People: Guggenheim Enhanced Equity Strategy Fund (GGE)

GGE on New York Consolidated

18.81USD
20 May 2013
Price Change (% chg)

$0.28 (+1.51%)
Prev Close
$18.53
Open
$18.60
Day's High
$18.94
Day's Low
$18.60
Volume
27,132
Avg. Vol
26,130
52-wk High
$19.35
52-wk Low
$15.57

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Summary

Name Age Since Current Position

Donald Cacciapaglia

 62 2012 Chief Executive Officer, Trustee

John Sullivan

 58 2010 Chief Financial Officer, Chief Accounting Officer, Treasurer

Joanna Catalucci

 47 2012 Chief Compliance Officer

Mark Furjanic

 54 2008 Assistant Treasurer

James Howley

 41 2007 Assistant Treasurer

Derek Maltbie

 41 2011 Assistant Treasurer

Kimberly Scott

 39 2012 Assistant Treasurer

Amy Lee

 52 2012 Chief Legal Officer

Mark Mathiasen

 35 2010 Secretary

Stevens Kelly

 31 2012 Assistant Secretary

Randall Barnes

 62 2010 Independent Trustee

Roman Friedrich

 67 2003 Independent Trustee

Robert Karn

 71 2010 Independent Trustee

Ronald Nyberg

 60 2003 Independent Trustee

Ronald Toupin

 55 2003 Independent Trustee
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Biographies

Name Description

Donald Cacciapaglia

 Mr. Donald C. Cacciapaglia is Chief Executive Officer, Trustee of Guggenheim Enhanced Equity Strategy Fund. Mr. Cacciapaglia has over 25 years of experience in the financial industry and has gained experience in financial, regulatory, distribution and investment matters.

John Sullivan

 Mr. John L. Sullivan is Chief Financial Officer, Chief Accounting Officer, Treasurer of Guggenheim Enhanced Equity Strategy Fund since 2011. He has been Senior Managing Director of Guggenheim Funds Investment Advisors, LLC and Guggenheim Funds Distributors, LLC (2010-present). Chief Financial Officer, Chief Accounting Officer and Treasurer of certain funds in the Fund Complex. Formerly, Chief Compliance Officer, Van Kampen Funds (2004-2010). Head of Fund Accounting, Morgan Stanley Investment Management (2002-2004). Chief Financial Officer, Treasurer, Van Kampen Funds (1996-2004).

Joanna Catalucci

 Ms. Joanna Catalucci is Chief Compliance Officer of Guggenheim Enhanced Equity Strategy Fund. since 2012. She has been Chief Compliance Officer of certain funds in the Fund Complex; and Managing Director of Compliance and Fund Board Relations, Guggenheim Investments (2012-present). Formerly, Chief Compliance Officer & Secretary, SBL Fund; Security Equity Fund; Security Income Fund; Security Large Cap Value Fund & Security Mid Cap Growth Fund; Vice President, Rydex Holdings, LLC; Vice President, Security Benefit Asset Management Holdings, LLC; and Senior Vice President & Chief Compliance Officer, Security Investors, LLC (2010-2012); Security Global Investors, LLC, Senior Vice President (2010-2011); Rydex Advisors, LLC (f/k/a PADCO Advisors, Inc.) and Rydex Advisors II, LLC (f/k/a PADCO Advisors II, Inc.), Chief Compliance Officer and Senior Vice President (2010-2011); Rydex Capital Partners I, LLC & Rydex Capital Partners II, LLC, Chief Compliance Officer (2006-2007); and Rydex Fund Services, LLC (f/k/a Rydex Fund Services, Inc.), Vice President (2001-2006).

Mark Furjanic

 Mr. Mark J. Furjanic is Assistant Treasurer of Guggenheim Enhanced Equity Strategy Fund since 2008. He has been Vice President, Fund Administration-Tax of Guggenheim Funds Investment Advisors, LLC and Guggenheim Funds Distributors, LLC (2005-present); Assistant Treasurer of certain funds in the Fund Complex. Formerly, Senior Manager for Ernst & Young LLP (1999-2005).

James Howley

 Mr. James Howley is Assistant Treasurer of Guggenheim Enhanced Equity Strategy Fund since 2007. He has been Vice President, Fund Administration of Guggenheim Funds Distributors, LLC (2004-present). Assistant Treasurer of certain funds in the Fund Complex. Previously, Manager, Mutual Fund Administration of Van Kampen Investments, Inc. (1996-2004).

Derek Maltbie

 Mr. Derek Dale Maltbie is Assistant Treasurer of Guggenheim Enhanced Equity Strategy Fund since 2011. He has been Assistant Vice President, Fund Administration of Guggenheim Funds Investment Advisors, LLC (2005-present). Assistant Treasurer of certain funds in the Fund Complex. Supervisor, Mutual Fund Administration of Van Kampen Investments, Inc. (1995-2005).

