Form 4 for SWZ Total Return Securities Fund
Accepted 2026-03-09 00:00:00 ET · period of report 2026-03-05 · accession 0001398344-26-004895 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 2026-03-09 | 2026-03-05 | SWZ | GOLDSTEIN PHILLIP | Sec, Dir, Affiliate of the Adviser | P - Purchase | $5.99 | +10.0K | 103.2K | +11% | +$59.9K |
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 | 2026-03-05 | P | A | 10,000 | $5.99 | 103,234 | D | — | — |