Friedrich Roman III - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	5	1	12	1	2	3	4	3	9	3
P	%wins				92	100	92	67	67	82	83
S	%ret	3	1	3	0	-1	2	8	10	6	5
S	%wins				100	67	33	0	0	33	39

Filing Date	T Date	Ticker	Issuer	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
5/8/19 17:13	5/7/19	GGM	Guggenheim Credit Allocation Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	22	20.60	0	1	53	3	D
5/8/19 17:12	5/7/19	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	22	20.17	0	1	27	5	D
3/19/19 14:21	3/19/19	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	3	19.65	0	0	4	4	D
3/7/19 14:37	3/7/19	GGM	Guggenheim Credit Allocation Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	23	21.20	0	1	121	2	D
9/6/18 13:12	9/6/18	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	3	22.19	0	0	4	4	D
7/24/18 15:10	7/17/18	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	18	21.35	0	1	34	3	D
3/29/18 13:10	3/29/18	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	15	20.20	0	1	44	2	D
12/5/17 17:20	11/28/17	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	3	21.64	0	0	9	2	D
7/21/17 15:20	7/20/17	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	11	21.07	0	1	52	1	D
8/29/16 11:38	8/25/16	GGM	Guggenheim Credit Allocation Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	10	22.10	1	0	100	1	D	12	18	28	12	9	4	0	3	2	3	2	-2	13
8/29/14 12:05	8/28/14	GGM	Guggenheim Credit Allocation Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	6	24.27	1	0	125	0	D		11	8	0	1	3	2	1	-1	2	0	-3	-2	-6
3/20/14 13:55	12/26/13	FMO	Fiduciary/claymore Mlp Opportunity Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	S	-7	25.30	2	0	-100	0	D	30	15	11	7	3	2	0	0	0	-2	4	10	12	-3
3/20/14 13:53	12/26/13	GGE	Guggenheim Enhanced Equity Strategy Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	S	-3	18.47	0	0	-100	0	D	31	12	12	10	7	0	0	0	0	-1	-1	4	12	4
3/20/14 13:50	2/23/12	GBAB	Guggenheim Build America Bonds Managed Duration Trust	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	3	21.93	1	0		0	D	12	-2	5	9	1	-1	1	-1	0	1	3	9	7	17
3/20/14 13:50	12/26/13	GBAB	Guggenheim Build America Bonds Managed Duration Trust	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	S	-7	19.66	1	0	-100	0	D	12	-2	5	9	1	-1	1	-1	0	1	3	9	7	17
11/26/13 11:49	11/25/13	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	2	21.48	1	0	11	1	D	27	13	2	2	-2	-4	-5	0	0	1	0	2	8	13
9/4/13 17:27	9/3/13	GGM	Guggenheim Credit Allocation Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	5	23.73	1	0	New	0	D					-7	-1	-4	0	0	0	1	-3	5	13
6/25/13 15:42	6/24/13	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	5	21.31	3	0	44	1	I	25	12	2	-5	-9	-1	-1	1	1	4	2	5	2	13
4/19/13 10:31	4/12/13	FMO	Fiduciary/claymore Mlp Opportunity Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P.a	7	25.81	3	0	New	0	D	30	20	16	12	1	1	0	-1	0	1	7	8	-1	12
4/16/13 14:39	4/16/13	FMO	Fiduciary/claymore Mlp Opportunity Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	7	25.81	3	0	New	0	D	27	23	16	13	3	4	5	1	2	0	3	7	-1	11
1/4/13 15:26	12/21/12	GGE	Guggenheim Enhanced Equity Strategy Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	2	17.16	0	0	213	0	D	31	16	5	0	5	1	1	4	1	2	6	10	9	16
1/4/13 15:00	12/27/12	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	5	21.10	1	0	80	1	D	32	16	9	2	5	2	0	3	0	3	3	10	2	7
1/4/13 14:53	12/27/12	GBAB	Guggenheim Build America Bonds Managed Duration Trust	Fund	CEF	Closed-End Funds	Friedrich Roman III	CA	DH	Trustee	P	5	22.72	1	0	154	0	D	46	16	2	-1	1	2	2	1	1	1	-2	1	-7	-7
5/4/11 11:49	12/2/05	DCS	Claymore Dividend & Income Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	A1	DH	Trustee	P	4	18.30	0	0	New	0	D
4/20/11 12:59	4/4/11	GOF	Guggenheim Strategic Opportunities Fund	Fund	CEF	Closed-End Funds	Friedrich Roman III	A1	DH	Trustee	P	6	21.04	1	0	New	0	D	160	24	9	7	4	1	0	0	1	1	5	-1	1	7

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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