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 (SWZ) director Moritz A. Sell reported purchasing 3,000 shares of common stock on 2026-08-31 at $5.98 per share in an open-market or private transaction. Following this transaction, directly held shares increased to 28,246, including shares acquired through the fund's dividend reinvestment plan.
Total Return Securities Fund (SWZ) reported that officer Rajeev P. Das, its Secretary, purchased Common Stock in two open-market transactions. He bought 1,700 shares on August 21, 2026 at $5.9296 per share and 1,366 shares on August 24, 2026 at $5.93 per share, for a total of 3,066 shares, all held as direct ownership. The Rule 10b5-1 checkbox was not marked for these purchases.
Total Return Securities Fund director Moritz A. Sell reported a purchase of 1,000 shares of common stock on August 10, 2026 at $5.91 per share in an open-market or private transaction. Following this trade, direct holdings total 25,246 shares, which the footnote states includes shares acquired through the issuer's dividend reinvestment plan.
Bank of America Corporation, together with certain wholly owned subsidiaries, reports beneficial ownership of 869,185 shares of common stock of Total Return Securities Fund. This represents 6.7% of the class, based on 12,973,861 shares outstanding as of April 21, 2026. Bank of America reports no sole or shared voting power over these shares, but reports shared dispositive power over 869,185 shares, meaning it can direct how these shares are disposed.
Allspring Global Investments Holdings, LLC filed Amendment No. 9 to a Schedule 13G stating that it now has no beneficial ownership in the Mutual Fund SH CL B shares of Total Return Securities Fund. The filing reports 0 shares beneficially owned, representing 0.0% of this class, with no sole or shared voting or dispositive power.
The securities referenced are owned of record by clients of investment advisers affiliated with Allspring, who may receive dividends or sale proceeds, but no client is reported to have rights over more than five percent of this class.
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.