claymore Energy Infrastructure Fund (2004-2022); Guggenheim Enhanced Equity Income Fund (2005-2021); Guggenheim Credit Allocation Fund (2013-2021); Western Asset Inflation-Linked Opportunities & Income Fund (2003-2020); Western Asset Inflation- Linked Income Fund (2004-2020). |
Name, Address1 and Year of Birth of Trustees |
Position(s) Held with Trust |
Term of Office and Length of Time Served2 |
Principal Occupation(s) During Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee |
Other Directorships Held by Trustees3 |
Sandra G. Sponem (1958) |
Trustee and Chair of the Audit Committee |
Since 2019 (Trustee) Since 2020 (Chair of the Audit Committee) |
Current: Retired. Former: Senior Vice President and Chief Financial Officer, M.A. Mortenson Companies, Inc. (construction and real estate development company) (2007-2017). |
154 |
Current: SPDR Series Trust (81) (2018- present); SPDR Index Shares Funds (30) (2018-present); SSGA Active Trust (14) (2018- present). Former: Fiduciary/ Claymore Energy Infrastructure Fund (2019-2022); Guggenheim Enhanced Equity Income Fund (2019-2021); Guggenheim Credit Allocation Fund (2019-2021); SSGA Master Trust (1) (2018-2020). |
Ronald E. Toupin, Jr. (1958) |
Trustee, Chair of the Board and Chair of the Executive Committee |
Since 2015 |
Current: Portfolio Consultant (2010-present); Member, Governing Council, Independent Directors Council (2013- present); Governor, Board of Governors, Investment Company Institute (2018-present). Former: Member, Executive Committee, Independent Directors Council (2016-2018); Vice President, Manager and Portfolio Manager, Nuveen Asset Management (1998-1999); Vice President, Nuveen Investment Advisory Corp. (1992-1999); Vice President and Manager, Nuveen Unit Investment Trusts (1991-1999); and Assistant Vice President and Portfolio Manager, Nuveen Unit Investment Trusts (1988-1999), each of John Nuveen & Co., Inc. (registered broker-dealer) (1982-1999). |
154 |
Former: Fiduciary/ Claymore Energy Infrastructure Fund (2004-2022); Guggenheim Enhanced Equity Income Fund (2005-2021); Guggenheim Credit Allocation Fund (2013-2021); Western Asset Inflation-Linked Opportunities & Income Fund (2004-2020); Western Asset Inflation- Linked Income Fund (2003-2020). |
Name, Address1 and Year of Birth of Trustees |
Position(s) Held with Trust |
Term of Office and Length of Time Served2 |
Principal Occupation(s) During Past 5 Years |
Number of Portfolios in Fund Complex Overseen by Trustee |
Other Directorships Held by Trustees3 |
Interested Trustee | |||||
Amy J. Lee4 (1961) |
Trustee, Vice President and Chief Legal Officer |
Since 2018 (Trustee) Since 2014 (Chief Legal Officer) Since 2015 (Vice President) |
Current: Interested Trustee, certain other funds in the Fund Complex (2018-present); Chief Legal Officer, certain other funds in the Fund Complex (2014- present); Vice President, certain other funds in the Fund Complex (2007-present); Senior Managing Director, Guggenheim Investments (2012-present). Former: President, certain other funds in the Fund Complex (2017-2019); Vice President, Associate General Counsel and Assistant Secretary, Security Benefit Life Insurance Company and Security Benefit Corporation (2004-2012). |
154 |
