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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Fiduciary/Claymore Energy Infrastructure Fund
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| August 18, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FILED PURSUANT TO SECTION 8(f) OF THE INVESTMENT COMPANY ACT OF 1940 (the “Act”) AND RULE 8f-1 THEREUNDER FOR ORDER DECLARING THAT COMPANY HAS CEASED TO BE AN INVESTMENT COMPANY Dated: August 18, 2022 I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descript |
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| April 28, 2022 |
Fiduciary/Claymore Energy Infrastructure Fund SCHEDULE OF INVESTMENTS (Unaudited) February 28, 2022 Shares Value COMMON STOCKS† - 7. |
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| April 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-8F APPLICATION FILED PURSUANT TO SECTION 8(f) OF THE INVESTMENT COMPANY ACT OF 1940 (the “Act”) AND RULE 8f-1 THEREUNDER FOR ORDER DECLARING THAT COMPANY HAS CEASED TO BE AN INVESTMENT COMPANY Dated: April 14, 2022 I. General Identifying Information 1. Reason fund is applying to deregister (check only one; for descripti |
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| March 7, 2022 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 18, 2022, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 14, 2022 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* Fiduciary/Claymore Energy Infrastructure Fund (Name of Issuer) Common (Title of Class of Securities) 31647Q205 (CUSIP Number) Marcus Collins RiverNorth Ca |
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| January 24, 2022 |
Filed pursuant to Rule 425 of the Securities Act of 1933, as amended and deemed filed pursuant to Regulation 14A under the Securities and Exchange Act of 1934, as amended Subject Companies: Kayne Anderson Energy Infrastructure Fund, Inc. |
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| January 24, 2022 |
Filed pursuant to Rule 425 of the Securities Act of 1933, as amended and deemed filed pursuant to Regulation 14A under the Securities and Exchange Act of 1934, as amended Subject Companies: Kayne Anderson Energy Infrastructure Fund, Inc. |
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| January 11, 2022 |
IMPORTANT NOTICE ABOUT YOUR FUND Filed by Kayne Anderson Energy Infrastructure Fund, Inc. Pursuant to Rule 425 of the Securities Act of 1933, as amended and deemed filed pursuant to Rule 14a-12 under the Securities and Exchange Act of 1934, as amended Subject Companies: Kayne Anderson Energy Infrastructure Fund, Inc. Commission File No. 811-21593 Fiduciary/Claymore Energy Infrastructure Fund Commission File No. 811-21652 Fiduciar |
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| October 27, 2021 |
Fiduciary/Claymore Energy Infrastructure Fund Fiduciary/Claymore Energy Infrastructure Fund SCHEDULE OF INVESTMENTS (Unaudited) August 31, 2021 Shares Value COMMON STOCKS† - 5. |
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| June 11, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)* Fiduciary/Claymore Energy Infrastructure Fund (Name of Issuer) Common (Title of Class of Securities) 31647Q205 (CUSIP Number) Marcus Collins RiverNorth Ca |
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| April 28, 2021 |
Fiduciary/Claymore Energy Infrastructure Fund Fiduciary/Claymore Energy Infrastructure Fund SCHEDULE OF INVESTMENTS (Unaudited) February 28, 2021 Shares Value COMMON STOCKS† - 5. |
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| March 17, 2021 |
- FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND NQ Fiduciary/Claymore Energy Infrastructure Fund SCHEDULE OF INVESTMENTS (Unaudited) August 31, 2020 Shares Value COMMON STOCKS† - 19. |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: 3235-0058 Expires: February 28, 2022 Estimated average burden hours per response .. . . . . 2.50 SEC FILE NUMBER 811-21652 CUSIP NUMBER 31647Q205 (Check one): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-CEN ? Form N-CSR For Period Ended: |
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| February 16, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 0)* Fiduciary/Claymore Energy Infrastructure Fund (Name of Issuer) Common (Title of Class of Securities) 31647Q205 (CUSIP Number) Marcus Collins RiverNorth Ca |
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| February 9, 2021 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 12b-25 NOTIFICATION OF LATE FILING OMB APPROVAL OMB Number: 3235-0058 Expires: February 28, 2022 Estimated average burden hours per response . . . . . . . . . . . 2.50 SEC FILE NUMBER 811-21652 CUSIP NUMBER 31647Q205 (Check one): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-CEN ☒ Form N-CSR For Per |
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| October 27, 2020 |
Fiduciary/Claymore Energy Infrastructure Fund Fiduciary/Claymore Energy Infrastructure Fund SCHEDULE OF INVESTMENTS (Unaudited) August 31, 2020 Shares Value COMMON STOCKS† - 19. |
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| April 28, 2020 |
Fiduciary/Claymore Energy Infrastructure Fund Fiduciary/Claymore Energy Infrastructure Fund SCHEDULE OF INVESTMENTS (Unaudited) February 29, 2020 Shares Value COMMON STOCKS† - 9. |
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| February 26, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant ? Filed by a Party other than the Registrant ? Check appropriate box: ? Preliminary Proxy Statement ? Confidential, For Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement |
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| February 25, 2020 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEF 14A - - CEF PROXY FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND (NYSE: FMO) GUGGENHEIM TAXABLE MUNICIPAL MANAGED DURATION TRUST (NYSE: GBAB) GUGGENHEIM CREDIT ALLOCATION FUND (NYSE: GGM) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 2, 2020 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| October 29, 2019 |
Fiduciary/Claymore Energy Infrastructure Fund SCHEDULE OF INVESTMENTS (Unaudited) August 31, 2019 Shares Value COMMON STOCKS† - 28. |
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| October 23, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEFA14A - - FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| October 23, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEFA14A - - FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defini |
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| October 23, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEFA14A - - FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Defin |
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| September 27, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEF 14A - - FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☒ Defin |
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| September 20, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CORRESP - - [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] September 20, 2019 Ryan Sutcliffe U. |
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| September 6, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund PRE 14A - - FMO PRE 14A 1 gug78387fmo-pre14a.htm FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☒ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as p |
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| September 6, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CORRESP - - CORRESP 1 filename1.htm [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] September 6, 2019 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Fiduciary/Claymore Energy Infrastructure Fund (File No. 811-21652)—Preliminary Proxy Statement Ladies and Gentlemen: On behalf of Fiduciary/Claymore Energy Infrastructure Fund (the "Fund"), we are enclosing herewith for fili |
