Director HARRIS BEN H reports 0 SWZ shares

Total Return Securities Fund director HARRIS BEN H filed an initial Form 3 reporting his beneficial ownership in the fund’s Common Stock.

Accepted by SEC EDGAR 04/01/2026 - 04:05 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Total Return Securities Fund director HARRIS BEN H filed an initial Form 3 reporting his beneficial ownership in the fund’s Common Stock. The filing shows he directly owns 0 shares of Common Stock following the reported date of 2026-04-01.

Insider Trade Summary

Holdings reported, no transactions

Holdings

Insider HARRIS BEN H

Role Director

Type	Security	Shares	Price	Value
Holding	Common Stock	--	--	--

Holdings: Common Stock — 0 shares (Direct)

Key Figures

Common Stock owned: 0.0000 shares

1 metrics

Common Stock owned 0.0000 shares Total shares following transaction as of 2026-04-01

Key Terms

Form 3, Common Stock, beneficial ownership

3 terms

Form 3 regulatory

"Director HARRIS BEN H filed an initial Form 3 reporting ownership."

Form 3 is the initial public filing that officers, directors and large shareholders must submit to report their ownership of a company’s securities when they become insiders. It acts like an opening inventory sheet that gives investors a starting point to see who holds significant stakes and to spot later trades or potential conflicts of interest, helping assess insider confidence and transparency.

Common Stock financial

"The filing covers the issuer’s Common Stock class for ownership reporting."

Common stock represents ownership shares in a company, giving investors a stake in its success and a say in important decisions through voting rights. It is the most common type of stock traded on markets and can provide income through dividends, as well as potential for value growth. For investors, holding common stock means sharing in the company’s profits and risks.

beneficial ownership financial

"The Form 3 establishes his initial beneficial ownership position as of 2026-04-01."

Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What does the SWZ Form 3 filing by HARRIS BEN H show?

The Form 3 shows that director HARRIS BEN H currently reports 0 shares of Common Stock of Total Return Securities Fund (SWZ) owned directly, establishing his initial beneficial ownership position as of 2026-04-01.

What role does HARRIS BEN H have at Total Return Securities Fund (SWZ)?

HARRIS BEN H is identified as a director of Total Return Securities Fund (SWZ). The Form 3 indicates he is not an officer and is not listed as a ten percent owner in this initial beneficial ownership report.

How many SWZ Common Stock shares does HARRIS BEN H report owning?

He reports owning 0.0000 shares of SWZ Common Stock directly following the reported date. This means the initial Form 3 establishes that he has no direct beneficial ownership in the fund’s Common Stock at that time.

What security class is reported in the SWZ Form 3 filing?

The filing covers the issuer’s Common Stock. The Form 3 records HARRIS BEN H’s beneficial ownership position in this class, indicating that his total direct holdings of Common Stock are 0 shares following the reported date.

Does the SWZ Form 3 disclose any insider buying or selling activity?

No buy or sell transactions are reported. The Form 3 records a holding entry with an unknown transaction code and shows 0 shares of Common Stock owned directly, indicating disclosure of status rather than a trade.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

OMB APPROVAL

OMB Number:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

HARRIS BEN H

(Last) (First) (Middle)

C/O ULTIMUS FUND SOLUTIONS

225 PICTORIA DR SUITE 450

(Street)

CINCINNATI OHIO 45246

(City) (State) (Zip)

UNITED STATES

(Country)

2. Date of Event Requiring Statement (Month/Day/Year)
04/01/2026

3. Issuer Name and Ticker or Trading Symbol
Total Return Securities Fund [ SWZ ]

3a. Foreign Trading Symbol

5. If Amendment, Date of Original Filed (Month/Day/Year)

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

X	Director		10% Owner
	Officer (give title below)		Other (specify below)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	0	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	Date Exercisable	Expiration Date	Title	Amount or Number of Shares

Explanation of Responses:

	/s/ Stephanie L. Darling, as power of attorney for Ben H. Harris	04/01/2026
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
* Form 3: SEC 1473 (03-26)