☐
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Preliminary Proxy Statement
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☐
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Confidential, for Use of the Commission Only (as permitted by Rule
14a-6(e)(2))
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☒
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Definitive Proxy Statement
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☐
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Definitive Additional Materials
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☐
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Soliciting Material Pursuant to §240.14a-12
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☒
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No fee required.
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☐
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Fee computed on table below per Exchange Act Rules 14a-6(i)(4) and 0-11.
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(1)
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Title of each class of securities to which transaction applies:
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(2)
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Aggregate number of securities to which transaction applies:
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(3)
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Per unit price or other underlying value of transaction computed pursuant
to Exchange Act Rule 0-11 (set forth the amount on which the filing fee is calculated and state how it was determined):
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(4)
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Proposed maximum aggregate value of transaction:
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(5)
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Total fee paid:
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☐
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Fee paid previously with preliminary materials.
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☐
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Check box if any part of the fee is offset as provided by Exchange Act
Rule 0-11(a)(2) and identify the filing for which the offsetting fee was paid previously. Identify the previous filing by registration statement number, or the Form or Schedule and the date of its filing.
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(1)
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Amount Previously Paid:
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(2)
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Form, Schedule or Registration Statement No.:
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(3)
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Filing Party:
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(4)
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Date Filed:
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(a)
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With respect to each of GBAB, GGM, and GPM:
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(i) |
To elect, as Class II Trustees, the Trustee nominees named in the accompanying proxy statement (Mr. Thomas F. Lydon, Jr. and Mr. Ronald A. Nyberg) to serve until each Fund’s 2024 annual meeting of shareholders or until their respective
successors shall have been elected and qualified.
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(b)
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With respect to GOF only:
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(i) |
To elect, as Class II Trustees, the Trustee nominees named in the accompanying proxy statement (Mr. Thomas F. Lydon, Jr., Mr. Ronald A. Nyberg, Ms. Sandra G. Sponem, and Mr. Ronald E. Toupin, Jr.) to serve until the Fund’s 2023 annual
meeting of
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shareholders or until their respective successors shall have been elected and qualified.
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2. |
To transact such other business as may properly come before the Annual Meeting or any adjournments, postponements, or delays thereof.
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•
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Why is a shareholder meeting being held?
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•
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What Proposal will be voted on?
To elect Trustees in the following manner: |
(a)
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With respect to each of GBAB, GGM, and GPM:
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(b)
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With respect to GOF only:
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•
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Will my vote make a difference?
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•
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Who is asking for my vote?
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•
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How does the Board recommend that shareholders vote on the Proposal?
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•
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How many shares of each Fund were outstanding as of the record date?
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Fund
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Number of Shares Outstanding
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GBAB
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20,063,367
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GGM
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9,803,228
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GPM
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48,342,588
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GOF
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47,951,281
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(a)
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With respect to each of GBAB, GGM, and GPM:
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(b)
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With respect to GOF only:
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Class I Trustees*
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Class II Trustees**
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Class III Trustees***
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Randall C. Barnes
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Jerry B. Farley
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Amy J. Lee
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Angela Brock-Kyle
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Roman Friedrich III
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Sandra G. Sponem
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Donald A. Chubb, Jr.
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Thomas F. Lydon, Jr.
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Ronald E. Toupin, Jr.
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Ronald A. Nyberg
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* |
Class I Trustees are expected to next stand for election in 2023. Mr. Chubb will retire from each Board of Trustees effective as of the Annual Meeting in accordance with the Independent Trustees Retirement Policy of the Funds.
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** |
Class II Trustees are standing for election at the Annual Meeting, and are expected to next stand for election in 2024. Dr. Farley and Mr. Friedrich are not standing for election at the Annual Meeting and will retire from each Board of
Trustees effective as of the Annual Meeting in accordance with the Independent Trustees Retirement Policy of the Funds.