Former: Fiduciary/ Claymore Energy Infrastructure Fund (2018-2022); Guggenheim Enhanced Equity Income Fund (2018-2021); Guggenheim Credit Allocation Fund (2018-2021). |
Name, Address1 and Year of Birth of the Officers |
Position(s) Held with the Trust |
Term of Office and Length of Time Served2 |
Principal Occupation(s) During the Past 5 Years |
Brian E. Binder (1972) |
President and Chief Executive Officer |
Since 2018 |
Current: President, Mutual Fund Boards, Guggenheim Investments (2022-present); President and Chief Executive Officer, certain other funds in the Fund Complex (2018-present); President, Chief Executive Officer and Chairman of the Board of Managers, Guggenheim Funds Investment Advisors, LLC (2018-present); President and Chief Executive Officer, Security Investors, LLC (2018-present); Board Member, Guggenheim Partners Investment Funds plc (2022-present); Board Member, Guggenheim Global Investments plc (2022-present); Board Member, Guggenheim Partners Fund Management (Europe) Limited (2018-present). Former: Senior Managing Director and Chief Administrative Officer, Guggenheim Investments (2018-2022); Managing Director and President, Deutsche Funds, and Head of US Product, Trading and Fund Administration, Deutsche Asset Management (2013-2018); Managing Director, Chairman of North American Executive Committee and Head of Business Management and Consulting, Invesco Ltd. (2010-2012). |
Margaux Misantone (1978) |
AML Officer |
Since 2017 |
Current: Chief Compliance Officer, Security Investors, LLC and Guggenheim Funds Investment Advisors, LLC (2018- present); AML Officer, Security Investors, LLC and certain other funds in the Fund Complex (2017- present); Managing Director, Guggenheim Investments (2015- present). Former: Assistant Chief Compliance Officer, Security Investors, LLC and Guggenheim Funds Investment Advisors, LLC (2015-2018). |
James M. Howley (1972) |
Chief Accounting Officer, Chief Financial Officer, Principal Financial and Accounting Officer, and Treasurer |
Since 2022 |
Current: Managing Director, Guggenheim Investments (2004- present); Chief Financial Officer, Chief Accounting Officer, and Treasurer, certain other funds in the Fund Complex (2022-present). Former: Assistant Treasurer, certain other funds in the Fund Complex (2006-2022); Manager, Mutual Fund Administration of Van Kampen Investments, Inc. (1996-2004). |
Name, Address1 and Year of Birth of the Officers |
Position(s) Held with the Trust |
Term of Office and Length of Time Served2 |
Principal Occupation(s) During the Past 5 Years |
Mark E. Mathiasen (1978) |
Secretary |
Since 2015 |
Current: Secretary, certain other funds in the Fund Complex (2007- present); Managing Director, Guggenheim Investments (2007- present). |
Glenn McWhinnie (1969) |
Assistant Treasurer |
Since 2016 |
Current: Vice President, Guggenheim Investments (2009- present); Assistant Treasurer, certain other funds in the Fund Complex (2016-present). |
Michael P. Megaris (1984) |
Assistant Secretary |
Since 2015 |
Current: Assistant Secretary, certain other funds in the Fund Complex (2014-present); Managing Director, Guggenheim Investments (2012-present). |
Elisabeth Miller (1968) |
Chief Compliance Officer |
Since 2016 |
