Welcome to our dedicated page for Total Return Securities Fund SEC filings (Ticker: SWZ), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Total Return Securities Fund's SEC filings document formal governance and shareholder-voting matters for the NYSE-listed fund. Its proxy materials cover annual meeting business, director elections, auditor ratification, voting procedures, and stockholder proposal mechanics. Fund-related disclosures also frame capital-structure matters such as common-share rights offerings, tender offers, and NAV-based terms when those actions are presented in registration or transaction materials.
Total Return Securities Fund director BUY SELL MORITZ A made an open-market purchase of 1,000 shares of Common Stock at $6.01 per share. After this trade, the director directly owns 12,000 shares of the fund. The reported ownership total includes shares that were acquired through the issuer's dividend reinvestment plan.
Total Return Securities Fund director and President/CEO Andrew Dakos reported indirect open-market purchases of the fund’s common stock through a limited partnership in which he has a beneficial interest. The filing shows a net purchase of 13,000 shares across several trades at prices around $5.97–$5.99 per share.
After these transactions, the limited partnership’s indirect holdings reported for Dakos increased to 126,000 shares, while a separate entry reflects 40,000 shares held directly as of May 27, 2026. The footnote states he disclaims beneficial ownership beyond his pecuniary interest in the partnership-held shares.
Total Return Securities Fund director and President & CEO Andrew Dakos reported indirect open-market purchases of the fund’s Common Stock through a limited partnership in which he has a beneficial interest. Across three trades on May 18–20, the partnership bought a total of 7,000 shares at prices around $5.95–$5.96 per share.
After these transactions, the limited partnership’s indirect holdings stand at 113,000 shares, while a separate line in the filing shows 40,000 shares held directly. The filing notes that Mr. Dakos disclaims beneficial ownership of the partnership-held shares except to the extent of his pecuniary interest.
Total Return Securities Fund is asking stockholders to vote at its June 11, 2026 annual meeting on two main items: electing five directors for one-year terms and ratifying Tait, Weller & Baker, LLP as independent auditor for the year ending December 31, 2026.
The record date is April 21, 2026, when 12,973,861 common shares were outstanding, with one vote per share. The Board, including a majority of non-interested directors, unanimously recommends voting “FOR” all director nominees and “FOR” ratifying the auditor. Stockholders can vote by mail, phone, internet, or in person, and proxies may be revoked at any time before being voted.
Total Return Securities Fund director Moritz A. Sell reported an open-market purchase of the fund’s Common Stock. On April 24, 2026, he bought 1,002 shares at $6.065 per share, increasing his direct ownership to 11,000 shares. A footnote explains that this amount includes shares acquired through the issuer’s dividend reinvestment plan.
Total Return Securities Fund director and CEO Andrew Dakos reported a series of open‑market purchases of the fund’s common stock. A limited partnership associated with him bought 3,000 shares at $6.09, 3,000 shares at $6.05, and 4,718 shares at $6.06. Separately, he directly bought 547 shares at $6.04. Following these trades, indirect holdings reported for the limited partnership were 106,000 shares and his direct holdings were 40,000 shares. Dakos disclaims beneficial ownership of the partnership’s shares except to the extent of any pecuniary interest.
CSS LLC amended its Schedule 13G to report beneficial ownership of 1,020,547 shares of Total Return Securities Fund, representing 7.866% of the class (CUSIP 870875101). The filing states CSS LLC has sole voting and sole dispositive power over all reported shares. The amendment is signed by Mitchell R. Bialek on 04/15/2026.
Allspring Global Investments Holdings, LLC reports beneficial ownership of 650,702 shares of Total Return Securities Fund, Mutual Fund SH CL B, representing 5.0% of the class. The filer reports 605,795 shares with sole voting power and 650,702 shares with sole dispositive power. The filing is an amendment signed by a Senior Compliance Manager and lists affiliated adviser subsidiaries in Exhibit A.
Total Return Securities Fund director and President/CEO Andrew Dakos reported indirect open-market purchases of the fund’s common stock through a limited partnership in which he has a beneficial interest. The partnership bought 2,000 shares at $5.95 and 4,000 shares at $5.975, totaling 6,000 shares.
After these transactions, the limited partnership held 94,282 shares indirectly associated with Dakos, while he also held 39,453 shares directly. A footnote states he disclaims beneficial ownership of the partnership-held shares except to the extent of his pecuniary interest.
Total Return Securities Fund reported that an entity associated with President and CEO Andrew Dakos made open-market purchases of the fund’s common stock. A limited partnership in which he has a beneficial interest bought a total of 4,963 shares in early April.
The partnership acquired 4,863 shares at a weighted average price of $5.928 per share on April 2 and 100 shares at $5.95 per share on April 6. A separate entry shows Dakos directly holding 39,453 common shares as of April 2. He disclaims beneficial ownership of the partnership-held shares beyond his pecuniary interest.