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 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 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.