SWZ insider transaction filings
Total Return Securities Fund — 49 most recent Form 4 filings from SEC EDGAR, normalized by FilingPulse. Latest filing: 2026-09-01. Screen SWZ transaction legs live →
Insider transaction summary — last 90 days
2026-06-24 to 2026-09-22, from the filings listed below: 8 Form 4 filings. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 13 legs across 8 filings by 4 insiders — 26,137 shares, $154,919 total (shares × price as filed).
- Open-market sales (code S, non-derivative): none reported.
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 0.
- Largest priced transaction: purchase of 5,980 shares @ $5.95 ($35,581) by GOLDSTEIN PHILLIP, filed 2026-07-08.
By insider — same window
Open-market purchase/sale legs on non-derivative securities, grouped by the filing's reporting owner(s); joint filings appear once. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Insider | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|
| SELL MORITZ A — Director | 5 | 8 legs · 12,091 sh · $71,556 | — | — |
| GOLDSTEIN PHILLIP — Secretary, Director | 1 | 1 leg · 5,980 sh · $35,581 | — | — |
| Dakos Andrew — President and CEO, Director | 1 | 2 legs · 5,000 sh · $29,601 | — | — |
| Das Rajeev P — Secretary | 1 | 2 legs · 3,066 sh · $18,181 | — | — |
Recent Form 4 filings — Total Return Securities Fund
| Filed | Form | Insider | Reported transactions | Source |
|---|---|---|---|---|
| 2026-09-01 | 4 | SELL MORITZ A — Director | Purchase (P): 3,000 @ $5.98 | EDGAR |
| 2026-08-25 | 4 | Das Rajeev P — Secretary | Purchase (P): 1,700 @ $5.93 · Purchase (P): 1,366 @ $5.93 | EDGAR |
| 2026-08-12 | 4 | SELL MORITZ A — Director | Purchase (P): 1,000 @ $5.91 | EDGAR |
| 2026-07-24 | 4 | SELL MORITZ A — Director | Purchase (P): 517 @ $5.90 · Purchase (P): 2,000 @ $5.86 | EDGAR |
| 2026-07-22 | 4 | SELL MORITZ A — Director | Purchase (P): 1,000 @ $5.93 · Purchase (P): 483 @ $5.90 | EDGAR |
| 2026-07-08 | 4 | GOLDSTEIN PHILLIP — Secretary, Director | Purchase (P): 5,980 @ $5.95 | EDGAR |
| 2026-07-07 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 233 @ $5.92 · Purchase (P): 4,767 @ $5.92 | EDGAR |
| 2026-06-30 | 4 | SELL MORITZ A — Director | Purchase (P): 2,091 @ $5.88 · Purchase (P): 2,000 @ $5.92 | EDGAR |
| 2026-06-22 | 4 | SELL MORITZ A — Director | Purchase (P): 147 @ $5.91 · Purchase (P): 1,853 @ $5.91 | EDGAR |
| 2026-06-17 | 4 | SELL MORITZ A — Director | Purchase (P): 155 @ $5.95 · Purchase (P): 2,000 @ $5.96 | EDGAR |
| 2026-06-01 | 4 | SELL MORITZ A — Director | Purchase (P): 1,000 @ $6.01 | EDGAR |
| 2026-05-29 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 4,500 @ $5.97 · Purchase (P): 3,000 @ $5.98 · Purchase (P): 100 @ $5.98 · Purchase (P): 5,400 @ $5.99 | EDGAR |
| 2026-05-20 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 4,000 @ $5.95 · Purchase (P): 13 @ $5.95 · Purchase (P): 2,987 @ $5.96 | EDGAR |
| 2026-04-27 | 4 | SELL MORITZ A — Director | Purchase (P): 1,002 @ $6.07 | EDGAR |
| 2026-04-20 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 4,718 @ $6.06 · Purchase (P): 3,000 @ $6.05 · Purchase (P): 547 @ $6.04 · Purchase (P): 3,000 @ $6.09 | EDGAR |
| 2026-04-09 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 2,000 @ $5.95 · Purchase (P): 4,000 @ $5.97 | EDGAR |
| 2026-04-06 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 4,863 @ $5.93 · Purchase (P): 100 @ $5.95 | EDGAR |
| 2026-03-31 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 5,900 @ $5.92 · Purchase (P): 5,300 @ $5.91 | EDGAR |
| 2026-03-26 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 5,000 @ $5.96 · Purchase (P): 1,000 @ $5.95 | EDGAR |
| 2026-03-19 | 4 | GOLDSTEIN PHILLIP — Secretary, Director | Purchase (P): 10,000 @ $5.98 | EDGAR |
