Item 1.01. Entry into a Material Definitive Agreement.
Guggenheim Strategic Opportunities Fund (NYSE: GOF) (the "Fund") has entered into a Controlled Equity OfferingSM Sales Agreement, datedJuly 1, 2019 , as amended by First Amendment to Controlled Equity OfferingSM Sales Agreement, datedFebruary 1, 2021 , Second Amendment to Controlled Equity OfferingSM Sales Agreement, datedSeptember 16, 2021 , and Third Amendment to Controlled Equity OfferingSM Sales Agreement, datedMarch 27, 2023 (as amended, the "Sales Agreement") by and among the Fund,Guggenheim Funds Investment Advisors, LLC , andCantor Fitzgerald & Co. ("Cantor Fitzgerald") relating to the Fund's common shares of beneficial interest, par value$0.01 per share (the "Common Shares"). In accordance with the terms of the Sales Agreement, the Fund may offer and sell Common Shares having an aggregate initial offering price of up to$330,024,727 , from time to time, throughCantor Fitzgerald as agent for theFund for the offer and sale of the Common Shares (the "Offering"). The Offering has been made pursuant to a prospectus supplement, datedMarch 28, 2023 , and the accompanying prospectus, datedSeptember 20, 2021 , each of which constitute part of the Fund's effective shelf registration statement on Form N-2 (File No. 333-259592) previously filed with theSecurities and Exchange Commission (the "Registration Statement"). The foregoing description of the Sales Agreement does not purport to be complete and is qualified in its entirety by reference to the full text of the Sales Agreement, which is in part incorporated by reference to the Registration Statement and in part filed with this report as Exhibit 1.1 and incorporated herein by reference. Item 8.01. Other Events. OnMarch 28, 2023 , the Fund commenced the Offering pursuant to the Registration Statement. The Fund incorporates by reference the exhibit filed herewith into the Registration Statement.
Item 9.01. Financial Statements and Exhibits.
(d)
Exhibits
1.1 Third Amendment to Controlled Equity OfferingSM Sales Agreement, dated
Guggenheim Funds Investment Advisors, LLC , andCantor Fitzgerald & Co. 1
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