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| August 21, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund DEFA14A - - FMO DEFA14A 1 fmo-defa14a.htm FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐Preliminary Proxy Statement ☐Confidential, for Use of the Commission Only (as permitted |
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| May 22, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CORRESP - - Fiduciary/Claymore Energy Infrastructure Fund 227 West Monroe Street Chicago, Illinois 60606 May 22, 2019 Samantha Brutlag Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Fiduciary/Claymore Energy Infrastructure Fund Registration Statement on Form N-2 (File Nos. |
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| May 15, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CORRESP - - [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] May 15, 2019 Samantha Brutlag Securities and Exchange Commission Division of Investment Management 100 F Street, N. |
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| April 29, 2019 |
CERTIFICATIONS I, Brian E. Binder, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore Energy Infrastructure Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with re |
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| April 29, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund N-Q (Quarterly Schedule of Portfolio Holdings) FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore Energy Infrastructure Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices)(Zip code) Amy J. |
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| February 22, 2019 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CEF PROXY FIDUCIARY/CLAYMORE ENERGY INFRASTRUCTURE FUND (NYSE: FMO) GUGGENHEIM TAXABLE MUNICIPAL MANAGED DURATION TRUST (NYSE: GBAB) GUGGENHEIM CREDIT ALLOCATION FUND (NYSE: GGM) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 4, 2019 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| October 26, 2018 |
FMO / Fiduciary/Claymore MLP Opportunity Fund FMO (Quarterly Schedule of Portfolio Holdings) N-Q 1 gug74888-nq.htm FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive |
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| October 26, 2018 |
CERTIFICATIONS I, Brian E. Binder, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| April 30, 2018 |
FMO / Fiduciary/Claymore MLP Opportunity Fund FMO (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices)(Zip code) Amy J. |
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| April 30, 2018 |
CERTIFICATIONS I, Brian E. Binder, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect |
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| March 26, 2018 |
FMO / Fiduciary/Claymore MLP Opportunity Fund CEF PROXY FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND (NYSE: FMO) GUGGENHEIM TAXABLE MUNICIPAL MANAGED DURATION TRUST (NYSE: GBAB) GUGGENHEIM CREDIT ALLOCATION FUND (NYSE: GGM) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) 227 West Monroe Street, 7th Floor Chicago, Illinois 60606 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 26, 2018 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| March 23, 2018 |
Consent of Independent Registered Public Accounting Firm EX-99.(N) 2 ex99n.htm CONSENT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Exhibit (n) Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of |
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| March 23, 2018 |
FMO / Fiduciary/Claymore MLP Opportunity Fund FMO As filed with the Securities and Exchange Commission on March 23, 2018 Securities Act File No. |
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| March 23, 2018 |
FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND POWER OF ATTORNEY Exhibit (s)(ii) FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND POWER OF ATTORNEY Each of the undersigned officers and trustees of Fiduciary/Claymore MLP Opportunity Fund, a statutory trust formed under the laws of the State of Delaware (the “Trust”), do constitute and appoint Mark E. |
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| October 30, 2017 |
Fiduciary/claymore Mlp Opportunity Fund - FMO N-Q 1 gug72046-nq.htm FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive |
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| October 30, 2017 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Amy J. Lee, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements wer |
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| July 28, 2017 |
Document GUGGENHEIM INVESTMENTS 227 West Monroe Street Chicago, Illinois 60606 July 28, 2017 Ken Ellington Staff Accountant U. |
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| April 27, 2017 |
EX-99.CERT 2 ex99cert.htm CERTIFICATIONS CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such st |
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| April 27, 2017 |
Fiduciary/claymore Mlp Opportunity Fund - FMO N-Q 1 gug70748-nq.htm FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive |
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| March 31, 2017 |
Fiduciary FMO GBAB GGM GPM GOF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants ? Filed by a Party other than the Co-Registrants ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule |
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| February 28, 2017 |
EX-99.(L)(II) 3 ex99lii.htm OPINION AND CONSENT OF SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP Exhibit (l)(ii) [SASM&F Letterhead] February 28, 2017 Fiduciary/Claymore MLP Opportunity Fund 227 West Monroe Street Chicago, Illinois 60606 RE: Fiduciary/Claymore MLP Opportunity Fund— Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Fiduciary/Claymore MLP Opport |
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| February 28, 2017 |
CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT Exhibit (h)(i) CONTROLLED EQUITY OFFERING SM SALES AGREEMENT February 28, 2017 Cantor Fitzgerald & Co. |
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| February 28, 2017 |
POS EX 1 gug65417-posex.htm FMO As filed with the Securities and Exchange Commission on February 28, 2017 Securities Act File No. 333-213517 Investment Company Act File No. 811-21652 United States Securities and Exchange Commission Washington, D.C. 20549 FORM N-2 T Registration Statement under the Securities Act of 1933 o Pre-Effective Amendment No. ☒ Post-Effective Amendment No. 2 and/or T Regist |
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| February 28, 2017 |
Consent of Independent Registered Public Accounting Firm Exhibit (n) Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| February 16, 2017 |
AMENDMENT No. 9 TO COMMITTED FACILITY AGREEMENT Exhibit (k)(iv)(10) AMENDMENT No. 9 TO COMMITTED FACILITY AGREEMENT AMENDMENT AGREEMENT (?Amendment? dated as of April 1, 2016 to the Committed Facility Agreement, dated as of September 26, 2008, (as amended from time to time, the ?Agreement?) between BNP Paribas Prime Brokerage, Inc. (?BNPP PB, Inc.?) (fka Banc of America Finance Services Inc. (?BAFSI?)) and Fiduciary/Claymore MLP Opportunity Fun |
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| February 16, 2017 |
AMENDMENT No. 10 TO COMMITTED FACILITY AGREEMENT Exhibit (k)(iv)(11) AMENDMENT No. 10 TO COMMITTED FACILITY AGREEMENT AMENDMENT AGREEMENT (?Amendment?) dated as of May 18, 2016 to the Committed Facility Agreement, dated as of September 26, 2008, (as amended from time to time, the ?Agreement?) between BNP Paribas Prime Brokerage, Inc. (?BNPP PB, Inc.?) (fka Banc of America Finance Services Inc. (?BAFSI?)) and Fiduciary/Claymore MLP Opportunity Fu |
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| February 16, 2017 |
486BPOS 1 gug70274-486b.htm FMO As filed with the Securities and Exchange Commission on February 16, 2017 Securities Act File No. 333-213517 Investment Company Act File No. 811-21652 United States Securities and Exchange Commission Washington, D.C. 20549 FORM N-2 T Registration Statement under the Securities Act of 1933 ☐ Pre-Effective Amendment No. ☒ Post-Effective Amendment No. 1 and/or T Regist |
