SWZ (Total Return Securities Fund)
Insider Trading Activity
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.
Market data may be delayed, incomplete, or inaccurate. Not a recommendation to buy, sell, or hold any security. Verify quotes with your broker before trading. See Terms §17.
| Filed | Insider | Role | Type | Shares | Value |
|---|---|---|---|---|---|
| 2026-09-01 | MORITZ A SELL | Director | Buy | — | — |
| 2026-08-25 | Rajeev P Das | Secretary | Buy | — | — |
| 2026-08-12 | MORITZ A SELL | Director | Buy | — | — |
| 2026-07-24 | MORITZ A SELL | Director | Buy | — | — |
| 2026-07-22 | MORITZ A SELL | Director | Buy | — | — |
| 2026-07-08 | PHILLIP GOLDSTEIN | Secretary | Buy | — | — |
| 2026-07-07 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-06-22 | MORITZ A SELL | Director | Buy | — | — |
| 2026-06-17 | MORITZ A SELL | Director | Buy | — | — |
| 2026-06-01 | MORITZ A SELL | Director | Buy | — | — |
| 2026-05-29 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-05-20 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-04-27 | MORITZ A SELL | Director | Buy | — | — |
| 2026-04-20 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-04-09 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-04-06 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-03-26 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-03-19 | PHILLIP GOLDSTEIN | Secretary | Buy | — | — |
| 2026-03-13 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-03-09 | PHILLIP GOLDSTEIN | Secretary | Buy | — | — |
| 2026-03-09 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-03-05 | PHILLIP GOLDSTEIN | Secretary | MIXED | — | — |
| 2026-03-04 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-03-02 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-02-25 | PHILLIP GOLDSTEIN | Director | Buy | — | — |
| 2026-02-25 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-02-23 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-02-10 | PHILLIP GOLDSTEIN | Director | Buy | — | — |
| 2026-02-05 | Andrew Dakos | President and CEO | Buy | — | — |
| 2026-02-04 | MORITZ A SELL | Director | Buy | — | — |
| 2026-02-03 | PHILLIP GOLDSTEIN | Director | Buy | — | — |
| 2026-01-27 | Rajeev P Das | Secretary | D | — | — |
| 2026-01-27 | MORITZ A SELL | Director | D | — | — |
| 2026-01-27 | Andrew Dakos | President and CEO | D | — | — |
| 2026-01-27 | GERALD HELLERMAN | Director | D | — | — |
| 2026-01-27 | PHILLIP GOLDSTEIN | Director | D | — | — |
| 2025-12-31 | CSS LLC/IL | 10%+ Owner | Sell | — | — |
| 2025-12-29 | CSS LLC/IL | 10%+ Owner | Sell | — | — |
| 2025-12-17 | CSS LLC/IL | 10%+ Owner | Sell | — | — |
| 2025-12-12 | Rajeev P Das | Secretary | M | — | — |
| 2025-12-12 | PHILLIP GOLDSTEIN | Director | M | — | — |
| 2025-12-12 | MORITZ A SELL | Director | M | — | — |
| 2025-12-12 | Andrew Dakos | President and CEO | M | — | — |
| 2025-10-29 | MORITZ A SELL | Director | Buy | — | — |
| 2025-07-01 | MORITZ A SELL | Director | Buy | — | — |
| 2025-04-03 | GERALD HELLERMAN | Director | Sell | — | — |
| 2025-01-21 | PHILLIP GOLDSTEIN | Director | Sell | — | — |
| 2022-03-04 | Andrew Dakos | President and CEO | Buy | — | — |
| 2022-03-03 | GERALD HELLERMAN | Director | Buy | — | — |
| 2022-02-04 | Andrew Dakos | President and CEO | Buy | — | — |
| Insider | Role | Shares Held | Value |
|---|---|---|---|
| — | 10%+ Owner | 1,694,267 | — |
| — | — | 440,601 | — |
| — | President and CEO | 171,000 | — |
| — | Secretary | 119,214 | — |
| — | — | 98,699 | — |
| — | — | 97,355 | — |
| — | Director | 28,246 | — |
| — | President | 27,711 | — |
| — | Director | 13,788 | — |
| — | Director | 13,202 | — |
| — | CEO | 10,513 | — |
| — | Director | 10,000 | — |
| — | Director | 5,110 | — |
| — | Director | 5,086 | — |
| — | Director | 5,071 | — |
| — | Director | 4,470 | — |
| — | Director | 4,250 | — |
| — | Director | 4,000 | — |
| — | Vice President | 3,778 | — |
| — | Director | 3,527 | — |
| — | Secretary of Swiss Helvetia | 3,461 | — |
| — | Director | 3,070 | — |
| — | Secretary | 2,034 | — |
| — | Director | 1,057 | — |
| — | Director | 1,000 | — |
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.