Current: Chief Compliance Officer, certain other funds in the Fund Complex (2012-present); Senior Managing Director, Guggenheim Investments (2012- present); Vice President, Guggenheim Funds Distributors, LLC (2014-present). Former: Chief Compliance Officer, Security Investors, LLC and Guggenheim Funds Investment Advisors, LLC (2012-2018); Chief Compliance Officer, Guggenheim Distributors, LLC (2009-2014); Senior Manager, Security Investors, LLC (2004-2014); Senior Manager, Guggenheim Distributors, LLC (2004-2014). |
Kimberly J. Scott (1974) |
Assistant Treasurer |
Since 2015 |
Current: Director, Guggenheim Investments (2012-present); Assistant Treasurer, certain other funds in the Fund Complex (2012- present). Former: Financial Reporting Manager, Invesco, Ltd. (2010-2011); Vice President/ Assistant Treasurer, Mutual Fund Administration for Van Kampen Investments, Inc./Morgan Stanley Investment Management (2009-2010); Manager of Mutual Fund Administration, Van Kampen Investments, Inc./Morgan Stanley Investment Management (2005-2009). |
Bryan Stone (1979) |
Vice President |
Since 2015 |
Current: Vice President, certain other funds in the Fund Complex (2014-present); Managing Director, Guggenheim Investments (2013-present). Former: Senior Vice President, Neuberger Berman Group LLC (2009-2013); Vice President, Morgan Stanley (2002-2009). |
Name, Address1 and Year of Birth of the Officers |
Position(s) Held with the Trust |
Term of Office and Length of Time Served2 |
Principal Occupation(s) During the Past 5 Years |
Jon Szafran (1989) |
Assistant Treasurer |
Since 2017 |
Current: Director, Guggenheim Investments (2017-present); Assistant Treasurer, certain other funds in the Fund Complex (2017- present). Former: Assistant Treasurer of Henderson Global Funds and Manager of US Fund Administration, Henderson Global Investors (North America) Inc. ("HGINA") (2017); Senior Analyst of US Fund Administration, HGINA (2014-2017); Senior Associate of Fund Administration, Cortland Capital Market Services, LLC (2013-2014); Experienced Associate, PricewaterhouseCoopers LLP (2012-2013). |
Name of Independent Trustees |
Aggregate Compensation from the Trust |
Aggregate Compensation from the Fund Complex1, including the Family of Funds |
Randall C. Barnes |
$11,104 |
$448,000 |
Angela Brock-Kyle |
$10,645 |
$347,500 |
Thomas F. Lydon, Jr. |
$10,952 |
$357,500 |
Ronald A. Nyberg |
$10,890 |
$439,000 |
Sandra G. Sponem |
$11,794 |
$385,000 |
Ronald E. Toupin, Jr. |
$13,357 |
$436,000 |
Name |
Fund |
Dollar Range of Equity Securities in the Funds |
Aggregate Dollar Range of Equity Securities in all Funds Overseen by Trustee in the Fund Complex* |
Independent Trustees | |||
Angela Brock-Kyle |
Guggenheim Directional Allocation Fund |
$10,001 - $50,000 |
Over $100,000 |
Ronald A. Nyberg |
N/A |
None |
Over $100,000 |
Ronald E. Toupin, Jr. |
N/A |
None |
Over $100,000 |
Randall C. Barnes |
N/A |
None |
Over $100,000 |
Thomas F. Lydon, Jr. |
N/A |
None |
Over $100,000 |
Sandra G. Sponem |
N/A |
None |
Over $100,000 |
Interested Trustee | |||
Amy J. Lee |
N/A |
None |
Over $100,000 |
Name of Shareholder1 |
Address |
Percent |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FBO CUSTOMERS |
4800 DEER LAKE DRIVE E, 3RD FLOOR JACKSONVILLE, FL 32246 |
5.60% |
