People: Guggenheim Strategic Opportunities Fund (GOF)

GOF on New York Consolidated

21.81USD
8 Jul 2014
Price Change (% chg)

$0.03 (+0.15%)
Prev Close
$21.78
Open
$21.77
Day's High
$21.90
Day's Low
$21.77
Volume
48,324
Avg. Vol
53,533
52-wk High
$22.79
52-wk Low
$20.41

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Summary

Name Age Since Current Position

Donald Cacciapaglia

63 2012 Chief Executive Officer, Trustee

John Sullivan

59 2010 Chief Financial Officer, Chief Accounting Officer, Treasurer

Joanna Catalucci

48 2012 Chief Compliance Officer

Mark Furjanic

55 2008 Assistant Treasurer

James Howley

42 2007 Assistant Treasurer

Derek Maltbie

42 2011 Assistant Treasurer

Kimberly Scott

40 2012 Assistant Treasurer

Amy Lee

53 2012 Chief Legal Officer

Mark Mathiasen

36 2007 Secretary

Stevens Kelly

32 2012 Assistant Secretary

Randall Barnes

63 2007 Independent Trustee

Roman Friedrich

68 2010 Independent Trustee

Robert Karn

72 2010 Independent Trustee

Ronald Nyberg

61 2007 Independent Trustee

Ronald Toupin

56 2007 Independent Trustee

Biographies

Name Description

Donald Cacciapaglia

Mr. Donald C. Cacciapaglia is Chief Executive Officer, Trustee of Guggenheim Strategic Opportunities Fund. Mr. Cacciapaglia has served as a Trustee since 2012. Mr. Cacciapaglia has nearly 40 years of experience in the investment banking and financial services industries. Mr. Cacciapaglia is Vice Chairman of Guggenheim Investments. Mr. Cacciapaglia is also President and Chief Executive Officer of Guggenheim Funds Distributors, LLC and President and Chief Executive Officer of Guggenheim Funds Investment Advisors, LLC. Prior to 2010, Mr. Cacciapaglia served as Chairman and Chief Executive Officer of Channel Capital Group, Inc., and its subsidiary broker-dealer Channel Capital Group LLC, a Guggenheim affiliated company. From 1996 until 2002, when he joined Chanel Capital Group, Mr. Cacciapaglia held the position of Managing Director and Chief Operating Officer of the Investment Banking Group at PaineWebber. Before that, Mr. Cacciapaglia was Chief Operating Officer of the Short and Intermediate Trading Group at CS First Boston from 1995 to 1996. From 1977 to 1995, he held numerous positions at Merrill Lynch & Co., and was a Senior Analyst with the Federal Reserve Bank of New York from 1973 to 1977.

John Sullivan

Mr. John L. Sullivan is Chief Financial Officer, Chief Accounting Officer, Treasurer of Guggenheim Strategic Opportunities Fund. He serves asSenior 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 and Treasurer, Van Kampen Funds (1996-2004).

Joanna Catalucci

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

Mark Furjanic

Mr. Mark J. Furjanic is Assistant Treasurer of Guggenheim Strategic Opportunities Fund. He is 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, CPA., is Assistant Treasurer of Guggenheim Strategic Opportunities Fund. He is Director, Fund Administration of Guggenheim Funds Distributors, LLC (2004-present). Assistant Treasurer of certain funds in the Fund Complex. Formerly, Manager, Mutual Fund Administration of Van Kampen Investments, Inc. (1996-2004).

Derek Maltbie

Mr. Derek Dale Maltbie is Assistant Treasurer of Guggenheim Strategic Opportunities Fund. He is Vice President, Fund Administration of Guggenheim Funds Investment Advisors, LLC (2005-present); Assistant Treasurer of certain funds in the Fund Complex. Formerly, Supervisor, Mutual Fund Administration of Van Kampen Investments, Inc. (1995-2005).

Kimberly Scott

Ms. Kimberly J. Scott is Assistant Treasurer of Guggenheim Strategic Opportunities Fund. She is Vice President, Fund Administration of Guggenheim Funds Investment Advisors, LLC (2012-present); Assistant Treasurer of certain funds in the Fund Complex. Formerly, Financial Reporting Manager for Invesco, Ltd. (2010-2011); Vice President and Assistant Treasurer (2009-2010), Manager (2005-2009), Mutual Fund Administration for Van Kampen Investments, Inc. (f/k/a Morgan Stanley Investment Management).

Amy Lee

Ms. Amy J. Lee is Chief Legal Officer of Guggenheim Strategic Opportunities Fund. She is 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 (2012-present).

Mark Mathiasen

Mr. Mark E. Mathiasen is Secretary of Guggenheim Strategic Opportunities Fund. He is Director and 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 Strategic Opportunities Fund. He is Assistant General Counsel of Guggenheim Funds Services, LLC (2011-present); Assistant Secretary of certain funds in the Fund Complex. Formerly, associate at K&L Gates LLP (2008-2011).

Randall Barnes

Mr. Randall C. Barnes is an Independent Trustee of Guggenheim Strategic Opportunities Fund. He is Private Investor (2001-present). Formerly, 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). Mr. Barnes has served as a trustee of certain funds in the Fund Complex since 2004. Through his service as a Trustee of the Funds, as a member of the Audit Committee of the Funds, and as Chairperson of the Audit Committee of other funds in the Fund Complex, 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 an Independent Trustee of Guggenheim Strategic Opportunities Fund. He is Founder and President of Roman Friedrich & Company, a U.S. and Canadian-based business which provides investment banking to the mining industry (1998-present). Formerly, Senior Managing Director of MLV & Co., LLC, an investment bank and institutional broker-dealer specializing in capital intensive industries such as energy, metals and mining (2010-2011). Mr. Friedrich has served as a trustee of certain funds in the Fund Complex 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 an Independent Trustee of Guggenheim Strategic Opportunities Fund. He is Consultant (1998-present). Formerly, Arthur Andersen, LLP (1965-1997) and Managing Partner, Financial and Economic Consulting, St. Louis office (1987-1997). Mr. Karn has served as a trustee of certain 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 an Independent Trustee of Guggenheim Strategic Opportunities Fund. He is Partner of Nyberg & Cassioppi, LLC, a law firm specializing in Corporate Law, Estate Planning and Business Transactions (2000-present). Formerly, Executive Vice President, General Counsel and Corporate Secretary of Van Kampen Investments (1982-1999). Mr. Nyberg has served as a trustee of certain 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 an Independent Trustee of Guggenheim Strategic Opportunities Fund. He is Portfolio Consultant (2010-present). Formerly, Vice President, Manager and Portfolio Manager of Nuveen Asset Management (1998-1999), Vice President of Nuveen Investment Advisory Corp. (1992-1999), Vice President and Manager of Nuveen Unit Investment Trusts (1991-1999) and Assistant Vice President and Portfolio Manager of Nuveen Unit Investment Trusts (1988-1999), each of John Nuveen & Co., Inc. (1982-1999). Mr. Toupin has served as a trustee of certain funds in the Fund Complex 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.
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