| 2026-03-13 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 1,700 @ $6 · Purchase (P): 3,324 @ $6 | EDGAR |
| 2026-03-09 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 12,000 @ $6.01 · Purchase (P): 12,500 @ $5.97 | EDGAR |
| 2026-03-09 | 4 | GOLDSTEIN PHILLIP — Secretary, Director | Purchase (P): 10,000 @ $5.99 | EDGAR |
| 2026-03-05 | 4 | GOLDSTEIN PHILLIP — Secretary, Director | Code (L): 256 @ $6.16 · Code (L): 68 @ $6.16 · Purchase (P): 5,000 @ $6.01 | EDGAR |
| 2026-03-04 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 5,000 @ $6.15 · Purchase (P): 9,918 @ $5.95 | EDGAR |
| 2026-03-02 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 5,000 @ $6.17 · Purchase (P): 2,000 @ $6.20 | EDGAR |
| 2026-02-25 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 2,000 @ $6.14 · Purchase (P): 2,000 @ $6.13 · Purchase (P): 326 @ $6.14 · Purchase (P): 1,348 @ $6.17 | EDGAR |
| 2026-02-25 | 4 | GOLDSTEIN PHILLIP — Director | Purchase (P): 5,000 @ $6.13 | EDGAR |
| 2026-02-23 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 119 @ $6.11 · Purchase (P): 4,881 @ $6.12 · Purchase (P): 183 @ $6.14 · Purchase (P): 2,817 @ $6.16 | EDGAR |
| 2026-02-10 | 4 | GOLDSTEIN PHILLIP — Director | Purchase (P): 10,000 @ $6.07 | EDGAR |
| 2026-02-05 | 4 | Dakos Andrew — President and CEO, Director | Purchase (P): 7,000 @ $5.97 · Purchase (P): 3,000 @ $5.96 · Purchase (P): 2,000 @ $6.04 · Purchase (P): 2,000 @ $6.03 · Purchase (P): 2,000 @ $6.02 | EDGAR |
| 2026-02-04 | 4 | SELL MORITZ A — Director | Purchase (P): 1,120 @ $5.98 · Purchase (P): 1,000 @ $5.96 | EDGAR |
| 2026-02-03 | 4 | GOLDSTEIN PHILLIP — Director | Purchase (P): 10,000 @ $5.92 | EDGAR |
| 2026-01-27 | 4 | Dakos Andrew — President and CEO, Director | Disposition to issuer (D): 997 @ $6.81 · Disposition to issuer (D): 11,675 @ $6.81 | EDGAR |
| 2026-01-27 | 4 | Das Rajeev P — Secretary | Disposition to issuer (D): 166 @ $6.81 | EDGAR |
| 2026-01-27 | 4 | HELLERMAN GERALD — Director | Disposition to issuer (D): 1,755 @ $6.81 | EDGAR |
| 2026-01-27 | 4 | GOLDSTEIN PHILLIP — Director | Disposition to issuer (D): 31,314 @ $6.81 | EDGAR |
| 2026-01-27 | 4 | SELL MORITZ A — Director | Disposition to issuer (D): 3,922 @ $6.81 | EDGAR |
| 2025-12-31 | 4 | CSS LLC/IL — 10% owner | Sale (S): 1,772 @ $6.25 · Sale (S): 3,000 @ $6.26 · Sale (S): 3,000 @ $6.27 · Sale (S): 4,900 @ $6.24 · Sale (S): 7,000 @ $6.25 · Sale (S): 100 @ $6.25 · +1 more | EDGAR |
| 2025-12-29 | 4 | CSS LLC/IL — 10% owner | Sale (S): 167 @ $6.25 · Sale (S): 900 @ $6.26 · Sale (S): 1,000 @ $6.25 · Sale (S): 1,400 @ $6.25 · Sale (S): 3,000 @ $6.26 · Sale (S): 1,000 @ $6.22 · +6 more | EDGAR |
| 2025-12-17 | 4 | CSS LLC/IL — 10% owner | Sale (S): 1,000 @ $6.20 · Sale (S): 500 @ $6.21 · Sale (S): 1,000 @ $6.22 · Sale (S): 500 @ $6.23 · Sale (S): 4,000 @ $6.24 | EDGAR |
| 2025-12-12 | 4 | Dakos Andrew — President and CEO, Director | Option exercise (M): 35,064 @ $6.07 | EDGAR |
| 2025-12-12 | 4 | Das Rajeev P — Secretary | Option exercise (M): 468 @ $6.07 | EDGAR |
| 2025-12-12 | 4 | GOLDSTEIN PHILLIP — Director | Option exercise (M): 80,976 @ $6.07 | EDGAR |
| 2025-12-12 | 4 | SELL MORITZ A — Director | Option exercise (M): 7,400 @ $6.07 | EDGAR |
| 2025-10-29 | 4 | SELL MORITZ A — Director | Purchase (P): 1,000 @ $6.05 | EDGAR |
| 2025-07-01 | 4 | SELL MORITZ A — Director | Purchase (P): 1,815 @ $6.34 | EDGAR |
| 2025-04-03 | 4 | HELLERMAN GERALD — Director | Sale (S): 41 @ $9.24 | EDGAR |
| 2025-01-21 | 4 | GOLDSTEIN PHILLIP — Director | Sale (S): 4,535 @ $8.45 | EDGAR |
Recent 8-K events — Total Return Securities Fund
| Filed | Form | Items reported | Source |
|---|---|---|---|
| 2024-10-11 | 8-K | 7.01 — Regulation FD Disclosure | EDGAR |
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