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Class I Trustees*
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Class II Trustees**
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Randall C. Barnes
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Jerry B. Farley
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Angela Brock-Kyle
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Thomas F. Lydon Jr.
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Donald A. Chubb, Jr.
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Ronald A. Nyberg
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Roman Friedrich III
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Sandra G. Sponem
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Amy J. Lee
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Ronald E. Toupin, Jr.
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* |
Class I Trustees are expected to next stand for election in 2022. Messrs. Chubb and Friedrich will retire from each Board of Trustees effective as of the Annual Meeting in accordance with the Independent Trustees Retirement Policy of the
Funds.
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** |
Class II Trustees are standing for election at the Annual Meeting, and are expected to next stand for election in 2023. Dr. Farley is not standing for election at the Annual Meeting and will retire from each Board of Trustees effective as
of the Annual Meeting in accordance with the Independent Trustees Retirement Policy of the Funds.
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Name, Address(1) and Age
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Position(s) Held with Funds
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Term of Office and Length of Time Served
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Principal Occupation During The Past Five Years
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Number of Portfolios in Fund Complex Overseen by Trustee
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Other Directorships held by Trustee During the Past Five Years
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INDEPENDENT TRUSTEES:
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Randall C. Barnes
Year of birth: 1951
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Trustee
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†
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Current: Private Investor (2001-present).
Former: Senior Vice President & Treasurer, PepsiCo, Inc. (1993-1997), President, Pizza Hut International (1991-1993) and Senior Vice President, Strategic Planning and New Business Development, PepsiCo, Inc. (1987-1990).
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157
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Current: Purpose Investments Funds (2013-present).
Former: Managed Duration Investment Grade Municipal Fund (2003-2016).
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Angela Brock-Kyle
Year of Birth: 1959
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Trustee
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†
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Current: Founder and Chief Executive Officer, B.O.A.R.D.S. (2013-present).
Former: Senior Leader, TIAA (1987-2012).
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156
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Current: Bowhead Insurance GP, LLC (2020-present); and Hunt Companies, Inc (2019-present).
Former: Infinity Property & Casualty Corp. (2014-2018).
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Donald A. Chubb, Jr.*
Year of Birth: 1946
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Trustee
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†
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Current: Retired
Former: Business broker and manager of commercial real estate, Griffith & Blair, Inc. (1997-2017).
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156
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Former: Midland Care, Inc. (2011-2016).
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Jerry B. Farley*
Year of Birth: 1946
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Trustee
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†
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Current: President, Washburn University (1997-present).
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156
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Current: CoreFirst Bank & Trust (2000-present).
Former: Westar Energy, Inc. (2004-2018).
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Roman
Friedrich III* Year of Birth: 1946
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Trustee
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†
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Current: Founder and Managing Partner of Roman Friedrich & Company (1998-present).
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156
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Former: Zincore Metals, Inc. (2009-2019).
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Thomas F Lydon, Jr.
Year of birth: 1960
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Trustee
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†
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Current: President, Global Trends Investments (1996-present); Co-CEO, ETF Flows, LLC (2019-present); CEO, Lydon Media (2016-present).
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156
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Current: US Global Investors (GROW) (1995- present).
Former: Harvest Volatility Edge Trust (3) (2017-2019).
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Name, Address(1) and Age
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Position(s) Held with Funds
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Term of Office and Length of Time Served
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Principal Occupation During The Past Five Years
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Number of Portfolios in Fund Complex Overseen by Trustee
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Other Directorships held by Trustee During the Past Five Years
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INDEPENDENT TRUSTEES: (continued)
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Ronald A. Nyberg
Year of birth: 1953
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Trustee
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†
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Current: Of Counsel, Momkus LLP (2016-present).
Former: Partner, Nyberg & Cassioppi, LLC (2000-2016); Executive Vice President, General Counsel and Corporate Secretary of Van Kampen Investments (1982-1999).
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157
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Current: PPM Funds (3) (2018- present); Edward Elmhurst Healthcare System (2012- present).