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| February 16, 2017 |
Exhibit (n) Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions ?Financial Highlights? and ?Independent Registered Public Accounting Firm? in the Prospectus and ?Independent Registered Public Accounting Firm? and ?Financial Statements? in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| February 16, 2017 |
Exhibit (k)(i) Transfer Agency and Service Agreement Between Each of the Guggenheim Closed-End Investment Companies Listed on Schedule 1 Attached Hereto and Computershare Inc. |
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| February 14, 2017 |
FMO / Fiduciary/Claymore MLP Opportunity Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 08)* Fiduciary/Claymore MLP Opportunity Fund (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| December 6, 2016 |
Fiduciary/Claymore MLP Opportunity Fund 227 West Monroe Street Chicago, Illinois 60606 December 6, 2016 Valerie Lithotomos Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Fiduciary/Claymore MLP Opportunity Fund – Registration Statement on Form N-2 (File Nos. |
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| November 16, 2016 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] November 16, 2016 Valerie Lithotomos Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Fiduciary/Claymore MLP Opportunity Fund (File Nos. |
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| October 28, 2016 |
Fiduciary FMO (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices)(Zip code) Amy J. |
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| October 28, 2016 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| July 28, 2016 |
FIFTH AMENDED AND RESTATED BY-LAWS OF FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FIFTH AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the ?By-Laws?), dated as of February 24, 2016, are made and adopted pursuant to Section 3. |
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| April 28, 2016 |
ex99cert.htm CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misl |
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| April 28, 2016 |
Fiduciary/Claymore MLP Opportunity Fund FMO (Quarterly Schedule of Portfolio Holdings) N-Q 1 gug64325-nq.htm FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive |
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| March 29, 2016 |
AMENDMENT No. 8 COMMITTED FACILITY AGREEMENT EX-99.(K)(IV)(9) 3 exkiv9.htm AMENDMENT NO. 8 AMENDMENT No. 8 TO COMMITTED FACILITY AGREEMENT AMENDMENT AGREEMENT (“Amendment”) dated as of December 22, 2015 to the Committed Facility Agreement, dated as of September 26, 2008, (as amended from time to time, the “Agreement”) between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) (fka Banc of America Finance Services Inc. (“BAFSI”)) and Fiducia |
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| March 29, 2016 |
As filed with the Securities and Exchange Commission on March 29, 2016 Securities Act File No. |
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| March 29, 2016 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| March 4, 2016 |
Fiduciary/Claymore MLP Opportunity Fund DEFINITIVE PROXY STATEMENT gug64158-def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as |
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| March 1, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 gugfmo-8k.htm FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 24, 2016 (March 1, 2016) Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in its cha |
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| March 1, 2016 |
EX-3.1 2 ex31.htm AMENDED AND RESTATED BY-LAWS FIFTH AMENDED AND RESTATED BY-LAWS OF FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FIFTH AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the “By-Laws”), dated as of February 24, 2016, are made and adopted pursuant to Section 3.9 of the Agreement and Declaration of Trust establishing Fiduciary/Claymor |
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| February 16, 2016 |
FMO / Fiduciary/Claymore MLP Opportunity Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 07)* Fiduciary/Claymore MLP Opportunity Fund (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| October 30, 2015 |
Fiduciary FMO (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices)(Zip code) Amy J. |
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| October 30, 2015 |
ex99cert.htm CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misl |
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| May 11, 2015 |
FMO / Fiduciary/Claymore MLP Opportunity Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 06)* Fiduciary/Claymore MLP Opportunity Fund (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) April 30, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| April 29, 2015 |
ex99cert.htm CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misl |
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| April 29, 2015 |
Fiduciary FMO (Quarterly Schedule of Portfolio Holdings) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices)(Zip code) Amy J. |
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| April 14, 2015 |
cover.htm [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] April 14, 2015 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Fiduciary/Claymore MLP Opportunity Fund POS 8C Filing Ladies and Gentlemen: On behalf of Fiduciary/Claymore MLP Opportunity Fund (the “Fund”), we are enclosing herewith for filing pursuant to the Securities Act of 1933, as amended (the “Secu |
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| April 14, 2015 |
As filed with the Securities and Exchange Commission on April 14, 2015 Securities Act File No. |
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| April 14, 2015 |
Consent of Independent Registered Public Accounting Firm ex99n.htm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions ?Financial Highlights? and ?Independent Registered Public Accounting Firm? in the Prospectus and ?Independent Registered Public Accounting Firm? and ?Financial Statements? in the Statement of Additional Information and to the incorporation by reference in this Registration |
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| April 10, 2015 |
As filed with the Securities and Exchange Commission on April 10, 2015 Securities Act File No. |
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| April 10, 2015 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| April 10, 2015 |
CORRESP 1 filename1.htm Fiduciary/Claymore MLP Opportunity Fund 227 West Monroe Street Chicago, Illinois 60606 April 10, 2015 Valerie Lithotomos Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Fiduciary/Claymore MLP Opportunity Fund Post-Effective Amendment No. 5 to Registration Statement on Form N-2 (File Nos. 333-188687 and 811-21652 |
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| April 10, 2015 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] April 10, 2015 [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] April 10, 2015 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Fiduciary/Claymore MLP Opportunity Fund POS 8C Filing Ladies and Gentlemen: On behalf of Fiduciary/Claymore MLP Opportunity Fund (the “Fund”), we are enclosing herewith for filing pursuant to the Securities Act of 1933, as amended (the “Securities Act”), and the General Rules and Regulations of the Securities and Exchange Commission (the “Commission”) thereunder, and the Investment Company Act of 1940, as amended, and the General Rules and Regulations of the Commission thereunder, one electronically signed Post-Effective Amendment No. |
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| April 1, 2015 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] April 1, 2015 Valerie Lithotomos Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Fiduciary/Claymore MLP Opportunity Fund (File Nos. |
