Form 4 for SWZ Total Return Securities Fund
Accepted 2026-01-27 00:00:00 ET · period of report 2026-01-23 · accession 0001398344-26-001377 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2026-01-27 | 2026-01-23 | SWZ | Dakos Andrew | Pres, CEO, Dir | D - Sale to Iss | $6.81 | -11.7K | 23.5K | -33% | -$79.5K | |
| I | 2026-01-27 | 2026-01-23 | SWZ | Dakos Andrew | Pres, CEO, Dir | D - Sale to Iss | $6.81 | -997 | 2,003 | -33% | -$6,790 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-01-23 | D | D | 11,675 | $6.81 | 23,453 | D | — | — | |
| 2 | Common | Common Stock | 2026-01-23 | D | D | 997 | $6.81 | 2,003 | I Limited Partnership | — | — | (F2) Shares are held by a limited partnership in which Mr. Dakos has a beneficial interest. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. |