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENEFIT OF ITS CUSTOMERS |
1 NEW YORK PLAZA FL 12 NEW YORK, NY 10004-1901 |
5.64% |
UBS FINANCIAL SERVICES INC. |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
10.14% |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
10.42% |
RAYMOND JAMES |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
6.70% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
10.70% |
SAMMONS FINANCIAL NETWORK LLC |
4546 CORPORATE DRIVE SUITE 100 WEST DES MOINES, IA 50266-5911 |
39.03% |
Name of Shareholder1 |
Address |
Percent |
RBC CAPITAL MARKETS LLC |
250 NICOLLET MALL, SUITE 1400 MINNEAPOLIS, MN 55401-1931 MINNEAPOLIS, MN 55401-1931 |
10.70% |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
7.79% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
73.88% |
Name of Shareholder1 |
Address |
Percent |
CHARLES SCHWAB & CO INC. FBO CUSTOMERS |
211 MAIN ST SAN FRANCISCO, CA 94105 |
7.26% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
6.69% |
MORGAN STANLEY SMITH BARNEY LLC FOR THE EXCLUSIVE BENEFIT OF ITS CUSTOMERS |
1 NEW YORK PLAZA FL 12 NEW YORK, NY 10004-1901 |
9.97% |
TD AMERITRADE INC. FBO CUSTOMERS |
PO BOX 2226 OMAHA NE 68103-2226 |
24.40% |
NATIONAL FINANCIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
51.68% |
Name of Shareholder1 |
Address |
Percent |
CHARLES SCHWAB & CO INC. FBO CUSTOMERS |
211 MAIN ST SAN FRANCISCO, CA 94105 |
10.94% |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
14.53% |
RAYMOND JAMES |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
9.91% |
JASPER PARK FUNDING LLC2 |
227 W MONROE ST STE 5000 CHICAGO, IL 60606-4900 |
59.32% |
Name of Shareholder1 |
Address |
Percent |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
18.55% |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
7.02% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
14.64% |
NATIONAL FINANCIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
22.63% |
SAMMONS FINANCIAL NETWORK LLC |
4546 CORPORATE DRIVE SUITE 100 WEST DES MOINES, IA 50266-5911 |
7.96% |
Name of Shareholder1 |
Address |
Percent |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
8.76% |
CHARLES SCHWAB & CO INC. FBO CUSTOMERS |
211 MAIN ST SAN FRANCISCO, CA 94105 |
13.32% |
RAYMOND JAMES |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
6.37% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
30.50% |
NATIONAL FINANCIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
15.22% |
Name of Shareholder1 |
Address |
Percent |
CHARLES SCHWAB & CO INC. FBO CUSTOMERS |
211 MAIN STREET SAN FRANCISCO, CA 94105 |
10.77% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
6.06% |
TD AMERITRADE INC FBO CUSTOMERS |
PO BOX 2226 OMAHA NE 68103-2226 |
32.54% |
NATIONAL FINANCIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
39.46% |
Name of Shareholder1 |
Address |
Percent |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
11.26% |
CHARLES SCHWAB & CO INC FBO CUSTOMERS |
211 MAIN ST SAN FRANCISCO, CA 94105 |
6.78% |
RAYMOND JAMES FBO CUSTOMERS |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
13.43% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
5.75% |
GUGGENHEIM FUNDS TRUST/GUGGENHEIM DIVERSIFIED INCOME FUND |
805 KING FARM BLVD STE 600 ROCKVILLE, MD 20850 |
