Every Form 4 that Total Return Securities Fund (SWZ) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow SWZ and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full SWZ filings page.
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.
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.
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.
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.
Total Return Securities Fund President and CEO Andrew Dakos is linked to recent open-market buying of the fund’s common stock through a limited partnership. The partnership bought 5,900 shares at $5.92 per share and 5,300 shares at $5.908 per share, totaling 11,200 shares. These are reported as indirect holdings, with Mr. Dakos disclaiming beneficial ownership except for his pecuniary interest. After these trades, the partnership holds 83,319 shares, while a separate direct holding entry shows 39,453 shares in his name.
Total Return Securities Fund reported that a limited partnership associated with President and CEO Andrew Dakos made two open-market purchases of Common Stock. The partnership bought 5,000 shares at $5.96 per share and 1,000 shares at $5.95 per share. Following these trades, indirect holdings related to Dakos totaled 73,119 shares, and his direct holdings were 39,453 shares. Dakos has a beneficial interest in the partnership and disclaims beneficial ownership beyond his pecuniary interest. No derivative securities were reported.
Total Return Securities Fund director and secretary Phillip Goldstein made an open-market purchase of 10,000 common shares at $5.98 per share. After this transaction, he directly owns 113,234 shares. The buy increased his direct holdings by roughly a tenth, signaling a larger personal stake in the fund.
Total Return Securities Fund reported insider activity involving President and CEO Andrew Dakos. An entity described as a limited partnership associated with Dakos made open-market purchases of the fund’s common stock, buying 1,700 shares on March 11, 2026 and 3,324 shares on March 12, 2026 at $6.00 per share. Following these indirect purchases, the limited partnership held 67,119 shares. A separate line shows Dakos with direct ownership of 39,453 shares as of March 11, 2026. The filing notes these limited partnership shares are held by a partnership in which Dakos has a beneficial interest, and he disclaims beneficial ownership except to the extent of any pecuniary interest.
Total Return Securities Fund reported insider purchases of its Common Stock linked to President and CEO Andrew Dakos through a limited partnership. On March 6, 2026, the partnership bought 12,500 shares at $5.97 per share, and on March 5, 2026 it bought 12,000 shares at $6.01 per share, for a total of 24,500 shares acquired in open-market transactions.
After these trades, the limited partnership held 62,095 shares, while Dakos’s directly held position was reported at 39,453 shares. The filing notes these shares are held by a limited partnership in which Dakos has a beneficial interest, and he disclaims beneficial ownership except to the extent of any pecuniary interest.
Total Return Securities Fund director and secretary Phillip Goldstein reported an open-market purchase of 10,000 shares of the fund’s common stock on March 5, 2026 at a price of $5.99 per share. Following this transaction, his directly held stake increased to 103,234 shares.
Total Return Securities Fund director and secretary Phillip Goldstein reported multiple acquisitions of the fund’s common stock. On March 3, 2026, he made an open-market purchase of 5,000 shares at $6.01 per share, bringing his directly held total to 93,234 shares.
He also reported two earlier small acquisitions under Rule 16a-6: 68 shares at $6.16 per share on February 27, 2026 and 256 shares at $6.16 per share on February 26, 2026, both held as direct ownership.
Total Return Securities Fund director Andrew Dakos reported indirect open-market purchases of the fund’s common stock through a limited partnership in which he has a beneficial interest. On March 2, 2026, the partnership bought 5,000 shares at $6.15 and 9,918 shares at $5.95, totaling 14,918 shares. After these transactions, Dakos also reported 39,453 shares of direct common stock ownership.
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. On February 26, the partnership bought 5,000 shares at $6.17 per share, and on February 27 it bought 2,000 shares at $6.20 per share, totaling 7,000 shares. Following these indirect purchases, the partnership’s reported holdings rose to 22,677 shares. The filing also shows Dakos with a separate direct holding of 39,453 shares of common stock as of February 26. The footnote explains that the shares are held by a limited partnership and that Dakos disclaims beneficial ownership except to the extent of his pecuniary interest.
