Form 4 for SWZ Total Return Securities Fund
Accepted 2026-03-31 00:00:00 ET · period of report 2026-03-27 · accession 0001398344-26-005935 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| MI | 2026-03-31 | 2026-03-27+ | SWZ | Dakos Andrew | Pres, CEO, Dir, Affiliate of Adviser | P - Purchase | $5.92 | +11.2K | 83.3K | +16% | +$66.3K |
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 | 2026-03-27 | P | A | 5,900 | $5.92 | 78,019 | I Limited Partnership | — | — | (F2) Represents the weighted average price. (F1) 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. |
| 2 | Common | Common Stock | 2026-03-30 | P | A | 5,300 | $5.91 | 83,319 | I Limited Partnership | — | — | (F2) Represents the weighted average price. (F1) 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. |