10.74% |
JASPER PARK FUNDING LLC |
227 W MONROE ST STE 5000 CHICAGO, IL 60606-4900 |
43.19% |
Name of Shareholder1 |
Address |
Percent |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FBO CUSTOMERS |
4800 DEER LAKE DRIVE E, 3RD FLOOR JACKSONVILLE, FL 32246 |
9.82% |
MORGAN STANLEY SMITH BARNEY LLC FBO CUSTOMERS |
1 NEW YORK PLAZA FL 12 NEW YORK, NY 10004-1901 |
30.45% |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS2 |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
36.01% |
RAYMOND JAMES FBO CUSTOMERS |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
7.98% |
Name of Shareholder1 |
Address |
Percent |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
98.27% |
Name of Shareholder1 |
Address |
Percent |
CHARLES SCHWAB & CO INC FBO CUSTOMERS |
211 MAIN ST SAN FRANCISCO, CA 94105 |
48.67% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
6.12% |
TD AMERITRADE INC FBO CUSTOMERS |
PO BOX 2226 OMAHA NE 68103-2226 |
23.84% |
NATIONAL FINANCIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
13.21% |
Name of Shareholder1 |
Address |
Percent |
MORGAN STANLEY SMITH BARNEY LLC FBO CUSTOMERS |
1 NEW YORK PLAZA FL 12 NEW YORK, NY 10004-1901 |
6.86% |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
31.68% |
CHARLES SCHWAB & CO INC FBO CUSTOMERS |
211 MAIN ST SAN FRANCISCO, CA 94105 |
5.71% |
GUGGENHEIM FUNDS TRUST/GUGGENHEIM DIVERSIFIED INCOME FUND |
805 KING FARM BLVD STE 600 ROCKVILLE, MD 20850 |
47.58% |
Name of Shareholder1 |
Address |
Percent |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
58.26% |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
5.36% |
PERSHING LLC |
1 PERSHING PLAZA JERSEY CITY, NJ 07399-0002 |
21.18% |
Name of Shareholder1 |
Address |
Percent |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
26.47% |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
53.93% |
NATIONAL FINANCIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
19.60% |
Name of Shareholder1 |
Address |
Percent |
CHARLES SCHWAB & CO INC FBO CUSTOMERS |
211 MAIN STREET SAN FRANCISCO, CA 94105 |
8.19% |
TD AMERITRADE INC FBO CUSTOMERS |
PO BOX 2226 OMAHA NE 68103-2226 |
51.84% |
NATIONAL FINACIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
33.93% |
Name of Shareholder1 |
Address |
Percent |
JASPER PARK FUNDING LLC2 |
227 W MONROE ST STE 4900, CHICAGO, IL 60606-4900 |
97.63% |
Name of Shareholder1 |
Address |
Percent |
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC. FBO CUSTOMERS |
4800 DEER LAKE DRIVE E, 3RD FLOOR JACKSONVILLE, FL 32246 |
8.80% |
MORGAN STANLEY SMITH BARNEY LLC FBO CUSTOMERS |
1 NEW YORK PLAZA FL 12 NEW YORK, NY 10004-1901 |
32.63% |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
15.39% |
RAYMOND JAMES FBO CUSTOMERS |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
10.10% |
AMERICAN ENTERPRISE INVESTMENT SVC FBO CUSTOMERS |
707 2ND AVE SOUTH MINNEAPOLIS, MN 55402-2405 |
5.89% |
Name of Shareholder1 |
Address |
Percent |
MORGAN STANLEY SMITH BARNEY LLC FBO CUSTOMERS |
1 NEW YORK PLAZA FL 12 NEW YORK, NY 10004-1901 |
6.97% |
WELLS FARGO CLEARING SERVICES, LLC FBO CUSTOMERS |
2801 MARKET STREET SAINT LOUIS, MO 63103 |
5.82% |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
13.36% |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