Former: Western Asset Inflation-Linked Opportunities & Income Fund (2004-2020); Western Asset Inflation-Linked Income Fund (2003-2020); Managed Duration Investment Grade Municipal Fund (2003-2016).
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Sandra G. Sponem
Year of Birth: 1958
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Trustee
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†
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Current: Retired
Former: Senior Vice President and Chief Financial Officer, M.A. Mortenson-Companies, Inc. (2007-2017).
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156
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Current: SPDR Series Trust (81) (2018-present); SPDR Index Shares Funds (30) (2018-present); SSGA Active Trust (14) (2018-present).
Former: SSGA Master Trust (1) (2018-2020);
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Ronald E Toupin, Jr.
Year of birth: 1958
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Trustee
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†
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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. (1982-1999).
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156
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Former: Western Asset Inflation- Linked Opportunities & Income Fund (2004-2020); Western Asset Inflation-Linked Income Fund (2003- 2020); Managed Duration Investment Grade Municipal Fund (2003-2016).
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Name, Address(1) and Age
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Position(s) Held with Funds
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Term of Office and Length of Time Served
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Principal Occupation During The Past Five Years
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Number of Portfolios in Fund Complex Overseen by Trustee
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Other Directorships held by Trustee During the Past Five Years
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INTERESTED TRUSTEE:
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Amy J. Lee**
Year of birth: 1961
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Interested
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†
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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 and Chief Executive Officer, 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). |
156
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None
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(1) |
The business address of each Trustee is Guggenheim Investments, 227 West Monroe Street, 7th Floor, Chicago, Illinois 60606.
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* |
Mr. Chubb, Dr. Farley and Mr. Friedrich are not standing for election at the Annual Meeting and will serve until April 8, 2021, when they are expected to retire.
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** |
Ms. Lee is deemed to be an “interested person” of the Funds under the 1940 Act by reason of her position with the Adviser and/or affiliates of the Adviser.
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† |
Each Trustee is generally expected to serve a term as set forth herein under “Composition of the Board of Trustees.” Each Trustee has served as a Trustee of each respective Fund since the year shown below:
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GBAB
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GGM
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GPM
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GOF
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Independent Trustees
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Barnes
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2010
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2013
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2005
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2007
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Brock-Kyle
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2019
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2019
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2019
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2019
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Chubb
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2014
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2014
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2014
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2014
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Farley
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2014
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2014
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2014
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2014
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Friedrich
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2010
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2013
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2011
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2010
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Lydon
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2019
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2019
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2019
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2019
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Nyberg
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2010
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2013
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2005
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2007
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Sponem
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2019
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2019
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2019
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2019
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Toupin
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2010
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2013
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2005
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2007
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Interested Trustee
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Lee
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2018
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2018
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2018
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2018
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Name, Address(1) and Age
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Title
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Term of Office and Length Of Time Served(2
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Principal Occupation During the Past Five Years
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Brian E. Binder
Year of birth: 1972
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President and Chief Executive Officer
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Since 2018
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Current: 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 of Guggenheim Partners Fund Management (Europe) Limited (2018-present); Senior Managing Director and Chief Administrative Officer, Guggenheim
Investments (2018-present).
Former: Managing Director and President, Deutsche Funds, and Head of US Product, Trading and Fund Administration, Deutsche Asset Management (2013-2018); Managing Director, Head of Business Management and Consulting, Invesco Ltd.
(2010-2012).
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Bryan Stone
Year of birth: 1979
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Vice President
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Since 2014
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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).
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Name, Address(1) and Age
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Title
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Term of Office and Length Of Time Served(2
|
Principal Occupation During the Past Five Years
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Joanna Catalucci
Year of birth: 1966
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Chief Compliance Officer
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Since 2012
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Current: Chief Compliance Officer, certain funds in the Fund Complex (2012-present); Senior Managing Director, Guggenheim Investments (2014-present).