Kimberly Scott

 Ms. Kimberly J. Scott is Assistant Treasurer of Guggenheim Enhanced Equity Strategy Fund. She has been Vice President, Fund Administration of Guggenheim Funds Investment Advisors, LLC (2012-present); Assistant Treasurer of certain funds in the Fund Complex. Previously, 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).

Amy Lee

 Ms. Amy J. Lee is Chief Legal Officer of Guggenheim Enhanced Equity Strategy Fund, since 2012. She has been Managing Director, Guggenheim Investments (2012-present); Senior Vice President & Secretary, Security Investors, LLC (2010 - present); Secretary & Chief Compliance Officer, Security Distributors, Inc. (1987 - 2012); Vice President, Associate General Counsel & Assistant Secretary, Security Benefit Life Insurance Company and Security Benefit Corporation (1987-2012); Vice President & Secretary, Rydex Series Funds, Rydex ETF Trust, Rydex Dynamic Funds, and Rydex Variable Trust (2008-present); Chief Legal Officer (2012) of certain funds in the Guggenheim Funds Complex.

Mark Mathiasen

 Mr. Mark E. Mathiasen is Secretary of Guggenheim Enhanced Equity Strategy Fund. He has been Director, Associate General Counsel of Guggenheim Funds Services, LLC (2007-present). Secretary of certain funds in the Fund Complex.

Stevens Kelly

 Mr. Stevens T. Kelly is Assistant Secretary of Guggenheim Enhanced Equity Strategy Fund since 2012. He has been Assistant General Counsel of Guggenheim Funds Services, LLC (2011 to present). Assistant Secretary of certain funds in the Fund Complex. Previously, associate at K&L Gates LLP (2008-2011). J.D., University of Wisconsin Law School (2005-2008).

Randall Barnes

 Mr. Randall C. Barnes is Independent Trustee of Guggenheim Enhanced Equity Strategy Fund since 2010 and other funds in the Fund Complex since 2004. Through his service as a Trustee of the Funds and as a member of the Audit Committee, employment experience as President of Pizza Hut International and as Treasurer of PepsiCo, Inc. and his personal investment experience, Mr. Barnes is experienced in financial, accounting, regulatory and investment matters.

Roman Friedrich

 Mr. Roman Friedrich, III., is Independent Trustee of Guggenheim Enhanced Equity Strategy Fund since 2003. Through his service as a Trustee of the Funds and as chairperson of the Contracts Review Committee, his service on other public company boards, his experience as former Senior Managing Director of MLV & Co., LLC, an investment bank and institutional broker-dealer; his experience as founder and President of Roman Friedrich & Company, a financial advisory firm; and his prior experience as a senior executive of various financial securities firms, Mr. Friedrich is experienced in financial, investment and regulatory matters.

Robert Karn

 Mr. Robert B. Karn, III., is Independent Trustee of Guggenheim Enhanced Equity Strategy Fund since 2010 and other funds in the Fund Complex since 2004. Through his service as a Trustee of the Funds and as chairperson of the Audit Committee, his service on other public and private company boards, his experience as an accountant and consultant, and his prior experience, including Managing Partner of the Financial and Economic Consulting Practice of the St. Louis office at Arthur Andersen, LLP, Mr. Karn is experienced in accounting, financial, investment and regulatory matters.

Ronald Nyberg

 Mr. Ronald A. Nyberg is Independent Trustee of Guggenheim Enhanced Equity Strategy Fund since 2003 and other funds in the Fund Complex since 2003. Through his service as a Trustee of the Funds and as chairperson of the Nominating & Governance Committee, his professional training and experience as an attorney and partner of a law firm, Nyberg & Cassioppi. LLC, and his prior employment experience, including Executive Vice President and General Counsel of Van Kampen Investments, an asset management firm, Mr. Nyberg is experienced in financial, regulatory and governance matters.

Ronald Toupin

 Mr. Ronald E. Toupin Jr., is Independent Trustee of Guggenheim Enhanced Equity Strategy Fund since 2003. Through his service as a Trustee of the Funds and as chairperson of the Board, and his professional training and employment experience, including Vice President and Portfolio Manager for Nuveen Asset Management, an asset management firm, Mr. Toupin is experienced in financial, regulatory and investment matters.

Insider Trading

Name Shares Traded Price

TOUPIN RONALD E JR

 50 $18.20

BARNES RANDALL C

 2,850 $17.88

BARNES RANDALL C

 50 $17.90

FRIEDRICH ROMAN III

 100 $17.16

TOUPIN RONALD E JR

 50 $17.43

TOUPIN RONALD E JR

 50 $17.46

BARNES RANDALL C

 700 $17.24

BARNES RANDALL C

 2,900 $17.22

TOUPIN RONALD E JR

 50 $17.01
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