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| March 27, 2015 |
Fiduciary FMO GBAB GGM GPM GGE GEQ GOF gug61670-def14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (a |
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| February 13, 2015 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “Independent Registered Public Accounting Firm” and “Financial Statements” in the Statement of Additional Information and to the incorporation by reference in this Registration Statement (Form N-2) (Post-Effective Amendment No. |
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| February 13, 2015 |
FMO / Fiduciary/Claymore MLP Opportunity Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 05)* Fiduciary/Claymore MLP Opportunity Fund (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| February 13, 2015 |
FMO / Fiduciary/Claymore MLP Opportunity Fund POS 8C - - FMO As filed with the Securities and Exchange Commission on February 13, 2015 Securities Act File No. |
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| February 13, 2015 |
Code of Ethics Procedure Creation Date: Adopted April 23, 2014 (by the Security Investors, LLC and Guggenheim Funds Investment Advisers, LLC) Procedure Reviewed As Of: April 23, 2014 Procedure Revised As Of: October 1, 2014 Regulatory Rules: Rule 17j-1 under the Investment Company Act of 1940 and Rule 204A-1 under the Investment Advisers Act of 1940 BUSINESS UNIT: Compliance Department RESPONSIBIL |
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| February 13, 2015 |
AMENDMENT AGREEMENT AMENDMENT AGREEMENT (“Amendment”) dated as of June 5, 2014 to the Committed Facility Agreement dated September 26, 2008, as amended, between BNP Paribas Prime Brokerage, Inc. |
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| February 13, 2015 |
FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND POWER OF ATTORNEY FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND POWER OF ATTORNEY That each of the undersigned officers and trustees of Fiduciary/Claymore MLP Opportunity Fund, a statutory trust formed under the laws of the State of Delaware (the “Trust”), do constitute and appoint Amy J. |
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| February 13, 2015 |
AMENDMENT AGREEMENT AMENDMENT AGREEMENT (“Amendment”) dated as of August 5, 2013 to the Committed Facility Agreement dated September 26, 2008, as amended, between BNP Paribas Prime Brokerage, Inc. |
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| February 13, 2015 |
ADVISORY RESEARCH, INC. MLP TEAM CODE OF ETHICS ADVISORY RESEARCH, INC. MLP TEAM CODE OF ETHICS Section I. Introduction This Code of Ethics (“Code”) has been adopted by the MLP Team of Advisory Research, Inc. who is a registered investment adviser, in compliance with Rule 17j-1 under the Investment Company Act of 1940, as amended (the “Investment Company Act”), and Rule 204A-1 under the Investment Advisers Act of 1940 (“Advisers Act”), to estab |
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| February 13, 2015 |
FMO / Fiduciary/Claymore MLP Opportunity Fund COVER - - [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 13, 2015 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Fiduciary/Claymore MLP Opportunity Fund POS 8C Filing Ladies and Gentlemen: On behalf of Fiduciary/Claymore MLP Opportunity Fund (the “Fund”), we are enclosing herewith for filing pursuant to the Securities Act of 1933, as amended (the “Securities Act”), and the General Rules and Regulations of the Securities and Exchange Commission (the “Commission”) thereunder, and the Investment Company Act of 1940, as amended, and the General Rules and Regulations of the Commission thereunder, one electronically signed Post-Effective Amendment No. |
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| December 10, 2014 |
FMO / Fiduciary/Claymore MLP Opportunity Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 04)* Fiduciary/Claymore MLP Opportunity Fund (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) November 28, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| October 30, 2014 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| October 30, 2014 |
Fiduciary/claymore Mlp Opportunity Fund - FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices)(Zip code) Amy J. |
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| September 16, 2014 |
MZF / Managed Duration Investment Grade Municipal Fund CORRESP - - [Letterhead of Guggenheim] September 16, 2014 Chad D. Eskildsen Division of Investment Management, Disclosure Review and Accounting Securities and Exchange Commission 100 F Street NE Washington, DC 20549 RE: Fiduciary/Claymore MLP Opportunity Fund (File No. 811-21652) Guggenheim Build America Bonds Managed Duration Trust (File No. 811-22437) Guggenheim Enhanced Equity Income Fund (File No. 811-216 |
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| July 29, 2014 |
Based upon the Fund’s review of the copies of such forms effecting the Section 16 filings received by it, the Fund believes that for its most recently completed fiscal year, all filings applicable to such persons were completed and filed in a timely manner, except as follows: a Form 3 (no securities owned) for Kimberly J. |
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| April 25, 2014 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| April 25, 2014 |
Quarterly Schedule of Portfolio Holdings - FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 227 West Monroe Street, Chicago, IL 60606 (Address of principal executive offices)(Zip code) Amy J. |
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| March 24, 2014 |
DEFA14A 1 gug59053-defa14a.htm FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only |
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| March 3, 2014 |
- FMO GBAB GGM GPM GGE GEQ GOF DEF 14A 1 gug58829-def14a.htm FMO GBAB GGM GPM GGE GEQ GOF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: o Preliminary Proxy Statement o Confiden |
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| February 28, 2014 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 28, 2014 Valerie Lithotomos Securities and Exchange Commission Office of Investment Management 100 F Street, NE Washington, DC 20549 RE: Guggenheim Closed-End Funds Preliminary Proxy Statement Dear Ms. |
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| February 21, 2014 |
Exhibit (k)(ii) FUND ACCOUNTING AGREEMENT This AGREEMENT is made as of this 1st day of December, 2013, between Fiduciary/Claymore MLP Opportunity Fund (the "Trust"), a Delaware statutory trust having its principal place of business at 2455 Corporate West Drive, Lisle, Illinois 60532, and Rydex Fund Services, LLC ("RPS"), a Maryland limited liability company having its principal place of business at 805 King Farm Boulevard, Rockville, MD 20850. |
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| February 21, 2014 |
As filed with the Securities and Exchange Commission on February 21, 2014 Securities Act File No. |
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| February 21, 2014 |
Consent of Independent Registered Public Accounting Firm Exhibit (n) Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “General Information – Counsel and Independent Registered Public Accounting Firm” and “Financial Statements and Report of Independent Registered Public Accounting Firm” in the Statement of Additional Information and to the incorporation by reference of our report dated January 27, 2014 on the financial statements and financial highlights of the Fiduciary/Claymore MLP Opportunity Fund for the period ended November 30, 2013, in Post-Effective Amendment No. |
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| February 12, 2014 |
