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.
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SELL MORITZ A, a director of Total Return Securities Fund, reported open‑market purchases of Common Stock totaling 2517 shares. The trades occurred on 2026‑07‑22 (517 shares at $5.9000) and 2026‑07‑23 (2000 shares at $5.8600). Reported amounts include shares acquired through the issuer’s dividend reinvestment plan.
Total Return Securities Fund director Moritz A Sell purchased a total of 1,483 shares of common stock in two reported transactions. He bought 1,000 shares on July 20, 2026 at $5.93 per share and 483 shares on July 21, 2026 at $5.90 per share, reported as direct ownership. The disclosure notes that the reported amounts include shares acquired through the issuer’s dividend reinvestment plan, and the trades were not made pursuant to a Rule 10b5-1 trading plan.
Total Return Securities Fund director and secretary Phillip Goldstein reported an open-market purchase of 5,980 shares of Common Stock at $5.95 per share. After this buy, he directly owns 119,214 shares, indicating an increase in his personal stake in the fund.
Total Return Securities Fund reported insider activity involving President and CEO Andrew Dakos. A limited partnership associated with Dakos made open-market purchases of 5,000 shares of common stock at about $5.92 per share. Following these transactions, the partnership held 131,000 shares indirectly, while Dakos also reported 40,000 shares held directly. The footnote states he disclaims beneficial ownership of the partnership-held shares except to the extent of his pecuniary interest.
Total Return Securities Fund director Moritz A. Sell reported open-market purchases of the fund’s common stock. On June 26, 2026, he bought 2,091 shares at $5.885 per share, and on June 29, 2026, he bought 2,000 shares at $5.925 per share.
Across the two transactions, he acquired 4,091 shares and directly owned 20,246 common shares following the most recent purchase. A footnote states this amount includes shares acquired through the issuer’s dividend reinvestment plan.
Total Return Securities Fund director SELL MORITZ A reported open-market purchases of a total of 2,000 shares of Common Stock of SWZ. The transactions were made in two trades at a price of $5.91 per share, and direct ownership increased to 16,155 shares following these buys. A footnote notes that the reported amount includes shares acquired through the fund’s dividend reinvestment plan.
Total Return Securities Fund director Moritz A. Sell reported open-market purchases of the fund’s common stock. He bought a total of 2,155 shares at prices around $5.95–$5.96 per share over two days, increasing his direct holdings to 14,155 shares, including shares acquired through the fund’s dividend reinvestment plan.
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.