GUGGENHEIM STRATEGIC OPPORTUNITIES FUND COMMON SHARES (PAR VALUE $0.01 PER SHARE) THIRD AMENDMENT TO CONTROLLED EQUITY OFFERINGSM SALES AGREEMENT March 27, 2023Controlled Equity Offering Sales Agreement • April 11th, 2023 • Guggenheim Strategic Opportunities Fund
THIS THIRD AMENDMENT (this “Amendment”) to the Sales Agreement (defined below) is entered into on and as of March 24, 2023, by and among Guggenheim Strategic Opportunities Fund, a statutory trust organized under the laws of the State of Delaware (the “Fund”), Guggenheim Funds Investment Advisors, LLC, a Delaware limited liability company (the “Adviser”) and Cantor Fitzgerald & Co. (“CF&Co”, and together with the Fund and Adviser, the “Parties”). Capitalized terms used and not defined in this Amendment have the meanings ascribed thereto in the Sales Agreement.