Former: Anti-Money Laundering Compliance Officer, certain funds in the Fund Complex (2016-2020); Chief Compliance Officer & Secretary, certain other funds in the Fund Complex (2008-2012); Senior Vice President & Chief Compliance
Officer, Security Investors, LLC and certain affiliates (2010-2012); Chief Compliance Officer and Senior Vice President, Rydex Advisors, LLC and certain affiliates (2010-2011).
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John Sullivan
Year of birth: 1955
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Chief Financial Officer, Chief Accounting Officer and Treasurer
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Since 2010
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Current: Chief Financial Officer, Chief Financial Accounting Officer and Treasurer of certain funds in the Fund Complex (2010-present); Managing Director, Guggenheim Investments Accounting (2010-present).
Former: Managing Director and Chief Compliance Officer, each of the funds in the Van Kampen Investments fund complex (2004-2010); Managing Director and Head of Fund Accounting and Administration, Morgan Stanley Investment Management
(2002-2004); Chief Financial Officer and Treasurer, Van Kampen Funds (1996-2004).
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Mark E. Mathiasen
Year of birth: 1978
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Secretary
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Since 2007
|
Current: Secretary, certain other funds in the Fund Complex (2007-present); Managing Director, Guggenheim Investments (2007-present).
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Michael P. Megaris
Year of birth: 1984
|
Assistant Secretary
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Since 2014
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Current: Assistant Secretary, certain other funds in the Fund Complex (2014-present); Director, Guggenheim Investments (2012-present).
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James Howley
Year of birth: 1972
|
Assistant Treasurer
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Since 2007
|
Current: Managing Director, Guggenheim Investments (2004-present); Assistant Treasurer, certain other funds in the Fund Complex (2006-present).
Former: Manager, Mutual Fund Administration of Van Kampen Investments, Inc. (1996-2004).
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Kimberly Scott
Year of Birth: 1974
|
Assistant Treasurer
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Since 2012
|
Current: Director, Guggenheim Investments (2012-present); Assistant Treasurer, certain other funds in the Fund Complex (2012-present).
Former: Financial Reporting Manager for Invesco, Ltd. (2010-2011); Vice President/Assistant Treasurer, Mutual Fund Administration for Van Kampen Investments, Inc./Morgan Stanley Investment Management
(2009-2010); Manager- Mutual Fund Administration for Van Kampen Investments, Inc./Morgan Stanley Investment Management (2005-2009).
|
Name, Address(1) and Age
|
Title
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Term of Office and Length Of Time Served(2
|
Principal Occupation During the Past Five Years
|
Glenn McWhinnie
Year of birth: 1969
|
Assistant Treasurer
|
Since 2016
|
Current: Vice President, Guggenheim Investments (2009-present); Assistant Treasurer, certain other funds in the Fund Complex (2016-present).
Former: Tax Compliance Manager, Ernst & Young LLP (1996-2009).
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Jon Szafran
Year of birth: 1989
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Assistant Treasurer
|
Since 2017
|
Current: Vice President, 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).
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(1)
|
The business address of each officer of the Funds is Guggenheim Investments, 227 West Monroe Street, 7th Floor, Chicago, Illinois 60606.
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(2)
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Officers serve at the pleasure of the Board and until his or her successor is appointed and qualified or until his or her resignation or removal. The year set forth above is the earliest year in which the officer was appointed as an
officer of any Fund.