12.17% |
RAYMOND JAMES FBO CUSTOMERS |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
26.95% |
AMERICAN ENTERPRISE INVESTMENT SVC FBO CUSTOMERS |
707 2ND AVE SOUTH MINNEAPOLIS, MN 55402-2405 |
7.78% |
NATIONAL FINACIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
6.87% |
Name of Shareholder1 |
Address |
Percent |
LPL FINANCIAL |
4707 EXECUTIVE DRIVE SAN DIEGO CA 92121-3091 |
64.23% |
RAYMOND JAMES FBO CUSTOMERS |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
8.96% |
TD AMERITRADE INC FBO CUSTOMERS |
PO BOX 2226 OMAHA NE 68103-2226 |
5.98% |
NATIONAL FINANCIAL SERVICES LLC |
499 WASHINGTON BLVD JERSEY CITY, NJ 07310 |
8.74% |
MATRIX TRUST COMPANY TRUSTEE FBO CUSTOMERS |
PO BOX 52129 PHOENIX AZ 850722129 |
8.79% |
Name of Shareholder1 |
Address |
Percent |
MORGAN STANLEY SMITH BARNEY LLC FBO CUSTOMERS |
1 NEW YORK PLAZA FL 12 NEW YORK, NY 10004-1901 |
32.40% |
UBS FINANCIAL SERVICES INC. FBO CUSTOMERS |
1000 HARBOR BLVD WEEHAWKEN NJ 07086-6761 |
22.73% |
CHARLES SCHWAB & CO INC FBO CUSTOMERS |
211 MAIN ST SAN FRANCISCO, CA 94105 |
14.27% |
RAYMOND JAMES FBO CUSTOMERS |
880 CARILLON PARKWAY SAINT PETERSBURG, FL 33716 |
11.15% |
Purchase Amount |
Sales Charge as a % of Offering Price |
Percentage of Net Amount Invested |
Sales Charge Percentage Reallowable to Dealers |
Less than $100,000 |
4.75% |
4.99% |
4.00% |
$100,000 to $250,000 |
3.75% |
3.90% |
3.00% |
$250,000 to $500,000 |
2.75% |
2.83% |
2.25% |
$500,000 to $1,000,000 |
2.00% |
2.04% |
1.75% |
Greater than $1,000,0001 |
None |
None |
None |
Compensation to Guggenheim Funds Distributors, LLC | |||
|
Class A |
Class C |
Class P |
Guggenheim Directional Allocation Fund |
$470,137 |
$373,674 |
$18,377 |
Guggenheim RBP® Dividend Fund |
$35,265 |
$14,651 |
$3,057 |
Guggenheim RBP® LgCap Defensive Fund |
$13,264 |
$14,894 |
$846 |
Guggenheim RBP® LgCap Market Fund |
$21,609 |
$27,253 |
$395 |
Guggenheim RBP® LgCap Value Fund |
$1,216 |
$4,703 |
$620 |
Financial Intermediary |
Dollar Amount of Compensation |
Morgan Stanley Smith Barney |
$95,688 |
UBS Financial Services, Inc. |
$91,596 |
Wells Fargo Advisors, LLC |
$10,036 |
Raymond James |
$54,481 |
LPL Financial |
$18,156 |
American Enterprise Investment Services |
$13,810 |
Merrill Lynch |
$14,707 |
PNC Investments LLC |
$38 |
National Financial Services LLC |
$26,500 |
RBC Capital Markets |
$484 |
Axos Advisor Services |
$302 |
Great West Equities |
$1,000 |
Principal Life Insurance |
$1,000 |
E*Trade Securities |
$34 |
Contractual Management Fees (expressed as a percentage of average daily net assets, calculated daily and paid monthly) | |
Guggenheim RBP® Large-Cap Defensive Fund |
0.75% |
Guggenheim RBP® Dividend Fund |
0.75% |
Guggenheim RBP® Large-Cap Market Fund |
0.75% |
Guggenheim RBP® Large-Cap Value Fund |
0.75% |
Guggenheim Directional Allocation Fund |
0.95% |
Fund |
Class |
Expense Cap |
Guggenheim RBP® Large-Cap Defensive Fund |
A |
1.20% |
C |
1.95% | |
Institutional |
0.95% | |
P |
1.20% | |
Guggenheim RBP® Dividend Fund |
A |
1.20% |
C |
1.95% | |
Institutional |
0.95% | |
P |
1.20% | |
Guggenheim RBP® Large-Cap Market Fund |
A |
1.20% |
C |
1.95% | |
Institutional |
0.95% | |
P |
1.20% | |
Guggenheim RBP® Large-Cap Value Fund |
A |
1.20% |
C |
1.95% | |
