Federal Data Hub › SEC Fails-to-Deliver · JSON
Fails-to-deliver · CUSIP 40170T106
Over the rolling 12-month window, securities of GUGGENHEIM ACTIVE ALLOCATION F failed to deliver in the NSCC's Continuous Net Settlement system on 129 settlement days, totaling 339,718 fail shares and peaking at 28,752 shares on 2025-11-13. Persistent or spiking fails-to-deliver can signal delivery stress, naked short selling, or operational settlement problems.
| Settlement date | Fail shares | Price |
|---|---|---|
| 2026-09-11 | 389 | $15.25 |
| 2026-09-02 | 1 | $15.35 |
| 2026-08-13 | 2,947 | $15.45 |
| 2026-07-31 | 100 | $15.37 |
| 2026-07-27 | 543 | $15.40 |
| 2026-07-24 | 614 | $15.48 |
| 2026-07-23 | 26,988 | $15.67 |
| 2026-07-22 | 470 | $16.03 |
| 2026-07-21 | 2,838 | $16.10 |
| 2026-07-20 | 1,676 | $16.37 |
| 2026-07-16 | 14,744 | $16.22 |
| 2026-07-15 | 30,795 | $16.25 |
| 2026-07-14 | 26,643 | $16.13 |
| 2026-07-10 | 147 | $15.85 |
| 2026-07-09 | 1 | $15.83 |
| 2026-07-08 | 2,158 | $15.94 |
| 2026-07-07 | 2,621 | $15.97 |
| 2026-07-01 | 45 | $15.98 |
| 2026-06-30 | 8,298 | $15.95 |
| 2026-06-29 | 694 | $15.82 |
| 2026-06-26 | 5,257 | $15.80 |
| 2026-06-25 | 3,444 | $15.75 |
| 2026-06-24 | 745 | $15.67 |
| 2026-06-15 | 411 | $16.18 |
| 2026-06-12 | 2,388 | $16.20 |
| 2026-06-11 | 8,165 | $16.11 |
| 2026-06-10 | 751 | $15.87 |
| 2026-06-02 | 719 | $16.12 |
| 2026-05-21 | 21,800 | $15.81 |
| 2026-05-11 | 75 | $15.85 |
| 2026-05-08 | 2,519 | $15.80 |
| 2026-05-07 | 3,412 | $15.87 |
| 2026-05-06 | 230 | $15.84 |
| 2026-05-05 | 1,001 | $15.94 |
| 2026-04-28 | 1,904 | $15.61 |
| 2026-04-27 | 2,013 | $15.60 |
| 2026-04-22 | 636 | $15.58 |
| 2026-04-15 | 1,931 | $15.81 |
| 2026-04-14 | 16,038 | $15.89 |
| 2026-04-13 | 1,000 | $15.93 |
| 2026-04-02 | 478 | $15.32 |
| 2026-03-25 | 1,588 | $15.08 |
| 2026-03-24 | 404 | $15.00 |
| 2026-03-19 | 2,874 | $15.16 |
| 2026-03-18 | 301 | $15.31 |
| 2026-03-17 | 1,018 | $15.29 |
| 2026-03-13 | 2,382 | $15.45 |
| 2026-03-12 | 1,188 | $15.60 |
| 2026-03-11 | 1,861 | $15.63 |
| 2026-03-09 | 1,723 | $15.73 |
| 2026-03-05 | 1,565 | $15.97 |
| 2026-02-27 | 100 | $16.04 |
| 2026-02-06 | 16,439 | $15.90 |
| 2026-02-05 | 2,393 | $15.68 |
| 2026-02-04 | 3,069 | $15.67 |
| 2026-02-03 | 176 | $15.75 |
| 2026-02-02 | 223 | $15.82 |
| 2026-01-29 | 3,660 | $15.77 |
| 2026-01-27 | 1,013 | $15.68 |
| 2026-01-26 | 180 | $15.61 |
| 2026-01-23 | 1,443 | $15.73 |
| 2026-01-21 | 1,291 | $15.57 |
| 2026-01-20 | 1,103 | $15.63 |
| 2026-01-16 | 1,903 | $15.79 |
| 2026-01-15 | 367 | $15.96 |
| 2026-01-14 | 2,521 | $15.93 |
| 2026-01-13 | 966 | $15.71 |
| 2026-01-12 | 6,566 | $15.59 |
| 2026-01-09 | 5,299 | $15.55 |
| 2026-01-08 | 6,292 | $15.56 |
| 2026-01-07 | 1,811 | $15.46 |
| 2026-01-06 | 4,521 | $15.33 |
| 2026-01-05 | 4,667 | $15.33 |
| 2025-12-31 | 626 | $15.32 |
| 2025-12-29 | 91 | $15.48 |
| 2025-12-26 | 92 | $15.40 |
| 2025-12-24 | 95 | $15.31 |
| 2025-12-22 | 65 | $15.36 |
| 2025-12-19 | 3,838 | $15.51 |
| 2025-12-18 | 5,076 | $15.30 |
| 2025-12-17 | 1,369 | $15.33 |
| 2025-12-16 | 1,582 | $15.48 |
| 2025-12-15 | 1,641 | $15.44 |
| 2025-12-09 | 4 | $15.44 |
| 2025-12-08 | 4,167 | $15.64 |
| 2025-12-02 | 495 | $15.43 |
| 2025-11-24 | 3,293 | $15.01 |
| 2025-11-19 | 163 | $15.13 |
| 2025-11-13 | 28,752 | $15.45 |
| 2025-11-07 | 1,387 | $15.40 |
Showing 90 most recent of 120.
A "fail-to-deliver" occurs when a party in a securities trade does not deliver the shares by the settlement date. The SEC publishes twice-monthly files of CNS fails-to-deliver by security. This page aggregates the rolling 12-month window. CUSIP 40170T106 links to this security's other federal filings across the hub.
Source: SEC Fails-to-Deliver Data. License: CC0 1.0.