Form 4 for SWZ Total Return Securities Fund
Accepted 2026-03-05 00:00:00 ET · period of report 2026-02-26 · accession 0001398344-26-004532 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| M | 2026-03-05 | 2026-02-26+ | SWZ | GOLDSTEIN PHILLIP | Sec, Dir, Affiliate of the Adviser | L - Small Acq | $6.16 | +324 | 88.2K | +0.4% | +$1,996 |
| 2026-03-05 | 2026-03-03 | SWZ | GOLDSTEIN PHILLIP | Sec, Dir, Affiliate of the Adviser | P - Purchase | $6.01 | +5,000 | 93.2K | +6% | +$30.1K |
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 | 2026-02-26 | L | A | 256 | $6.16 | 88,166 | D | — | — | |
| 2 | Common | Common Stock | 2026-02-27 | L | A | 68 | $6.16 | 88,234 | D | — | — | |
| 3 | Common | Common Stock | 2026-03-03 | P | A | 5,000 | $6.01 | 93,234 | D | — | — |