Attached files
| file | filename |
|---|---|
| EX-14.2 - EXHIBIT 14.2GPIMCODEOFETHICS - GUGGENHEIM CREDIT INCOME FUND | gpimcodeofethicsseptembe.htm |
| EX-14.1 - EXHIBIT 14.1CODEOFETHICS - GUGGENHEIM CREDIT INCOME FUND | ic240codeofethicsfinal10.htm |
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): November 2, 2018 (October 31, 2018)
GUGGENHEIM CREDIT INCOME FUND
(Exact Name of Registrant as Specified in Charter)
Delaware | 814-01117 | 47-2039472 | ||
(State or Other Jurisdiction of Incorporation) | (Commission File Number) | (I.R.S. Employer Identification No.) | ||
330 Madison Avenue | ||||
New York, New York | 10017 | |||
(Address of Principal Executive Offices) | (Zip Code) | |||
Registrant’s telephone number, including area code: (212) 739-0700
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
¨ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
¨ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
¨ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
¨ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Item 5.05. Amendments to the Registrant’s Code of Ethics, or Waiver of a Provision of the Code of Ethics.
On October 31, 2018, the Board of Trustees unanimously approved an amended code of ethics (the "Code of Ethics") of Guggenheim Credit Income Fund, Guggenheim Credit Income Fund 2016 T, and Guggenheim Credit Income Fund 2019 (collectively, the "Companies"), in all ways intended to meet the requirements of Rule 17j-1 under the Investment Company Act of !940. This amended Code of Ethics was implemented to conform the Company’s code of ethics to that used by certain other registered management investment companies that are advised by Guggenheim Credit Income Fund's investment advisor, Guggenheim Partners Investment Management, LLC (the "Advisor").
Item 8.01. Other Events.
Amendment to Advisor’s Code of Ethics
On October 31, 2018, the Board unanimously approved the amended code of ethics of the Advisor (the "GPIM Code of Ethics"), which adopted policies addressing personal trading in cryptocurrencies and cryptocurrency related investments.
The foregoing descriptions of the Code of Ethics and the GPIM Code of Ethics are set forth above, respectively, as summaries only, and are qualified in all respects by the provisions of the Code of Ethics and the GPIM Code of Ethics, copies of which are attached hereto as Exhibits 14.1 and 14.2, respectively, and are incorporated by reference herein.
Item 9.01. | Financial Statements and Exhibits. | |
(d) | Exhibits | |
EXHIBIT NUMBER | DESCRIPTION | |
14.1 | ||
14.2 | ||
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned, thereunto duly authorized.
GUGGENHEIM CREDIT INCOME FUND | ||
Date: November 2, 2018 | By: | /s/ Brian S. Williams |
BRIAN S. WILLIAMS | ||
Chief Financial Officer | ||