Total Return Securities Fund director Phillip Goldstein reported an open-market purchase of 5,000 shares of the fund’s common stock on February 23, 2026 at a price of $6.13 per share. Following this transaction, he directly owns 87,910 shares of the fund.
Total Return Securities Fund reported insider-related purchases of its common stock by a limited partnership associated with President and CEO Andrew Dakos. On February 23–24, the partnership bought a total of 5,674 shares in open-market transactions at prices between $6.13 and $6.17 per share.
These holdings are reported as indirect ownership, and Mr. Dakos disclaims beneficial ownership of the partnership’s shares except to the extent of any pecuniary interest. A separate line shows 39,453 shares held as a directly owned common stock position.
Total Return Securities Fund reported insider activity involving President and CEO Andrew Dakos. A limited partnership in which he has a beneficial interest bought a total of 8,000 shares of common stock in open-market purchases on February 19–20, 2026 at prices around $6.11–$6.16 per share. These holdings are reported as indirect. A separate line shows his direct ownership at 39,453 common shares following the most recent update.
Phillip Goldstein, a director of Total Return Securities Fund, reported buying additional shares of the fund’s common stock. On 02/06/2026, he purchased 10,000 shares at a price of $6.07 per share. Following this transaction, he directly owns 82,910 common shares.
Total Return Securities Fund President and CEO Andrew Dakos, who is also a director of SWZ, reported open-market purchases of a total of 16,000 shares of common stock on February 3–4, 2026, at prices between $5.96 and $6.04 per share.
Following these transactions, Dakos directly owned 39,453 shares of SWZ common stock. An additional 2,003 shares are held by a limited partnership in which he has a beneficial interest, and he disclaims beneficial ownership beyond any pecuniary interest.
Total Return Securities Fund director Moritz A. Sell increased his holdings through two open-market purchases of common stock. On February 2, 2026, he bought 1,120 shares at $5.98 per share. On February 3, 2026, he bought 1,000 shares at $5.96 per share, bringing his directly held position to 9,998 shares. The reported amount includes shares acquired through the fund’s dividend reinvestment plan.
Total Return Securities Fund director Phillip Goldstein reported buying additional shares of the fund’s common stock. On 01/30/2026, he purchased 10,000 shares at a price of $5.92 per share, increasing his directly held position to 72,910 shares after the transaction.
Total Return Securities Fund director Gerald Hellerman reported a sale of common stock in a transaction dated January 23, 2026. He disposed of 1,755 shares of the fund’s common stock at a price of $6.81 per share.
After this sale, Hellerman directly beneficially owned 3,527 common shares. The filing notes that the shares were sold back to the issuer under an issuer tender offer that is exempt under Rule 16b-3, which is a rule governing certain insider transactions.
Total Return Securities Fund director Phillip Goldstein reported a sale of common stock on January 23, 2026. He disposed of 31,314 shares of the fund’s common stock at a price of $6.81 per share, in a transaction coded "D" for a disposition. According to the footnote, the shares were sold back to the issuer in connection with a tender offer that is exempt under Rule 16b-3.
After this transaction and an adjustment, Goldstein beneficially owns 62,910 shares of common stock directly. A second footnote explains that this balance reflects an additional 1,000 shares that were purchased in a rights offering and were inadvertently omitted from his Form 4 filed on December 12, 2025, so this filing also corrects his previously reported holdings.
Total Return Securities Fund president and CEO Andrew Dakos, who is also a director, reported sales of common stock pursuant to a tender offer exempt under Rule 16b-3.
On January 23, 2026, a limited partnership associated with Dakos sold 997 shares of common stock at $6.81 per share, leaving 2,003 shares held indirectly through the partnership. Dakos disclaims beneficial interest in those partnership shares except to the extent of any pecuniary interest.
On the same date, Dakos also sold 11,675 shares of common stock held directly at $6.81 per share, and reported 23,453 shares of common stock owned directly after the transaction.
Total Return Securities Fund officer Rajeev P. Das reported a small share sale under a Form 4. On 01/23/2026, he disposed of 166 shares of common stock at $6.81 per share. The filing notes this represents a sale of shares back to the issuer pursuant to a tender offer that is exempt under Rule 16b-3, which governs certain insider transactions. After this transaction, Das beneficially owned 334 shares of the fund’s common stock held directly.
