SWZ · Insider Trading

Total Return Securities Fund

Full SWZ quote
Iron condor setupsExpected moveIV rank historyFibonacci levelsInsider trading

Every open-market purchase and sale reported by SWZ officers, directors and 10%+ beneficial owners on SEC Form 4, which must be filed within two business days of the transaction. Sales often reflect scheduled 10b5-1 plans or tax withholding rather than a directional view, so read counts alongside the size and the filer.

Form 4 Filings
50
most recent
Open-Market Buys
34
code P
Sales
5
code S
Reporting Insiders
6
current holders
SWZ — Recent Form 4 Transactions (latest 2026-10-13)
FiledInsiderRole TypeSharesValue
2026-10-13 Phillip Goldstein Secretary MIXED +5,015 +$28.72K
2026-09-30 Moritz A Sell Director Buy +2,000 +$11.53K
2026-09-29 Andrew Dakos President and CEO Buy +20,000 +$115.81K
2026-09-01 Moritz A Sell Director Buy +3,000 +$17.94K
2026-08-25 Rajeev P Das Secretary Buy +3,066 +$18.18K
2026-08-12 Moritz A Sell Director Buy +1,000 +$5.91K
2026-07-24 Moritz A Sell Director Buy +2,517 +$14.77K
2026-07-22 Moritz A Sell Director Buy +1,483 +$8.78K
2026-07-08 Phillip Goldstein Secretary Buy +5,980 +$35.58K
2026-07-07 Andrew Dakos President and CEO Buy +5,000 +$29.60K
2026-06-22 Moritz A Sell Director Buy +2,000 +$11.82K
2026-06-17 Moritz A Sell Director Buy +2,155 +$12.84K
2026-06-01 Moritz A Sell Director Buy +1,000 +$6.01K
2026-05-29 Andrew Dakos President and CEO Buy +13,000 +$77.75K
2026-05-20 Andrew Dakos President and CEO Buy +7,000 +$41.68K
2026-04-27 Moritz A Sell Director Buy +1,002 +$6.08K
2026-04-20 Andrew Dakos President and CEO Buy +11,265 +$68.31K
2026-04-09 Andrew Dakos President and CEO Buy +6,000 +$35.80K
2026-04-06 Andrew Dakos President and CEO Buy +4,963 +$29.42K
2026-03-26 Andrew Dakos President and CEO Buy +6,000 +$35.75K
2026-03-19 Phillip Goldstein Secretary Buy +10,000 +$59.80K
2026-03-13 Andrew Dakos President and CEO Buy +5,024 +$30.14K
2026-03-09 Phillip Goldstein Secretary Buy +10,000 +$59.90K
2026-03-09 Andrew Dakos President and CEO Buy +24,500 +$146.75K
2026-03-05 Phillip Goldstein Secretary MIXED +5,324 +$32.05K
2026-03-04 Andrew Dakos President and CEO Buy +14,918 +$89.76K
2026-03-02 Andrew Dakos President and CEO Buy +7,000 +$43.25K
2026-02-25 Phillip Goldstein Director Buy +5,000 +$30.65K
2026-02-25 Andrew Dakos President and CEO Buy +5,674 +$34.86K
2026-02-23 Andrew Dakos President and CEO Buy +8,000 +$49.08K
2026-02-10 Phillip Goldstein Director Buy +10,000 +$60.70K
2026-02-05 Andrew Dakos President and CEO Buy +16,000 +$95.85K
2026-02-04 Moritz A Sell Director Buy +2,120 +$12.66K
2026-02-03 Phillip Goldstein Director Buy +10,000 +$59.20K
2026-01-27 Rajeev P Das Secretary D −166 −$1.13K
2026-01-27 Moritz A Sell Director D −3,922 −$26.71K
2026-01-27 Andrew Dakos President and CEO D −12,672 −$86.30K
2026-01-27 Gerald Hellerman Director D −1,755 −$11.95K
2026-01-27 Phillip Goldstein Director D −31,314 −$213.25K
2025-12-31 CSS LLC/IL 10%+ Owner Sell −19,968 −$124.85K
2025-12-29 CSS LLC/IL 10%+ Owner Sell −28,567 −$178.73K
2025-12-17 CSS LLC/IL 10%+ Owner Sell −7,000 −$43.60K
2025-12-12 Rajeev P Das Secretary M +468 +$2.84K
2025-12-12 Phillip Goldstein Director M +80,976 +$491.52K
2025-12-12 Moritz A Sell Director M +7,400 +$44.92K
2025-12-12 Andrew Dakos President and CEO M +35,064 +$212.84K
2025-10-29 Moritz A Sell Director Buy +1,000 +$6.05K
2025-07-01 Moritz A Sell Director Buy +1,815 +$11.51K
2025-04-03 Gerald Hellerman Director Sell −41 −$379
2025-01-21 Phillip Goldstein Director Sell −4,535 −$38.32K
SWZ — Current Insider Holders
InsiderRole Shares HeldValue
CSS LLC/IL 10%+ Owner 1,694,267 $9.79M
Andrew Dakos President and CEO 178,649 $1.03M
Phillip Goldstein Secretary 124,229 $718.04K
Moritz A Sell Director 30,246 $174.82K
Gerald Hellerman Director 3,527 $20.39K
Rajeev P Das Secretary 2,034 $11.76K
SWZ Insider Trading FAQ
Who are the insiders at SWZ?
6 officers, directors and 10%+ beneficial owners currently report holdings in SWZ via SEC Form 4.
Are SWZ insiders buying or selling?
Across the 50 most recent Form 4 filings for SWZ, 34 were open-market purchases (code P) and 5 were sales (code S). Sales frequently reflect scheduled 10b5-1 plans or tax withholding rather than a view on the stock.
How current is SWZ insider data?
Form 4 must be filed within two business days of the transaction, so this is close to real time. The most recent SWZ filing is dated 2026-10-13.
How to read Form 4 activity

Form 4 reports a change in beneficial ownership by an officer, director or 10%+ holder, and must be filed within two business days of the transaction — so this is close to real time, unlike the 45-day-lagged 13F institutional data.

Transaction codes matter more than the raw buy/sell count. Code P is an open-market purchase — an insider choosing to buy with their own money, which is the signal most research treats as informative. Code S is a sale, but sales are frequently pre-scheduled under a 10b5-1 plan or cover tax withholding on vesting equity, so a run of sales often says nothing directional. Codes A and M are grants and option exercises rather than open-market decisions.

Full filing history and per-insider positions are on the SWZ quote page; the site-wide leaderboard is on the insider transactions hub.

More on SWZ
SWZ full quote Insider Transactions Hub (all symbols) SWZ iron condor setups SWZ expected move SWZ IV rank history SWZ Fibonacci levels

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