FMO / Fiduciary/Claymore MLP Opportunity Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment SC 13G/A 1 doc1.htm NONE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 03)* Fiduciary/Claymore MLP Opportunity Fund (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) January 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to |
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| February 11, 2014 |
FMO / Fiduciary/Claymore MLP Opportunity Fund / BANK OF AMERICA CORP /DE/ - NONE Passive Investment Schedule 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 02)* Fiduciary/Claymore MLP Opportunity Fund (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate t |
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| February 7, 2014 |
- FMO GBAB GGM GPM GGE GEQ GOF UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule |
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| January 27, 2014 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Fiduciary/Claymore MLP Opportunity Fund In planning and performing our audit of the financial statements of Fiduciary/Claymore MLP Opportunity Fund (the Fund) as of and for the year ended November 30 2013, in accordance with the standards of the Public Company Accounting Oversight Board (United Sta |
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| January 27, 2014 |
Fiduciary/Claymore MLP Opportunity Fund Fiduciary/Claymore MLP Opportunity Fund Based upon the Fund’s review of the copies of such forms effecting the Section 16 filings received by it, the Fund believes that for its most recently completed fiscal year, all filings applicable to such persons were completed and filed in a timely manner, except as follows: a Form 3 (no securities owned) for Amy Lee and Kimberly Scott was not filed in a timely manner after such person became a reporting person of the Fund and a Form 4 for Roman Friedrich III relating to an acquisition of shares was not filed in a timely manner. |
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| January 27, 2014 |
Fiduciary/Claymore MLP Opportunity Fund Item 77(O) 10F-3 Transactions December 1, 2012 - November 30, 2013 Security Purchased Purchase/ Trade Date Size of Offering Offering Price of Shares Total amount of Offering Amount of shares Purchased by Fund % of Offering Purchased by Fund % of Funds Total Assets Brokers Purchased From QEPM/QEP Midstream Partners LP 08/08/13 $ - $ 21. |
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| October 29, 2013 |
Quarterly Schedule of Portfolio Holdings - FMO NQ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices)(Zip code) Amy J. |
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| October 29, 2013 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| September 10, 2013 |
As filed with the Securities and Exchange Commission on September 10, 2013 Securities Act File No. |
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| September 10, 2013 |
2,850,000 Shares FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND COMMON SHARES OF BENEFICIAL INTEREST, PAR VALUE $0. |
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| September 10, 2013 |
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 2455 Corporate West Drive Lisle, Illinois 60532 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 2455 Corporate West Drive Lisle, Illinois 60532 September 10, 2013 To: Fiduciary/Claymore MLP Opportunity Fund The purpose of this letter is to confirm the understanding and agreement of the parties as follows. |
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| September 10, 2013 |
FAMCO MLP CODE OF ETHICS Section I. Introduction This Code of Ethics (“Code”) has been adopted by FAMCO MLP, a division of Advisory Research, Inc. who is a registered investment adviser, in compliance with Rule 17j-1 under the Investment Company Act of 1940, as amended (the “Investment Company Act”), and Rule 204A-1 under the Investment Advisers Act of 1940 (“Advisers Act”), to establish standards |
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| September 10, 2013 |
TRANSFER AND ASSUMPTION AGREEMENT TRANSFER AND ASSUMPTION AGREEMENT Transfer and Assumption Agreement dated as of March 30, 2012, among g Fiduciary Asset Management LLC ("FAMCO LLC"), a Delaware limited liability company having its principal office and place of business at 8235 Forsyth Boulevard, Clayton, Missouri, Piper Jaffray Investment Management Inc. |
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| September 10, 2013 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] September 10, 2013 Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 RE: Fiduciary/Claymore MLP Opportunity Fund— Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Fiduciary/Claymore MLP Opportunity Fund, a statutory trust (the “Trust”) created under the Delaware Statutory Trust Act (the “DSTA”), in connection with the sale by the Trust of up to 3,277,500 shares (the “Shares”) (including 427,500 shares subject to an over-allotment option) (the “Offered Common Shares”) of the Trust’s common shares of beneficial interest, par value $0. |
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| September 10, 2013 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus, “General Information – Counsel and Independent Registered Public Accounting Firm” and “Financial Statements and Report of Independent Registered Public Accounting Firm” in the Statement of Additional Information, and “Financial Highlights” in the Preliminary Prospectus Supplement and the incorporation by reference of our report dated January 25, 2013 in Post-Effective Amendment No. |
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| July 30, 2013 |
Result of Shareholder Votes The Annual Meeting of Shareholders of the Fund was held April 3, 2013. |
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| July 3, 2013 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] July 3, 2013 [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] July 3, 2013 Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 RE: Fiduciary/Claymore MLP Opportunity Fund— Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Fiduciary/Claymore MLP Opportunity Fund, a statutory trust (the “Trust”) created under the Delaware Statutory Trust Act (the “DSTA”), in connection with the sale by the Trust of up to 4,408,676 shares (the “Shares”) of the Trust’s common shares of beneficial interest, par value $0. |
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| July 3, 2013 |
CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT July 3, 2013 Cantor Fitzgerald & Co. 499 Park Avenue New York, New York 10022 Ladies and Gentlemen: Fiduciary/Claymore MLP Opportunity Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), and Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”), confirm their agreement (this “ |
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| July 3, 2013 |
As filed with the Securities and Exchange Commission on July 3, 2013 Securities Act File No. |
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| July 3, 2013 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “General Information – Counsel and Independent Registered Public Accounting Firm” and “Financial Statements and Report of Independent Registered Public Accounting Firm” in the Statement of Additional Information and the incorporation by reference of our report dated January 25, 2013 in Post-Effective Amendment No. |
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| July 3, 2013 |
GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 2455 Corporate West Drive Lisle, Illinois 60532 GUGGENHEIM FUNDS INVESTMENT ADVISORS, LLC 2455 Corporate West Drive Lisle, Illinois 60532 July 3, 2013 To: Fiduciary/Claymore MLP Opportunity Fund The purpose of this letter is to confirm the understanding and agreement of the parties as follows. |
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| June 19, 2013 |
Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 June 19, 2013 Kimberly A. |
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| June 18, 2013 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] June 18, 2013 Kimberly A. |
