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$SWZ All transactions

Total Return Securities Fund

M

$ Value

$492K

Shares

80,976

Price

$6

Filed

Dec 12

Insider

Name

GOLDSTEIN PHILLIP

Title

CIK

0001067621

Roles

Director

Transaction Details

Transaction Date

2025-12-11

Code

M

Table

Non-Derivative

Ownership

Direct

Equity Swap

No

Shares After

93,224

Footnotes

Non-transferable rights were issued to holders of record of shares of common stock of the Issuer as of November 14, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.

Filing Info

Accession No.

0001398344-25-022409

Form Type

4

Issuer CIK

0000813623

GOLDSTEIN PHILLIP's History

Date Ticker Type Value
2026-04-08 PCF $3K
2026-04-07 PCF $28K
2026-03-18 PCF $98K
2026-03-18 SWZ $60K
2026-03-05 SPE $99K
2026-03-05 SWZ $60K
2026-03-04 SPE L $3K
2026-03-03 SWZ $30K
2026-03-02 SPE L $3K
2026-02-27 SPE $146K

Other Insiders at SWZ (90d)

Insider Bought Sold Last
Dakos Andrew
President and CEO
$725K 2026-04-17
GOLDSTEIN PHILLIP $151K 2026-02-23
GOLDSTEIN PHILLIP
Secretary
$150K 2026-03-18
SELL MORITZ A $13K 2026-02-03
HELLERMAN GERALD 2026-01-23
Das Rajeev P
Secretary
2026-01-23