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Fund
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Fiscal Year End
|
Board Meetings
|
Audit
Committee Meetings |
Nominating
and Governance Meetings |
Contract
Review Committee Meetings |
Valuation Oversight Committee Meetings
|
GBAB
|
5/31/2020
|
6
|
6
|
2
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2
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4
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GGM
|
5/31/2020
|
6
|
6
|
2
|
2
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4
|
GPM
|
12/31/2020
|
6
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5
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2
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2
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4
|
GOF
|
5/31/2020
|
6
|
6
|
2
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2
|
4
|
Dollar Range of Equity Securities in GBAB
|
Dollar Range of Equity Securities in GGM
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Dollar Range of Equity Securities in GPM
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Dollar Range of Equity Securities in GOF
|
Aggregate dollar range of equity securities in all funds in the Fund Complex Overseen by the Trustee
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Independent Trustees
|
|||||
Barnes
|
None
|
Over
|
None
|
Over
|
Over
|
$100,000
|
$100,000
|
$100,000
|
|||
Brock-Kyle
|
$10,001-
|
None
|
None
|
None
|
$50,001-
|
$50,000
|
$100,000
|
||||
Chubb
|
Over
|
$1-
|
$10,001-
|
$10,001-
|
Over
|
$100,000
|
$10,000
|
$50,000
|
$50,000
|
$100,000
|
|
Farley
|
None
|
None
|
None
|
None
|
Over
|
$100,000
|
|||||
Friedrich
|
None
|
$50,001-
|
None
|
Over
|
Over
|
$100,000
|
$100,000
|
$100,000
|
|||
Lydon
|
None
|
None
|
None
|
None
|
Over
|
$100,000
|
|||||
Nyberg
|
$10,001-
|
$1-
|
$10,001-
|
$10,001-
|
Over
|
$50,000
|
$10,000
|
$50,000
|
$50,000
|
$100,000
|
|
Sponem
|
None
|
None
|
None
|
None
|
Over
|
$100,000
|
|||||
Toupin
|
$50,001-
|
$50,001-
|
Over
|
$50,001-
|
Over
|
$100,000
|
$100,000
|
$100,000
|
$100,000
|
$100,000
|
|
Interested Trustee
|
|||||
Lee
|
None
|
None
|
None
|
None
|
Over $100,000
|
Retirement
|
||||
Benefits
|
Estimated
|
Total
|
||
Aggregate
|
Accrued
|
Annual
|
Compensation
|
|
Compensation
|
as Part
|
Benefits
|
From
|
|
from each
|
of Fund
|
Upon
|
the Fund
|
|
Trustee
|
Fund
|
Expenses(1)
|
Retirement(1)
|
Complex(2)
|
Randall C. Barnes
|
†
|
None
|
None
|
$395,403
|
Angela Brock-Kyle
|
†
|
None
|
None
|
$310,510
|
Donald A. Chubb, Jr
|
†
|
None
|
None
|
$314,653
|
Jerry B. Farley
|
†
|
None
|
None
|
$330,438
|
Roman Friedrich III
|
†
|
None
|
None
|
$323,296
|
Thomas F. Lydon, Jr
|
†
|
None
|
None
|
$314,260
|
Ronald A. Nyberg
|
†
|
None
|
None
|
$399,225
|
Sandra G. Sponem
|
†
|
None
|
None
|
$348,647
|
Ronald E. Toupin, Jr
|
†
|
None
|
None
|
$397,045
|
(1)
|
The Funds do not accrue or pay retirement or pension benefits to Trustees as of the date hereof.
|
(2)
|
The amounts shown in this column represent the aggregate compensation paid by all of the funds in the Fund Complex for the calendar year ended December 31, 2020. Because the funds in the Fund Complex have different fiscal year ends, the
amounts shown in this column are presented on a calendar year basis.
