Form 3 GUGGENHEIM ENHANCED EQUI For: Nov 30 Filed by: McWhinnie Glenn
FREE Breaking News Alerts from StreetInsider.com!
StreetInsider.com Top Tickers, 4/24/2024
November 30, 2016 3:32 PM EST
| FORM
3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF
SECURITIES
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act
of 1940
|
| OMB APPROVAL |
| OMB Number: |
3235-0104 |
| Expires: |
December 31, 2014 |
| Estimated average burden |
| hours per response: |
0.5 |
|
|
1. Name and Address of Reporting Person
*
(Street)
|
2. Date of Event Requiring Statement
(Month/Day/Year)
11/30/2016
|
3. Issuer Name
and
Ticker or Trading Symbol
GUGGENHEIM ENHANCED EQUITY STRATEGY FUND
[
GGE
]
|
4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
|
Director |
|
10% Owner |
| X |
Officer (give title below) |
|
Other (specify below) |
| Assistant Treasurer |
|
5. If Amendment, Date of Original Filed
(Month/Day/Year)
|
6. Individual or Joint/Group Filing (Check
Applicable Line)
| X |
Form filed by One Reporting Person |
|
Form filed by More than One Reporting
Person |
|
| Table I - Non-Derivative Securities Beneficially Owned |
|---|
| 1. Title of Security (Instr.
4)
|
2.
Amount of Securities Beneficially Owned (Instr.
4)
|
3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
4. Nature of Indirect Beneficial Ownership (Instr.
5)
|
|
Common Stock - Initial Filing
|
0
|
D
|
|
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
|
|---|
| 1. Title of Derivative Security (Instr.
4)
|
2. Date Exercisable and Expiration Date
(Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
|
6. Nature of Indirect Beneficial Ownership (Instr.
5)
|
| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Explanation of Responses: |
|
Glenn McWhinnie, by Mark E. Mathiasen Pursuant to a POA |
11/30/2016 |
|
** Signature of Reporting Person |
Date |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. |
| * If the form is filed by more than one reporting person,
see
Instruction
4
(b)(v). |
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure. |
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |
POWER OF ATTORNEY
The undersigned,
being a person required
to file statements under
Section 16(a) of the
Securities Exchange Act
of 1934 (the '1934 Act')
and Section 30(h) of the
Investment Company Act of
1940 (the '1940 Act') with
espect to certain closed-end
investment companies advised
or serviced by Guggenheim
Funds Investment Advisors,
LLC or its affiliates, as
listed on Annex A hereto
as may be amended from
time to time
(the 'Guggenheim Closed-End
Funds'), hereby authorizes,
designates and appoints
Amy J. Lee, Mark E. Mathiasen
and Michael P. Megaris to act
as such persons true and lawful
attorney in fact and agents,
each with full power of
substitution and resubstitution
and full power to act alone
and without the other, for the
undersigned and in the
undersigneds name, place
and stead, in any and all
capacities, to execute,
acknowledge, deliver and
file any and all
statements on Form 3,
Form 4 and For 5 and any
successor forms adopted
by the Securities Exchange
Commission (the 'Commission'),
as required by the 1934 Act
and the 1940 Act, and the
rules and regulations
thereunder, and to take such
other actions as such
attorney-in-fact may deem
necessary or appropriate in
connection with such statements
(including without limitation,
completing, executing and filing
with the Commission an
application for EDGAR codes
(i.e., Central Index Key (CIK)
and the CIK confirmation code
(CCC)) on Form ID) hereby
confirming and ratifying all
actions that such attorney
in fact has taken or may take
in reliance hereon. This power
of attorney supersedes any
previous versions of same,
and shall be valid from the
date hereof until the
undersigned no longer has
an obligation to file statements
under the acts cited above with
respect to the Guggenheim
Closed-End Funds, or until
specifically revoked by the
undersigned, and shall be
automatically revoked with
respect to any attorney in
the event that such attorney
is no longer affiliated with
Guggenheim Funds Investment
Advisors, LLC or its affiliates.
IN WITNESS WHEREOF, the
undersigned has executed
this Power of Attorney on the
19th day of August, 2015.
Signature:
/s/ Glen McWhinnie
Annex A
Fiduciary/Claymore MLP
Opportunity Fund (FMO)
Guggenheim Taxable
Municipal Managed
Duration Trust
(GBAB)
Guggenheim Equal Weight
Enhanced Equity Income Fund
(GEQ)
Guggenheim Enhanced Equity
Strategy Fund (GGE)
Guggenheim Credit Allocation
Fund (GGM)
Guggenheim Strategic
Opportunities Fund (GOF)
Guggenheim Enhanced Equity
Income Fund (GPM)
Guggenheim Energy &
Income Fund (XGEIX)
Tweet
Share
E-mail
