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SWZ · Total Return Securities Fund
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SWZ Total Return Securities Fund (SWZ) Insider Trading, Ownership & Congress Trades

Funds & Trusts · Registered investment company · CIK 0000813623
Quote by TradingView
Cluster · 4 insidersC-suite buying · 3
House members buying, 1 year
0
STOCK Act, US House only, disclosed up to 45 days after the trade
Funds added, last quarter
19
13F, latest reported quarter

What the filings say about SWZ

Insiders, 180 days
+$461.0K net bought
4 buyers

Total Return Securities Fund insider trades (Form 4)

Form 4 buys and sells (codes P and S). Grants, option exercises and conversions excluded.

Over the last 180 days, Total Return Securities Fund insiders bought a net $461.0K of stock across 108 Form 4 purchases and sales, with 4 insiders buying. Source: SEC Form 4 filings, as of 2026-10-28.

Insider
Filed
Shares
Value
Since filing
GOLDSTEIN PHILLIP
Secretary
BUY
2026-10-13 SECtraded 2026-10-08
5,000
$28.6K
+1.9%
Context
  • 9 earlier Form 4 trades (code P or S) here by this insider (7 buys, 2 sales), the last on Jul 6, 2026.
  • -0.3% median (-0.7% mean) 90-day return after 7 previous buys.
  • The trade is 4.0% of the 124,229 shares held after it.
  • 2 other insiders bought within 30 days.
  • 19 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: Secretary GOLDSTEIN PHILLIP bought about $28.6K of SWZ on Oct 8, 2026; 2 other insiders bought within 30 days and 19 funds added in the latest 13F quarter.
Dakos Andrew
President and CEO
BUY
2026-09-29 SECtraded 2026-09-28
1,000
$5.8K
+2.3%
Context
  • 47 earlier Form 4 trades (code P or S) here by this insider (47 buys), the last on Sep 25, 2026.
  • -0.7% median (-1.4% mean) 90-day return after 29 previous buys.
  • The trade is 2.0% of the 51,000 shares held after it.
  • 2 other insiders bought within 30 days.
  • 19 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: President and CEO Dakos Andrew bought about $5.8K of SWZ on Sep 28, 2026; 2 other insiders bought within 30 days and 19 funds added in the latest 13F quarter.
Dakos Andrew
President and CEO
BUY
2026-09-29 SECtraded 2026-09-28
9,000
$51.9K
+2.3%
Context
  • 47 earlier Form 4 trades (code P or S) here by this insider (47 buys), the last on Sep 25, 2026.
  • -0.7% median (-1.4% mean) 90-day return after 29 previous buys.
  • The trade is 15.0% of the 60,000 shares held after it.
  • 2 other insiders bought within 30 days.
  • 19 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: President and CEO Dakos Andrew bought about $51.9K of SWZ on Sep 28, 2026; 2 other insiders bought within 30 days and 19 funds added in the latest 13F quarter.
SELL MORITZ A
Director
BUY
2026-09-30 SECtraded 2026-09-28
2,000
$11.5K
+1.9%
Context
  • 18 earlier Form 4 trades (code P or S) here by this insider (18 buys), the last on Aug 31, 2026.
  • -0.8% median (-1.2% mean) 90-day return after 16 previous buys.
  • The trade is 6.6% of the 30,246 shares held after it.
  • 2 other insiders bought within 30 days.
  • 19 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: Director SELL MORITZ A bought about $11.5K of SWZ on Sep 28, 2026; 2 other insiders bought within 30 days and 19 funds added in the latest 13F quarter.
Dakos Andrew
President and CEO
BUY
2026-09-29 SECtraded 2026-09-25
7,649
$44.4K
+2.3%
Context
  • 45 earlier Form 4 trades (code P or S) here by this insider (45 buys), the last on Jul 2, 2026.
  • -0.8% median (-1.6% mean) 90-day return after 30 previous buys.
  • The trade is 16.1% of the 47,649 shares held after it.
  • 2 other insiders bought within 30 days.
  • 19 funds added in the 13F quarter to Jun 30, 2026.
Insider activity: President and CEO Dakos Andrew bought about $44.4K of SWZ on Sep 25, 2026; 2 other insiders bought within 30 days and 19 funds added in the latest 13F quarter.
108 transactions on record
Since filing: total return from the first close after the filing to the latest close, dividend-adjusted. Not a forecast.
Context lines are counts over the filings above and returns from our own price history, never a price level. Not investment advice.
See all insider buying · insider selling
Showing the latest few. to see 103 more transactions and use the screener and CSV export. We store only your email; there is no password.
Seven facts, ranked against the sector · Rank is not a forecast
Insiders
net +$461.0K over 180 days
+$198.0K over 90 days
more than 77% of Funds & Trusts
Congress
no House purchase disclosed in the last 12 months
Funds
19 funds bought in last quarter
below 88% of Funds & Trusts
Revenue
no revenue reported in any filing
Margin
no margin: no revenue reported
Buybacks
no share repurchases reported
Short interest
1.0 days to cover · settled 2026-09-30
What changed in the last 30 days
Oct 13Secretary GOLDSTEIN PHILLIP bought $28.6K (Oct 8)
Sep 30Director SELL MORITZ A bought $11.5K (Sep 28)
Sep 29President and CEO Dakos Andrew bought $115.8K (4 trades, Sep 25 to Sep 28)

Watch SWZ

A free account keeps a watchlist and can send one email a day when insiders, funds or Congress file on the names in it. No password and no card.