|
† |
The amount of aggregate compensation payable by each Fund for the calendar year ended December 31, 2020 is shown in the table below:
|
GBAB
|
GGM
|
GPM
|
GOF
|
|
Independent Trustees
|
||||
Barnes
|
$9,754
|
$6,171
|
$8,544
|
$13,279
|
Brock-Kyle
|
$9,847
|
$6,232
|
$8,635
|
$13,407
|
Chubb
|
$9,754
|
$6,171
|
$8,544
|
$13,279
|
Farley
|
$10,011
|
$6,343
|
$8,791
|
$13,633
|
Friedrich
|
$9,929
|
$6,286
|
$8,707
|
$13,520
|
Lydon
|
$9,941
|
$6,290
|
$8,713
|
$13,535
|
Nyberg
|
$9,936
|
$6,286
|
$8,703
|
$13,527
|
Sponem
|
$10,808
|
$6,842
|
$9,481
|
$14,717
|
Toupin
|
$12,296
|
$7,778
|
$10,766
|
$16,740
|
•
|
Annual financial statement audits
|
•
|
Seed audits (related to new product filings, as required)
|
•
|
SEC and regulatory filings and consents
|
•
|
Accounting consultations
|
•
|
Fund merger/reorganization support services
|
•
|
Other accounting related matters
|
•
|
Agreed upon procedures reports
|
•
|
Attestation reports
|
•
|
Other internal control reports
|
•
|
Recurring tax services:
|
o
|
Preparation of Federal and state income tax returns, including extensions
|
o
|
Preparation of calculations of taxable income, including fiscal year tax designations
|
o
|
Preparation of annual Federal excise tax returns (if applicable)
|
o
|
Preparation of calendar year excise distribution calculations
|
o
|
Calculation of tax equalization on an as-needed basis
|
o
|
Preparation of monthly/quarterly estimates of tax undistributed position for closed-end funds
|
o
|
Preparation of the estimated excise distribution calculations on an as-needed basis
|
o
|
Preparation of calendar year shareholder reporting designations on Form 1099
|
o
|
Preparation of quarterly Federal, state and local and franchise tax estimated tax payments on an as-needed basis
|
o
|
Preparation of state apportionment calculations to properly allocate Fund taxable income among the states for state tax filing purposes
|
o
|
Assistance with management’s identification of passive foreign investment companies (PFICs) for tax purposes
|
•
|
Permissible non-recurring tax services upon request:
|
o
|
Assistance with determining ownership changes which impact a Fund’s utilization of loss carryforwards
|
o
|
Assistance with corporate actions and tax treatment of complex securities and structured products
|
o
|
Assistance with IRS ruling requests and calculation of deficiency dividends
|
o
|
Conduct training sessions for the Adviser’s internal tax resources
|
o
|
Assistance with Federal, state, local and international tax planning and advice regarding the tax consequences of proposed or actual transactions
|
o
|
Tax services related to amendments to Federal, state and local returns and sales and use tax compliance
|
o
|
RIC qualification reviews
|
o
|
Tax distribution analysis and planning
|
o
|
Tax authority examination services
|
o
|
Tax appeals support services
|
o
|
Tax accounting methods studies
|
o
|
Fund merger, reorganization and liquidation support services
|
o
|
Tax compliance, planning and advice services and related projects
|
o
|
Assistance with out of state residency status
|
o
|
Provision of tax compliance services in India for Funds with direct investments in India
|
Fund
|
Fiscal
Year End |
Audit
Fees |
Non-Audit Fees
|
Total
|
|||
Audit Related
|
Tax
|
Other
|
Total Non-Audit
|
||||
GBAB
|
5/31
|
$69,276
|
$0
|
$10,952
|
$0
|
$10,952
|
$80,228
|
GGM
|
5/31
|
$75,089
|
$0
|
$10,952
|
$0
|
$10,952
|
$86,041
|
GPM
|
12/31
|
$27,350
|
$0
|
$8,694
|
$0
|
$8,694
|
$36,044
|
GOF
|
5/31
|
$97,616
|
$0
|
$13,779
|
$0
|
$13,779
|
$111,395
|
Fund
|
Fiscal
Year End |
Audit
Fees |
Non-Audit Fees
|
Total
|
|||
Audit Related
|
Tax
|
Other
|
Total Non-Audit
|
||||
GBAB
|
5/31
|
$67,586
|
$0
|
$10,633
|
$0
|
$10,633
|
$78,219
|
GGM
|
5/31
|
$73,258
|
$0
|
$10,633
|
$0
|
$10,633
|
$83,891
|
GPM
|
12/31
|
$26,683
|
$0
|
$8,441
|
$0
|
$8,441
|
$35,124
|
GOF
|
5/31
|
$95,235
|
$0
|
$13,378
|
$0
|
$13,378
|
$108,613
|
Fund
|
Shareholder Name
and Address
|
Class
of Shares
|
Share Holdings
|
Percentage Owned |
GGM
|
First Trust Portfolios L.P., First Trust Advisors L.P., and
|
Common
|
1,008,678
|
11.70%
|
The Charger Corporation
|
||||
120 East Liberty Drive, Suite 400
|
||||
Wheaton, IL 60187
|
||||
GPM
|
Karpus Management, Inc.