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| June 18, 2013 |
Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 June 18, 2013 Kimberly A. |
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| May 17, 2013 |
Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 May 17, 2013 Kimberly A. |
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| April 29, 2013 |
Quarterly Schedule of Portfolio Holdings - FMO NQ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices)(Zip code) Amy J. |
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| April 29, 2013 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| March 8, 2013 |
FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND (NYSE: FMO) GUGGENHEIM BUILD AMERICA BONDS MANAGED DURATION TRUST (NYSE: GBAB) GUGGENHEIM STRATEGIC OPPORTUNITIES FUND (NYSE: GOF) GUGGENHEIM EQUAL WEIGHT ENHANCED EQUITY INCOME FUND (NYSE: GEQ) GUGGENHEIM ENHANCED EQUITY STRATEGY FUND (NYSE: GGE) GUGGENHEIM ENHANCED EQUITY INCOME FUND (NYSE: GPM) 2455 Corporate West Drive Lisle, Illinois 60532 NOTICE OF ANNUAL MEETING OF SHAREHOLDERS To be held on April 3, 2013 Notice is hereby given to the holders of common shares of beneficial interest, par value $0. |
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| March 6, 2013 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “General Information - Independent Registered Public Accounting Firm” and “Financial Statements and Report of Independent Registered Public Accounting Firm” in the Statement of Additional Information and to the incorporation by reference of our report dated January 25, 2013 on the November 30, 2012 financial statements of Fiduciary/Claymore MLP Opportunity Fund incorporated by reference in the Registration Statement (Form N-2 No. |
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| March 6, 2013 |
As filed with the Securities and Exchange Commission on March 6, 2013 Securities Act File No. |
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| February 14, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. )* FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) December 30, 2011 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the Rule pursuant to which thi |
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| February 14, 2013 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)* FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND (Name of Issuer) Common Stock (Title of Class of Securities) 31647Q106 (CUSIP Number) December 31, 2012 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the Rule pursuant to which th |
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| January 25, 2013 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Fiduciary/Claymore MLP Opportunity Fund In planning and performing our audit of the financial statements of Fiduciary/Claymore MLP Opportunity Fund (the Fund) as of and for the year ended November 30, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United St |
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| October 29, 2012 |
CERTIFICATIONS I, Donald C. Cacciapaglia, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with r |
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| October 29, 2012 |
Quarterly Schedule of Portfolio Holdings - FMO UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices)(Zip code) Kevin M. |
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| April 25, 2012 |
Quarterly Schedule of Portfolio Holdings - N-Q 1 gug53871-nq.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive of |
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| April 25, 2012 |
CERTIFICATIONS I, Kevin M. Robinson, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| April 18, 2012 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] April 18, 2012 Richard Pfordte Kimberly A. |
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| April 18, 2012 |
Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 April 18, 2012 Richard Pfordte Kimberly A. |
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| March 7, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Co-Registrants x Filed by a Party other than the Co-Registrants o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule |
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| February 24, 2012 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] February 24, 2012 Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 RE: Fiduciary/Claymore MLP Opportunity Fund POS 8C Filing Ladies and Gentlemen: On behalf of Fiduciary/Claymore MLP Opportunity Fund (the “Fund”), we are enclosing herewith for filing pursuant to the Securities Act of 1933, as amended (the “Securities Act”), and the General Rules and Regulations of the Securities and Exchange Commission (the “Commission”) thereunder, and the Investment Company Act of 1940, as amended, and the General Rules and Regulations of the Commission thereunder, one electronically signed Post-Effective Amendment No. |
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| February 24, 2012 |
As filed with the Securities and Exchange Commission on February 24, 2012 Securities Act File No. |
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| February 24, 2012 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus and “General Information - Independent Registered Public Accounting Firm” in the Statement of Additional Information and to the incorporation by reference of our report dated January 25, 2012 on the November 30, 2011 financial statements of the Fiduciary/Claymore MLP Opportunity Fund incorporated by reference in the Registration Statement (Form N-2 Registration No. |
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| January 26, 2012 |
Report of Independent Registered Public Accounting Firm Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Fiduciary/Claymore MLP Opportunity Fund In planning and performing our audit of the financial statements of Fiduciary/Claymore MLP Opportunity Fund (the Fund) as of and for the year ended November 30, 2011, in accordance with the standards of the Public Company Accounting Oversight Board (United St |
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| January 26, 2012 |
Trustees The Annual Meeting of Shareholders of the Fund was held on July 27, 2011. |
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| December 19, 2011 |
Execution Version CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT Execution Version CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT December 16, 2011 Cantor Fitzgerald & Co. |
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| December 19, 2011 |
Consent of Independent Registered Public Accounting Firm Consent of Independent Registered Public Accounting Firm We consent to the reference to our firm under the captions “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus, “General Information - Independent Registered Public Accounting Firm” in the Statement of Additional Information, and “Financial Highlights” and “Independent Registered Public Accounting Firm” in the Prospectus Supplement, and to the incorporation by reference of our report dated March 15, 2011 on the November 30, 2010 financial statements of the Fiduciary/Claymore MLP Opportunity Fund incorporated by reference in the Registration Statement (Form N-2 Registration No. |
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| December 19, 2011 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom, LLP] [Letterhead of Skadden, Arps, Slate, Meagher & Flom, LLP] December 16, 2011 Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 RE: Fiduciary/Claymore MLP Opportunity Fund— Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Fiduciary/Claymore MLP Opportunity Fund, a statutory trust (the “Trust”) created under the Delaware Statutory Trust Act, in connection with the offering by the Trust of up to 10,165,343 common shares (the “Offered Common Shares”) of the Trust’s common shares of beneficial interest, par value $0. |
