Form 4 for SWZ Total Return Securities Fund
Accepted 2026-01-27 00:00:00 ET · period of report 2026-01-23 · accession 0001398344-26-001378 · 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 | GOLDSTEIN PHILLIP | Dir | D - Sale to Iss | $6.81 | -31.3K | 62.9K | -33% | -$213.2K |
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 | 31,314 | $6.81 | 62,910 | D | — | — | (F2) Reflects an additional 1,000 shares that were purchased in a rights offering and inadvertently omitted from Mr. Goldstein's Form 4 filed on December 12, 2025. |