|
Common
|
4,838,871
|
10.01%
|
183 Sully’s Trail
|
||||
Pittsford, New York 14534
|
PROXY TABULATOR
P.O. BOX 9112
FARMINGDALE, NY 11735 |
SCAN TO
VIEW MATERIALS & VOTE
|
|
To vote by Internet
1) Read the Proxy Statement and have the proxy card below at hand.
2) Go to website www.proxyvote.com or scan the QR Barcode above
3) Follow the instructions provided on the website.
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|
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To vote by Telephone
1) Read the Proxy Statement and have the proxy card below at hand.
2) Call 1-800-690-6903
3) Follow the instructions.
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|
|
To vote by Mail
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2) Check the appropriate boxes on the proxy card below.
3) Sign and date the proxy card.
4) Return the proxy card in the envelope provided.
Vote at the Virtual Annual Meeting
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TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS:
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D32973-P48962
|
KEEP THIS PORTION FOR YOUR RECORDS
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DETACH AND RETURN THIS PORTION ONLY
|
1.
|
To elect Trustees in the following manner:
|
|
|
|
|
|
Class II Nominees to serve until 2024 annual
|
|
|
|
|
|
meeting or until a successor is elected and
|
|
|
|
|
|
qualified:
|
For
|
Against |
Abstain | |
|
|||||
|
1a.
|
Thomas F. Lydon, Jr.
|
☐
|
☐
|
☐
|
|
|||||
|
1b.
|
Ronald A. Nyberg
|
☐
|
☐
|
☐
|
|
|
|
|
|
Signature [PLEASE SIGN WITHIN BOX] | Date | Signature [Joint Owners] | Date |
PROXY TABULATOR
P.O. BOX 9112 FARMINGDALE, NY 11735 |
SCAN TO
VIEW MATERIALS & VOTE
|
|
To vote by Internet
1) Read the Proxy Statement and have the proxy card below at hand.
2) Go to website www.proxyvote.com or scan the QR Barcode above
3) Follow the instructions provided on the website.
|
|
|
To vote by Telephone
1) Read the Proxy Statement and have the proxy card below at hand.
2) Call 1-800-690-6903
3) Follow the instructions.
|
|
|
To vote by Mail
1) Read the Proxy Statement.
2) Check the appropriate boxes on the proxy card below.
3) Sign and date the proxy card.
4) Return the proxy card in the envelope provided.
Vote at the Virtual Annual Meeting
To attend and vote at the virtual meeting, please register at https://viewproxy.com/Guggenheim/broadridgevsm/
|
TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS:
|
|
|
|
D32975-P48962
|
KEEP THIS PORTION FOR YOUR RECORDS
|
|
|
DETACH AND RETURN THIS PORTION ONLY
|
1.
|
To elect Trustees in the following manner:
|
|
|
|
|
|
Class II Nominees to serve until 2024 annual
|
|
|
|
|
|
meeting or until a successor is elected and
|
|
|
|
|
|
qualified:
|
For
|
Against |
Abstain |
|
|
|||||
|
1a.
|
Thomas F. Lydon, Jr.
|
☐
|
☐
|
☐
|
|
|||||
|
1b.
|
Ronald A. Nyberg
|
☐ |
☐
|
☐
|
|
|
|
|
|
Signature [PLEASE SIGN WITHIN BOX] | Date | Signature [Joint Owners] | Date |
PROXY TABULATOR
P.O. BOX 9112 FARMINGDALE, NY 11735 |
SCAN TO
VIEW MATERIALS & VOTE
|
|
To vote by Internet
1) Read the Proxy Statement and have the proxy card below at hand.
