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Guggenheim Strategic Opportunities Fund (GOF)

GOF on New York Consolidated

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2 Dec 2016
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Summary

Name Age Since Current Position

Donald Cacciapaglia

65 2012 Chief Executive Officer, Trustee

John Sullivan

61 2010 Chief Financial Officer, Chief Accounting Officer, Treasurer

Joanna Catalucci

50 2012 Chief Compliance Officer

William Belden

50 2014 Vice President

Bryan Stone

37 2014 Vice President

Joseph Arruda

50 2014 Assistant Treasurer

Mark Furjanic

57 2008 Assistant Treasurer

James Howley

44 2007 Assistant Treasurer

Kimberly Scott

42 2012 Assistant Treasurer

Amy Lee

55 2012 Chief Legal Officer

Mark Mathiasen

36 2007 Secretary

Michael Megaris

32 2014 Assistant Secretary

Randall Barnes

65 2007 Independent Trustee

Donald Chubb

69 2014 Independent Trustee

Jerry Farley

70 2014 Independent Trustee

Roman Friedrich

69 2010 Independent Trustee

Robert Karn

74 2010 Independent Trustee

Ronald Nyberg

61 2007 Independent Trustee

Maynard Oliverius

72 2014 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 of certain funds in the Fund Complex since of 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).

William Belden

Mr. William H. Belden is Vice President of Guggenheim Strategic Opportunities Fund. He is currently Vice President, certain other funds in the Fund Complex (2006-present); Managing Director, Guggenheim Funds Investment Advisors, LLC (2005- present). Former: Vice President of Management, Northern Trust Global Investments (1999-2005).

Bryan Stone

Mr. Bryan Stone is Vice President of the company. He is Vice President, certain other funds in the Fund Complex (2014-present) and Director, Guggenheim Investments (2013-present). Prior to this, he is Senior Vice President, Neuberger Berman Group LLC (2009-2013) and Vice President, Morgan Stanley (2002-2009).

Joseph Arruda

Mr. Joseph M. Arruda is Assistant Treasurer of the company. He is Assistant Treasurer, certain other funds in the Fund Complex (2006-present). He is Vice President, Security Investors, LLC (2010-present) and CFO and Manager, Guggenheim Specialized Products, LLC (2009-present). Formerly, he is Vice President, Security Global Investors, LLC (2010-2011) and Vice President, Rydex Advisors, LLC (2010); Vice President, Rydex Advisors II, LLC (2010).

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).

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.

Michael Megaris

Mr. Michael P. Megaris is Assistant Secretary of the company. He is Assistant Secretary, certain other funds in the Fund Complex (2014-present). He is Associate, Guggenheim Investments (2012- present). He is J.D., University of Kansas School of Law (2009-2012).

Randall Barnes

Mr. Randall C. Barnes is an Independent Trustee of Guggenheim Strategic Opportunities Fund. He 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 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.

Donald Chubb

Mr. Donald A. Chubb Jr. is Independent Trustee of Guggenheim Strategic Opportunities Fund. Mr. Chubb has served as a trustee/director of certain funds in the Fund Complex since 1994 and as Chairman of certain funds in the Fund Complex since 2012. Mr. Chubb also served as Lead Independent Director of certain funds in the Fund Complex from 2010 to 2012. Mr. Chubb has worked in the business brokerage and commercial real estate market for over 14 years. Previously, Mr. Chubb owned and operated electric sign companies and was a director of Fidelity State Bank and Trust (Topeka, KS). Mr. Chubb has experience with investment company fund matters.

Jerry Farley

Mr. Jerry B. Farley is Independent Trustee of Guggenheim Strategic Opportunities Fund. Dr. Farley has served as a trustee/director of certain funds in the Fund Complex since 2005 and as Chair of the Audit Committee of certain funds in the Fund Complex since 2013. Dr. Farley has over 39 years of experience in the administration of the academic, business and fiscal operations of educational institutions. Dr. Farley has served as President of Washburn University since 1997. Prior to 1997, Dr. Farley worked in various executive positions for the University of Oklahoma and Oklahoma State University, including Vice President of Community Relations and Economic Development, Vice President of Administration and Chief Financial Officer. He also has been a Certified Public Accountant since 1972 and, although he has not practiced public accounting, his business responsibilities at educational institutions have included all aspects of financial management and reporting. Dr. Farley holds an MBA and a Ph.D. in Higher Education Administration and is a C.P.A. Dr. Farley serves on the board of Westar Energy, Inc., a NYSE listed company, and CoreFirst Bank and Trust. Dr. Farley has experience with investment company matters.

Roman Friedrich

Mr. Roman Friedrich, III., is an Independent Trustee of Guggenheim Strategic Opportunities Fund. He 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 Managing Partner 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 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 of 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 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.

Maynard Oliverius

Mr. Maynard F. Oliverius is Independent Trustee of Guggenheim Strategic Opportunities Fund. Mr. Oliverius has served as a trustee/director of certain funds in the Fund Complex since 1998. Mr. Oliverius served as President and Chief Executive Officer of Stormont-Vail HealthCare until his retirement in 2012. From 2005 through 2008 Mr. Oliverius was on the Board of Trustees of the American Hospital Association. Mr. Oliverius has a master’s degree in Health Care Administration. Mr. Oliverius has experience with investment company matters.

Ronald Toupin

Mr. Ronald E. Toupin Jr., is an Independent Trustee of Guggenheim Strategic Opportunities Fund. 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 prior 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.