Kimberly J. Scott
About Kimberly J. Scott
Kimberly J. Scott serves as Assistant Treasurer of Guggenheim Strategic Opportunities Fund (GOF) and other funds in the Guggenheim fund complex, a role she has held since 2012; she is also a Director at Guggenheim Investments. Year of birth: 1974; prior experience includes financial reporting and mutual fund administration at Invesco and Van Kampen/Morgan Stanley Investment Management. Fund officers receive no compensation from the Funds (they may be employees of the Adviser/Sub-Adviser and be compensated in those capacities); no fund-level pay-for-performance metrics (e.g., TSR, revenue, EBITDA) are disclosed for officers. The Board notes fund day-to-day operations are managed by the Adviser, Sub-Adviser, and service providers approved by the Board, underscoring the administrative nature of officer roles rather than portfolio management responsibility .
Past Roles
| Organization | Role | Years | Strategic Impact |
|---|---|---|---|
| Guggenheim Investments | Director | 2012–present | Fund complex operations; treasury/administration support across funds |
| Guggenheim Funds (Fund Complex) | Assistant Treasurer | 2012–present | Assistant Treasurer responsibilities across multiple registered funds |
| Invesco, Ltd. | Financial Reporting Manager | 2010–2011 | Led fund financial reporting processes |
| Van Kampen Investments, Inc./Morgan Stanley Investment Management | Vice President/Assistant Treasurer, Mutual Fund Administration | 2009–2010 | Oversight in mutual fund administration functions |
| Van Kampen Investments, Inc./Morgan Stanley Investment Management | Manager, Mutual Fund Administration | 2005–2009 | Mutual fund administration operations and controls |
External Roles
No external directorships or committee roles disclosed in the GOF proxy for Kimberly J. Scott .
Fixed Compensation
Fund officers receive no compensation from the Funds; compensation, if any, is paid by the Adviser/Sub-Adviser or affiliates and is not disclosed in the Fund’s proxy.
| Component | Fund-Level Disclosure |
|---|---|
| Base Salary | Not paid by GOF (fund officers receive no compensation from the Funds) |
| Target Bonus % | Not disclosed at fund level (may be compensated by Adviser/Sub-Adviser) |
| Actual Bonus Paid | Not disclosed at fund level |
| Perquisites | Not disclosed at fund level |
Performance Compensation
No fund-level performance compensation or metrics (e.g., revenue growth, EBITDA, TSR, ESG goals) are disclosed for officers.
| Metric | Weighting | Target | Actual | Payout | Vesting |
|---|---|---|---|---|---|
| Not disclosed for fund officers | — | — | — | — | — |
Equity Ownership & Alignment
| Item | Disclosure |
|---|---|
| Individual beneficial ownership (officers) | Not disclosed for Kimberly J. Scott in the proxy |
| Officers and Trustees as a group | Less than 1% of outstanding GOF shares as of Dec 31, 2024 |
| Shares pledged as collateral | Not disclosed for officers |
| Stock ownership guidelines (officers) | Not disclosed for officers |
Employment Terms
| Term | Provision |
|---|---|
| Appointment/Term | Officers serve at the pleasure of the Board until a successor is appointed and qualified or until resignation/removal |
| Employment contracts | Not disclosed in the GOF proxy for officers |
| Severance | Not disclosed |
| Change-of-control | Not disclosed (no single/double-trigger or accelerated vesting terms reported) |
| Non-compete / Non-solicit | Not disclosed |
| Clawback provisions | Not disclosed |
| Deferred compensation / pension/SERP | Not disclosed for officers |
Investment Implications
- Pay-for-performance alignment: At the fund level, officer compensation is not paid by GOF and no performance-linked pay metrics are disclosed, limiting visibility into alignment with GOF shareholder outcomes; any incentives would sit within Guggenheim Investments and are not reported here .
- Retention risk: Tenure since 2012 suggests organizational continuity in treasury/administration; employment is at-will at the pleasure of the Board, with no disclosed severance or CoC protections in the fund proxy, implying standard mobility but no observable retention “golden handcuffs” from fund-level arrangements .
- Trading signals/insider pressure: With officers and trustees as a group owning less than 1% of GOF shares and no pledging disclosed, insider selling pressure appears immaterial from a fund-level ownership standpoint; no individual officer Form 4 activity is provided in the proxy .
- Execution risk: Role is administrative (Assistant Treasurer) with day-to-day operations managed by Adviser/Sub-Adviser; her responsibilities are not directly tied to portfolio decisions, reducing direct linkage to performance-driven signals for GOF’s trading and valuation .