2) Go to website www.proxyvote.com or scan the QR Barcode above
3) Follow the instructions provided on the website.
|
|
|
To vote by Telephone
1) Read the Proxy Statement and have the proxy card below at hand.
2) Call 1-800-690-6903
3) Follow the instructions.
|
|
|
To vote by Mail
1) Read the Proxy Statement.
2) Check the appropriate boxes on the proxy card below.
3) Sign and date the proxy card.
4) Return the proxy card in the envelope provided.
Vote at the Virtual Annual Meeting
To attend and vote at the virtual meeting, please register at https://viewproxy.com/Guggenheim/broadridgevsm/
|
TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS:
|
|
|
|
D32977-P48962
|
KEEP THIS PORTION FOR YOUR RECORDS
|
|
|
DETACH AND RETURN THIS PORTION ONLY
|
1.
|
To elect Trustees in the following manner:
|
|
|
|
|
|
Class II Nominees to serve until 2024 annual
|
|
|
|
|
|
meeting or until a successor is elected and
|
|
|
|
|
|
qualified:
|
For
|
Against |
Abstain | |
|
|||||
|
1a.
|
Thomas F. Lydon, Jr.
|
☐
|
☐ |
☐
|
|
|||||
|
1b.
|
Ronald A. Nyberg
|
☐ |
☐
|
☐
|
|
|
|
|
|
Signature [PLEASE SIGN WITHIN BOX] | Date | Signature [Joint Owners] | Date |
PROXY TABULATOR
P.O. BOX 9112 FARMINGDALE, NY 11735 |
SCAN TO
VIEW MATERIALS & VOTE
|
|
To vote by Internet
1) Read the Proxy Statement and have the proxy card below at hand.
2) Go to website www.proxyvote.com or scan the QR Barcode above
3) Follow the instructions provided on the website.
|
|
|
To vote by Telephone
1) Read the Proxy Statement and have the proxy card below at hand.
2) Call 1-800-690-6903
3) Follow the instructions.
|
|
|
To vote by Mail
1) Read the Proxy Statement.
2) Check the appropriate boxes on the proxy card below.
3) Sign and date the proxy card.
4) Return the proxy card in the envelope provided.
Vote at the Virtual Annual Meeting
To attend and vote at the virtual meeting, please register at https://viewproxy.com/Guggenheim/broadridgevsm/
|
TO VOTE, MARK BLOCKS BELOW IN BLUE OR BLACK INK AS FOLLOWS:
|
|
|
|
D32979-P48962
|
KEEP THIS PORTION FOR YOUR RECORDS
|
|
|
DETACH AND RETURN THIS PORTION ONLY
|
1.
|
To elect Trustees in the following manner:
|
|
|
|
|
|
Class II Nominees to serve until 2023 annual
|
|
|
|
|
|
meeting or until a successor is elected and
|
|
|
|
|
|
qualified:
|
For
|
Against | Abstain |
|
|
1a.
|
Thomas F. Lydon, Jr.
|
☐
|
☐ | ☐ |
|
1b.
|
Ronald A. Nyberg
|
☐
|
☐ | ☐ |
|
1c.
|
Sandra G. Sponem
|
☐
|
☐
|
☐ |
|
1d.
|
Ronald E. Toupin, Jr.
|
☐
|
☐
|
☐ |
|
|
|
|
|
Signature [PLEASE SIGN WITHIN BOX] | Date | Signature [Joint Owners] | Date |