Form 4 for SWZ Total Return Securities Fund

Accepted 2026-04-20 16:22:59 ET · period of report 2026-04-16 · accession 0001398344-26-006721 · 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	2026-04-20 16:22	2026-04-16+	SWZ	Dakos Andrew	Pres, CEO, Dir, Affiliate of Adviser	P - Purchase	$6.07	+10.7K	106.0K	+11%	+$65.0K
	2026-04-20 16:22	2026-04-16	SWZ	Dakos Andrew	Pres, CEO, Dir, Affiliate of Adviser	P - Purchase	$6.04	+547	40.0K	+1%	+$3,304

Purchase Sale Sale after option exercise All abbreviations

#	Table	Security	Date	Code	A/D	Shares	Price	Owned after	Own	Exercise / expiry	Underlying	Footnotes
1	Common	Common Stock	2026-04-16	P	A	4,718	$6.06	100,000	I Limited Partnership	—	—	(F2) The Form 4 filed on behalf of Mr. Dakos on March 31, 2026 contained an error in the amount of shares held Indirectly following the reported transactions. The amounts shown herein reflect the correct amount. (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	2026-04-16	P	A	3,000	$6.05	103,000	I Limited Partnership	—	—	(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.
3	Common	Common Stock	2026-04-16	P	A	547	$6.04	40,000	D	—	—
4	Common	Common Stock	2026-04-17	P	A	3,000	$6.09	106,000	I Limited Partnership	—	—	(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.