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| December 19, 2011 |
Guggenheim Funds Distributors, Inc. Guggenheim Funds Investment Advisors, LLC AND Guggenheim Funds Advised Closed-End Funds Guggenheim Funds Unit Investment Trusts Guggenheim Funds Advised Exchange Traded Funds CODE OF ETHICS 1 TABLE OF CONTENTS Page I. INTRODUCTION 1 II. GENERAL STANDARDS 1 III. DEFINITIONS 2 IV. APPLICATION OF THE CODE 4 V. RESTRICTIONS 4 VI. PRE-CLEARANCE AND REPORTING PROCEDUR |
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| December 19, 2011 |
As filed with the Securities and Exchange Commission on December 16, 2011 Securities Act File No. |
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| December 19, 2011 |
FOURTH AMENDED AND RESTATED BY-LAWS OF FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FOURTH AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the “By-Laws”), dated as of November 30, 2011, are made and adopted pursuant to Section 3. |
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| December 2, 2011 |
Regulation FD Disclosure, Financial Statements and Exhibits 8-K 1 gug53057-8k.htm FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 2, 2011 (November 30, 2011) Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in it |
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| December 2, 2011 |
EX-3.1 2 ex31.htm AMENDED AND RESTATED BY-LAWS FOURTH AMENDED AND RESTATED BY-LAWS OF FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FOURTH AMENDED AND RESTATED BY-LAWS These Amended and Restated By-Laws (the “By-Laws”), dated as of November 30, 2011, are made and adopted pursuant to Section 3.9 of the Agreement and Declaration of Trust establishing Fiduciary/Claym |
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| October 25, 2011 |
CERTIFICATIONS I, Kevin M. Robinson, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| October 25, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices)(Zip code) Kevin M. |
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| June 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| May 6, 2011 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] May 6, 2011 Richard Pfordte Kimberly A. |
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| April 28, 2011 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] April 28, 2011 Richard Pfordte Kimberly A. |
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| April 28, 2011 |
Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 April 28, 2011 Richard Pfordte Kimberly A. |
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| April 28, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices)(Zip code) Kevin M. |
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| April 28, 2011 |
CERTIFICATIONS I, Kevin M. Robinson, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| January 28, 2011 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 25, 2011 (January 27, 2011) Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in its charter) Delaware 811-21652 20-1923642 (State or other jurisd |
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| January 28, 2011 |
THIRD AMENDED AND RESTATED BY-LAWS OF FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND THIRD AMENDED AND RESTATED BY-LAWS These By-Laws, amended and restated as of January 25, 2011, are made and adopted pursuant to Section 3. |
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| January 27, 2011 |
Report of Independent Registered Public Accounting Firm EX-99.77B ACCT LTTR 2 ex77b.htm NSAR ITEM 77B Report of Independent Registered Public Accounting Firm To the Shareholders and Board of Trustees of Fiduciary/Claymore MLP Opportunity Fund In planning and performing our audit of the financial statements of Fiduciary/Claymore MLP Opportunity Fund (the Fund) as of and for the year ended November 30, 2010, in accordance with the standards of the Public |
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| January 27, 2011 |
Fiduciary/Claymore MLP Opportunity Fund Percentage Transactions Subject to Rule 10F-3 of Offering Amount Purchased Purchased by Date Trade Security Selling Trade Trade Affiliated Sub-Adviser Sub-Adviser Offering Date Issuer Type Counterparty Amount Price Underwriter Accounts Accounts Commenced 7/28/2010 Chesapeake Midstream Partners, L. |
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| January 27, 2011 |
Results of Shareholder Votes The Annual Meeting of Shareholders of the Fund was held on July 20, 2010. |
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| October 26, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices) (Zip code) Kevin M. |
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| October 26, 2010 |
CERTIFICATIONS I, Kevin M. Robinson, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respec |
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| August 18, 2010 |
[Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] Exhibit 99.(l)(iii) [Letterhead of Skadden, Arps, Slate, Meagher & Flom LLP] August 18, 2010 Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 RE: Fiduciary/Claymore MLP Opportunity Fund— Registration Statement on Form N-2 Ladies and Gentlemen: We have acted as special counsel to Fiduciary/Claymore MLP Opportunity Fund, a statutory trust created under the Dela |
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| August 18, 2010 |
Exhibit 99.(h)(iii) EXECUTION VERSION 4,250,000 Shares FIDUCIARY/CLAYMORE MLP OPPORTUNITY FUND COMMON SHARES OF BENEFICIAL INTEREST, PAR VALUE $0.01 PER SHARE UNDERWRITING AGREEMENT August 18, 2010 August 18, 2010 Morgan Stanley & Co. Incorporated Citigroup Global Markets Inc. UBS Securities LLC as representatives of the several Underwriters named in Schedule I hereto c/o Morgan Stanley & Co. Inco |
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| August 18, 2010 |
As filed with the Securities and Exchange Commission on August 18, 2010 Securities Act File No. |
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| August 18, 2010 |
Consent of Independent Registered Public Accounting Firm Exhibit 99.(n) Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions ?Financial Highlights? in the Base Prospectus and ?Counsel and Independent Registered Public Accounting Firm? and ?Financial Statements and Report of Independent Registered Public Accounting Firm? in the Statement of Additional Information and to the incorporation by |
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| August 2, 2010 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 155 NORTH WACKER DRIVE FIRM/AFFILIATE OFFICES CHICAGO, ILLINOIS 60606-1720 - BOSTON TEL: (312) 407-0700 HOUSTON FAX: (312) 407-0411 LOS ANGELES www. |
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| August 2, 2010 |
Fiduciary/Claymore MLP Opportunity Fund 2455 Corporate West Drive Lisle, Illinois 60532 August 2, 2010 Mr. |
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| July 6, 2010 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 155 NORTH WACKER DRIVE FIRM/AFFILIATE CHICAGO, ILLINOIS 60606-1720 OFFICES BOSTON HOUSTON TEL: (312) 407-0700 LOS ANGELES FAX: (312) 407-0411 NEW YORK www. |
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| July 6, 2010 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 155 NORTH WACKER DRIVE FIRM/AFFILIATE CHICAGO, ILLINOIS 60606-1720 OFFICES BOSTON HOUSTON TEL: (312) 407-0700 LOS ANGELES FAX: (312) 407-0411 NEW YORK www. |
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| July 6, 2010 |
EX-99.(K)(X) 2 a10-32881ex99dkx.htm EX-99.(K)(X) Exhibit 99.(k)(x) AMENDMENT AGREEMENT AMENDMENT AGREEMENT (“Amendment”) dated as of May 14, 2010 to the Committed Facility Agreement dated September 26, 2008 between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) (fka Banc of America Finance Services Inc. (“BAFSI”)) and Fiduciary/Claymore MLP Opportunity Fund (“Customer”) WHEREAS, Bank of Ameri |