Total Return Securities Fund director SELL MORITZ A reported a sale of common stock in a tender offer. On 01/23/2026, the director disposed of 3,922 shares of the fund’s common stock at $6.81 per share, with the shares sold back to the issuer under a tender offer that is exempt under Rule 16b-3. After this transaction, the director beneficially owns 7,878 shares, which the disclosure notes include shares acquired through the issuer’s dividend reinvestment plan.
Total Return Securities Fund reported insider stock sales. A reporting person filed details of several open-market sales of the fund’s common stock on December 29 and 30, 2025 at prices between $6.24 and $6.27 per share. After these transactions, the insider directly beneficially owned 1,686,971 shares of common stock.
Total Return Securities Fund reported insider stock sales over several days in December 2025. A reporting person sold multiple blocks of the fund’s common stock in open-market transactions on 12/22/2025, 12/23/2025, 12/24/2025, and 12/26/2025.
The sales ranged from small lots of fewer than 200 shares to larger trades of more than 10,000 shares, at prices between $6.22 and $6.27 per share. After these transactions, the reporting person beneficially owned 1,706,939 shares of Total Return Securities Fund common stock, held directly.
Total Return Securities Fund reported insider activity by a director and 10% owner on December 15, 2025. The filing shows several dispositions of common stock in blocks of 1,000, 500, 1,000, 500 and 4,000 shares at prices between $6.2 and $6.24 per share. After these transactions, the reporting person beneficially owned 1,735,506 shares of the fund’s common stock, held directly.
Total Return Securities Fund director reported buying additional shares through a rights offering. On 12/11/2025, the director acquired 7,400 shares of common stock at a price of $6.07 per share, using rights that had been issued to shareholders of record as of November 14, 2025. Each right allowed the purchase of one share and holders could request extra shares if available.
After this transaction, the director beneficially owned 11,800 common shares directly, which includes shares previously acquired through the fund’s dividend reinvestment plan. The filing reflects purchases made pursuant to this rights offering.
Total Return Securities Fund insider Andrew Dakos, who serves as Director and President and CEO, reported a purchase of fund shares through a rights offering. On 12/11/2025, he acquired 35,064 shares of common stock, coded as an exercise of rights (transaction code M), at a price of $6.07 per share. This transaction arose from non-transferable rights granted to shareholders on the record date of November 14, 2025, allowing one new share to be purchased for each share owned, with an option to oversubscribe.
Following this transaction, Dakos directly holds 35,128 shares of common stock and has an additional 3,000 shares held indirectly through a limited partnership in which he has a beneficial interest. He disclaims beneficial ownership of the partnership-held shares beyond any pecuniary interest.
Total Return Securities Fund (SWZ) reported an insider share purchase by an officer who serves as Secretary. On 12/11/2025, the reporting person acquired 468 shares of common stock in a transaction coded "M," indicating the exercise of previously issued rights. The shares were acquired at a price of $6.07 per share, bringing the officer’s total directly held beneficial ownership to 500 common shares after the transaction.
The filing explains that non-transferable rights were issued to stockholders of record as of November 14, 2025 in connection with a rights offering. Each right allowed the holder to purchase one share of common stock, with the ability to oversubscribe for additional shares if available. The reported purchase reflects shares acquired through this rights offering.
Total Return Securities Fund director reports new share acquisition through a rights offering. On 12/11/2025, the reporting person acquired 80,976 shares of common stock at $6.07 per share, increasing their directly held position to 93,224 shares.
The transaction reflects participation in a rights offering where non-transferable rights were issued to stockholders of record as of November 14, 2025 at a rate of one right for each share owned. Each right allowed the holder to purchase one additional common share, with an option to oversubscribe for extra shares if available.
Total Return Securities Fund (SWZ) reported an insider purchase by a director. On 10/27/2025, the director acquired 1,000 shares of common stock at $6.055 per share in an open-market transaction coded “P.”
Following the trade, the director beneficially owns 4,400 shares directly. The filing notes this amount includes shares acquired through the issuer’s dividend reinvestment plan.