Institutional |
0.95% | |
P |
1.20% | |
Guggenheim Directional Allocation Fund |
A |
1.50% |
C |
2.10% | |
Institutional |
1.10% | |
P |
1.35% |
|
Gross Advisory Fees Paid |
Waiver of Fees* |
Reimbursement of Expenses* |
Net Advisory Fee Paid |
Accounting and Administrative Service Fees Paid |
Fiscal Year Ended September 30, 2022 | |||||
Guggenheim RBP® LgCap Defensive Fund |
$79,782 |
-$79,780 |
-$89,949 |
$0 |
$28,614 |
Guggenheim RBP® Dividend Fund |
$182,149 |
-$124,169 |
-$46,513 |
$11,467 |
$29,658 |
Guggenheim RBP® LgCap Market Fund |
$100,650 |
-$100,623 |
-$69,011 |
$0 |
$28,794 |
Guggenheim RBP® LgCap Value Fund |
$33,328 |
-$33,328 |
-$134,081 |
$0 |
$28,070 |
Guggenheim Directional Allocation Fund |
$3,013,010 |
-$226,260 |
-$112,282 |
$2,674,468 |
$199,334 |
Fiscal Year Ended September 30, 2021 | |||||
Guggenheim RBP® LgCap Defensive Fund |
$85,498 |
-$85,473 |
-$81,839 |
$0 |
$33,708 |
Guggenheim RBP® Dividend Fund |
$171,243 |
-$121,812 |
-$37,093 |
$12,338 |
$33,699 |
Guggenheim RBP® LgCap Market Fund |
$96,255 |
-$96,183 |
-$65,418 |
$0 |
$33,338 |
Guggenheim RBP® LgCap Value Fund |
$28,980 |
-$28,964 |
-$146,780 |
$0 |
$33,706 |
Guggenheim Directional Allocation Fund |
$3,498,852 |
-$83,804 |
-$93,550 |
$3,321,498 |
$253,891 |
Fiscal Year Ended September 30, 2020 | |||||
Guggenheim RBP® LgCap Defensive Fund |
$100,356 |
-$99,853 |
-$70,210 |
$0 |
$34,168 |
Guggenheim RBP® Dividend Fund |
$149,555 |
-$123,926 |
-$43,573 |
$0 |
$34,121 |
Guggenheim RBP® LgCap Market Fund |
$94,214 |
-$93,744 |
-$78,507 |
$0 |
$34,052 |
Guggenheim RBP® LgCap Value Fund |
$23,762 |
-$23,766 |
-$164,095 |
$0 |
$34,167 |
Guggenheim Directional Allocation Fund |
$4,443,250 |
-$83,841 |
-$130,187 |
$4,229,222 |
$360,818 |
Portfolio Manager |
Registered Investment Companies |
Other Pooled Investment Vehicles |
Other Accounts | |||
Number of Accounts |
Total Assets (in millions) |
Number of Accounts |
Total Assets (in millions) |
Number of Accounts |
Total Assets (in millions) | |
Burak Hurmeydan |
16 |
$1,249 |
0 |
$0 |
0 |
$0 |
Douglas Makin |
7 |
$443 |
0 |
$0 |
0 |
$0 |
Farhan Sharaff |
24 |
$1,249 |
2 |
$9 |
0 |
$0 |
Name of Portfolio Manager |
Name of Fund |
Dollar Range of Equity Securities in the Funds |
Douglas Makin |
Guggenheim Directional Allocation Fund |
$1-$10,000 |
Guggenheim RBP Dividend Fund |
$1-$10,000 | |
Guggenheim RBP Large Cap Value Fund |
$1-$10,000 | |
Farhan Sharaff |
Guggenheim Directional Allocation Fund |
$10,001-$50,000 |
|
For Fiscal Year Ended 9/30/22 |
For Fiscal Year Ended 9/30/21 |
For Fiscal Year Ended 9/30/20 |
Guggenheim RBP® LgCap Defensive Fund |
$1,327 |
$2,791 |
$4,264 |
Guggenheim RBP® Dividend Fund |
$4,585 |
$13,578 |
$15,977 |
Guggenheim RBP® LgCap Market Fund |
$1,435 |
$2,506 |
$3,002 |
Guggenheim RBP® LgCap Value Fund |
$690 |
$1,361 |
$1,078 |
Guggenheim Directional Allocation Fund |
$70,499 |
$94,746 |
$426,169 |
Fund |
Regular Broker or Dealer |
Value of Securities Held |
Guggenheim RBP® Dividend Fund |
Morgan Stanley |
$212,142 |
Guggenheim RBP® LgCap Defensive Fund |
Bank of America Corp. |
$49,498 |
Guggenheim RBP® LgCap Market Fund |
Citigroup |
120,051 |
Guggenheim RBP® LgCap Value Fund |
Bank of America Corp. |
$14,858 |
JP Morgan Chase & Co. |
$26,961 |