Andrew Dakos
CIK 1341021 · President and CEO · last filed 2026-07-15
Andrew Dakos is a President and CEO who has filed 226 SEC Form 4 insider transactions across 28 companies since 2007. The most recent filing shows the insider was granted $17.2K of TRC on Jul 15, 2026. Across all open-market trades the lifetime net is +$49.7M, making them a net buyer over the disclosed history. Current disclosed insider exposure totals $2.2M across reported positions.
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$2.20M
Companies
28
Total Filings
226
Lifetime Open-Market Net
$49.68M
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| TRC | Director | 61,367 | $17.30 | $1.06M | $0 | 5 | 2026-07-15 |
| SWZ | President and CEO | 171,000 | $5.91 | $1.01M | $2.55M | 39 | 2026-07-07 |
| SPE | President and CEO | 5,184 | $13.09 | $67.9K | -$42.0K | 17 | 2026-06-04 |
| MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) Delisted | 10%+ Owner | 16,896 | $7.63 | $128.9K | $96.9K | 1 | 2026-02-13 |
| PCF | President | 10,705 | $5.30 | $56.7K | -$1.42M | 20 | 2024-12-16 |
| Brookfield DTLA Fund Office Trust Investor Inc. (DTLA) Delisted | Director | 0 | — | — | $28.6K | 2 | 2019-01-04 |
| ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND (AKP) Delisted | 10%+ Owner | 739,930 | — | — | $5.4K | 1 | 2018-10-01 |
| PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | 10%+ Owner | 1,392,652 | — | — | $4.67M | 21 | 2017-06-29 |
| KOREA EQUITY FUND INC (KEF) Delisted | 10%+ Owner | 1,706,374 | — | — | $8.35M | 6 | 2017-06-22 |
| CROSSROADS CAPITAL, INC. (XRDC) Delisted | Director | 826,327 | — | — | $0 | 1 | 2017-06-08 |
| JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | 10%+ Owner | 812,868 | — | — | $9.92M | 6 | 2017-05-31 |
| NXG NextGen Infrastructure Income Fund (SZC) Delisted | 10%+ Owner | 457,550 | $40.78 | $18.66M | $0 | 1 | 2017-02-16 |
| Nuveen Long/Short Commodity Total Return Fund (CTF) Delisted | 10%+ Owner | 1,159,980 | — | — | $1.05M | 2 | 2016-12-02 |
| FIRST TRUST DIVIDEND & INCOME FUND (FAV) Delisted | 10%+ Owner | 1,940,479 | — | — | $12.93M | 23 | 2016-10-07 |
| Nuveen Global Equity Income Fund (JGV) Delisted | 10%+ Owner | 2,194,974 | — | — | $7.68M | 8 | 2016-09-30 |
| Virtus Total Return Fund (DCA) Delisted | 10%+ Owner | 3,978,432 | — | — | $8.82M | 11 | 2016-09-08 |
| EMERGENT CAPITAL, INC. (EMG) Delisted | Director | 2,267,589 | — | — | $0 | 2 | 2016-06-03 |
| DEUTSCHE GLOBAL HIGH INCOME FUND, INC. (LBF) Delisted | 10%+ Owner | 495,745 | — | — | -$694.4K | 3 | 2016-04-29 |
| LMP REAL ESTATE INCOME FUND INC. (RIT) Delisted | 10%+ Owner | 2,167,343 | — | — | $5.72M | 12 | 2016-04-21 |
| ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (LCM) Delisted | 10%+ Owner | 1,137,599 | — | — | -$727.3K | 1 | 2015-10-28 |
| MFS INTERMARKET INCOME TRUST I (CMK) Delisted | 10%+ Owner | 1,601,806 | — | — | $7.04M | 6 | 2015-09-10 |
| CROSSROADS CAPITAL, INC. (BDCV) Delisted | 10%+ Owner | 826,327 | — | — | $225.2K | 2 | 2015-07-13 |
| EMERGENT CAPITAL, INC. (IFT) Delisted | Director | 2,256,081 | — | — | $0 | 7 | 2015-06-26 |
| ALLIANCE NEW YORK MUNICIPAL INCOME FUND (AYN) Delisted | 10%+ Owner | 11,605 | — | — | $22.3K | 1 | 2015-04-02 |
| Firsthand Technology Value Fund, Inc. (SVVC) Delisted | 10%+ Owner | 608,335 | $0.23 | $143.0K | -$13.89M | 5 | 2015-02-10 |
| MXE | Director | 0 | $13.30 | $0 | -$1.95M | 16 | 2013-04-30 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPEFR) Delisted | President | 1,000 | — | — | $0 | 1 | 2012-07-06 |
| SPECIAL OPPORTUNITIES FUND, INC. (PIF) Delisted | Director | 0 | — | — | -$708.0K | 1 | 2010-01-26 |
Recent Filings
226 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2026-07-15 | TRC | Grant (A) | +918 | $17.2K | EDGAR |
| 2026-07-07 | SWZ | Buy (P) | +5,000 | $29.6K | EDGAR |
| 2026-06-04 | SPE | Sell (S) | −6,394 | -$90.1K | EDGAR |
| 2026-06-02 | — | Notice (144) | −6,261 | -$87.8K | EDGAR |
| 2026-05-29 | SWZ | Buy (P) | +13,000 | $77.7K | EDGAR |
| 2026-05-20 | SWZ | Buy (P) | +7,000 | $41.7K | EDGAR |
| 2026-04-20 | SWZ | Buy (P) | +11,265 | $68.3K | EDGAR |
| 2026-04-09 | SWZ | Buy (P) | +6,000 | $35.8K | EDGAR |
| 2026-04-07 | TRC | Grant (A) | +913 | $17.2K | EDGAR |
| 2026-04-06 | SWZ | Buy (P) | +4,963 | $29.4K | EDGAR |
Showing 1–10 of 226
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Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.