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| July 6, 2010 |
Consent of Independent Registered Public Accounting Firm Exhibit 99.(n) Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” in the Prospectus and “Counsel and Independent Registered Public Accounting Firm” and “Financial Statements and Report of Independent Registered Public Accounting Firm” in the Statement of Additional Information and to the incorporation by refer |
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| July 6, 2010 |
As filed with the Securities and Exchange Commission on July 6, 2010 Securities Act File No. |
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| February 26, 2010 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 155 NORTH WACKER DRIVE FIRM/AFFILIATE CHICAGO, ILLINOIS 60606-1720 OFFICES BOSTON HOUSTON TEL: (312) 407-0700 LOS ANGELES FAX: (312) 407-0411 NEW YORK www. |
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| February 26, 2010 |
INVESTMENT SUB-ADVISORY AGREEMENT Exhibit 99.(g)(ii) INVESTMENT SUB-ADVISORY AGREEMENT THIS INVESTMENT SUB-ADVISORY AGREEMENT (the “Agreement”) dated as of February 2, 2010, among Fiduciary/Claymore MLP Opportunity Fund, a Delaware statutory trust (the “Trust”), Claymore Advisors, LLC, a Delaware limited liability company (the “Investment Adviser”), and Fiduciary Asset Management, LLC, a Missouri limited liability company (the “In |
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| February 26, 2010 |
Exhibit 99.(k)(ix) AMENDMENT AGREEMENT AMENDMENT AGREEMENT (“Amendment”) dated as of January 22, 2010 to the Committed Facility Agreement dated September 26, 2008 between BNP Paribas Prime Brokerage, Inc. (“BNPP PB, Inc.”) and Fiduciary/Claymore MLP Opportunity Fund (“Customer”). WHEREAS, BNPP PB, Inc. and Customer previously entered into a Committed Facility Agreement dated as of September 26, 20 |
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| February 26, 2010 |
POS 8C 1 a10-32881pos8c.htm POS 8C As filed with the Securities and Exchange Commission on February 26, 2010 Securities Act File No. 333-148949 Investment Company Act File No. 811-21652 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-2 x Registration Statement under the Securities Act of1933 o Pre-Effective Amendment No. x Post-Effective Amendment No. 2 and/or x Regi |
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| February 26, 2010 |
Exhibit 99.(g)(i) INVESTMENT ADVISORY AGREEMENT THIS INVESTMENT ADVISORY AGREEMENT (the “Agreement”), dated as of February 2, 2010, between Fiduciary/Claymore MLP Opportunity Fund, a Delaware statutory trust (the “Trust”), and Claymore Advisors, LLC, a Delaware limited liability company (the “Adviser”). WHEREAS, the Adviser has agreed to furnish investment advisory services to the Trust, a closed- |
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| February 26, 2010 |
Consent of Independent Registered Public Accounting Firm Exhibit 99.(n) Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” in the Base Prospectus and “Counsel and Independent Registered Public Accounting Firm” and “Financial Statements and Report of Independent Registered Public Accounting Firm” in the Statement of Additional Information and to the incorporation by |
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| November 6, 2009 |
Consent of Independent Registered Public Accounting Firm Exhibit 99.(n) Consent of Independent Registered Public Accounting Firm We consent to the references to our firm under the captions “Financial Highlights” in the Prospectus and “Counsel and Independent Registered Public Accounting Firm” and “Financial Statements and Report of Independent Registered Public Accounting Firm” in the Statement of Additional Information and to the incorporation by refer |
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| November 6, 2009 |
As filed with the Securities and Exchange Commission on November 6, 2009 Securities Act File No. |
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| November 6, 2009 |
EX-99.(H)(II) 2 a09-56208ex99dhii.htm EX-99.(H)(II) Exhibit 99.(h)(ii) CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT November 6, 2009 Cantor Fitzgerald & Co. 499 Park Avenue 2nd, 3rd and 4th Floors New York, New York 10022 Ladies and Gentlemen: Fiduciary/Claymore MLP Opportunity Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), and Claymore Advisors, LLC, a Del |
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| November 6, 2009 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP Exhibit 99.(l)(ii) SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 155 NORTH WACKER DRIVE CHICAGO, ILLINOIS 60606-1720 FIRM/AFFILIATE OFFICES TEL: (312) 407-0700 BOSTON FAX: (312) 407-0411 HOUSTON www.skadden.com LOS ANGELES NEW YORK PALO ALTO SAN FRANCISCO WASHINGTON, D.C. WILMINGTON November 6, 2009 BEIJING BRUSSELS FRANKFURT HONG KONG LONDON MOSCOW MUNICH PARIS SÃO PAULO SHANGHAI SINGAPORE Fiduciary/C |
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| September 1, 2009 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 155 NORTH WACKER DRIVE FIRM/AFFILIATE CHICAGO, ILLINOIS 60606-1720 OFFICES - TEL: (312) 407-0700 BOSTON FAX: (312) 407-0411 HOUSTON www. |
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| March 24, 2009 |
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP 333 WEST WACKER DRIVE FIRM/AFFILIATE CHICAGO, ILLINOIS 60606-1285 OFFICES - TEL: (312) 407-0700 BOSTON FAX: (312) 407-0411 HOUSTON www. |
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| June 19, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| October 26, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices) (Zip code) Nicho |
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| October 26, 2007 |
Certifications CERTIFICATIONS I, Nicholas Dalmaso, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| September 26, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| August 20, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| July 25, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| July 3, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| June 1, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| June 1, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| May 16, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| April 19, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices) (Zip code) Nicho |
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| April 19, 2007 |
Nicholas Dalmaso, Chief Legal and Executive Officer Certifications CERTIFICATIONS I, Nicholas Dalmaso, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| October 26, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices) (Zip code) Nicho |
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| October 26, 2006 |
Certifications CERTIFICATIONS I, Nicholas Dalmaso, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| April 28, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices) (Zip code) Nicho |
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| April 28, 2006 |
Certifications CERTIFICATIONS I, Nicholas Dalmaso, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| October 25, 2005 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of principal executive offices) (Zip code) Nicho |
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| October 25, 2005 |
Certifications CERTIFICATIONS I, Nicholas Dalmaso, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| April 26, 2005 |
Certifications CERTIFICATIONS I, Nicholas Dalmaso, certify that: 1. I have reviewed this report on Form N-Q of Fiduciary/Claymore MLP Opportunity Fund; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleadi |
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| April 26, 2005 |
Fiduciary/Claymore MLP Opportunity Fund UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-21652 Fiduciary/Claymore MLP Opportunity Fund (Exact name of registrant as specified in charter) 2455 Corporate West Drive, Lisle, IL 60532 (Address of princ |
