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) 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.
Allspring Global Investments Holdings, LLC filed an amended Schedule 13G reporting beneficial ownership of 2,127,310 shares of Total Return Securities Fund Class B shares, which represents 16.4% of the class. The filing states 2,013,125 shares are held with sole voting power and 2,127,310 shares with sole dispositive power, and that the securities are owned of record by clients of Allspring-related investment advisers. The filer certifies the position is held in the ordinary course of business and not for the purpose of changing control.
Total Return Securities Fund reported that Lazard Asset Management LLC beneficially owns 666,252 shares of the fund's equity, representing 5.1% of the class. The filing states Lazard is organized in New York and exercises sole voting and sole dispositive power over all 666,252 shares, with no shared voting or dispositive power. The statement includes a certification that the shares were not acquired to change or influence control of the issuer. The filing lists issuer headquarters as U.S. Bank Global Fund Services in Milwaukee.
Total Return Securities Fund (SWZ): RiverNorth Capital Management, LLC reports beneficial ownership of 669,946 shares, representing 5.16% of the class. RiverNorth is identified as an investment adviser and discloses sole voting and dispositive power over these shares, indicating it can vote and sell the shares without sharing authority. The filing contains a certification that the securities are held in the ordinary course of business and are not held to change or influence control. This Schedule 13G is a routine disclosure of a passive, material stake.