The year, with the filings on it
Total return over 12 months. Each marker is a filing; hover or tap one for the detail.
-3.6%12M
-6%-2%+1%+4%2025-102025-122026-022026-042026-062026-082026-10 2025-12-26 · CSS LLC/IL sold $83.9K2026-03-06 · Dakos Andrew bought $74.6K2026-03-05 · Dakos Andrew bought $72.1K2026-02-06 · GOLDSTEIN PHILLIP bought $60.7K2026-03-05 · GOLDSTEIN PHILLIP bought $59.9K2026-03-18 · GOLDSTEIN PHILLIP bought $59.8K2026-01-30 · GOLDSTEIN PHILLIP bought $59.2K2026-03-02 · Dakos Andrew bought $59.0K2026-09-28 · Dakos Andrew bought $51.9K2026-09-25 · Dakos Andrew bought $44.4K2025-12-30 · CSS LLC/IL sold $43.8K2026-02-03 · Dakos Andrew bought $41.8K2026-07-06 · GOLDSTEIN PHILLIP bought $35.6K2026-03-27 · Dakos Andrew bought $34.9K2026-05-28 · Dakos Andrew bought $32.3K2026-03-30 · Dakos Andrew bought $31.3K2026-02-26 · Dakos Andrew bought $30.9K2026-03-02 · Dakos Andrew bought $30.8K2026-02-23 · GOLDSTEIN PHILLIP bought $30.6K2025-12-30 · CSS LLC/IL sold $30.6K2026-03-03 · GOLDSTEIN PHILLIP bought $30.1K2026-02-19 · Dakos Andrew bought $29.9K2026-03-24 · Dakos Andrew bought $29.8K2026-04-02 · Dakos Andrew bought $28.8K2025-12-26 · CSS LLC/IL sold $28.8K2026-10-08 · GOLDSTEIN PHILLIP bought $28.6K2026-04-16 · Dakos Andrew bought $28.6K2026-07-02 · Dakos Andrew bought $28.2K2026-05-27 · Dakos Andrew bought $26.9K2025-12-15 · CSS LLC/IL sold $25.0K2026-04-08 · Dakos Andrew bought $23.9K2026-05-18 · Dakos Andrew bought $23.8K2026-03-12 · Dakos Andrew bought $19.9K2025-12-29 · CSS LLC/IL sold $18.8K2025-12-23 · CSS LLC/IL sold $18.8K2025-12-29 · CSS LLC/IL sold $18.8K2026-04-17 · Dakos Andrew bought $18.3K2026-04-16 · Dakos Andrew bought $18.1K2026-05-27 · Dakos Andrew bought $17.9K2026-08-31 · SELL MORITZ A bought $17.9K2026-02-03 · Dakos Andrew bought $17.9K2026-05-20 · Dakos Andrew bought $17.8K
Insider buyInsider sell
Indexed to 100, dividend-adjusted, not a price chart. When a name files heavily, the largest trades are drawn first.

Who owns SWZ: institutional holders (13F)

13F holdings, latest reported quarter
CSS LLC/IL
1,040,190 sh
$6.2M
BANK OF AMERICA CORP /DE/
867,363 sh
$5.2M
Matisse Capital
609,000 sh
$3.6M
ICON ADVISERS INC/CO
446,220 sh
$2.7M
Saba Capital Management, L.P.
404,080 sh
$2.4M

Congress trades in SWZ

No Congress trades reported
No House member has disclosed a trade in this stock. See what Congress is buying.

Activist and 5% holders (13D/13G)

No 5%+ ownership filings
Nobody has filed for crossing 5%. That is a fact, not missing data.

SWZ planned insider sales (Form 144)

No planned-sale notices
No insider has filed to sell. Watch this after a run-up.

SWZ mutual fund holders (N-PORT)

Funds ranked by the share of their own portfolio in this stock (N-PORT).
Matisse Discounted Closed-End Fund Strategy
$2.3M position · as of 2026-06-30
3.1%
ICON FLEXIBLE BOND FUND
$2.7M position · as of 2026-06-30
0.5%
RiverNorth Active Income ETF
$60.5K position · as of 2026-07-31
0.2%
Saba Closed-End Funds ETF
$189.5K position · as of 2026-05-31
0.0%
SEC N-PORT, monthly, about 60 days late · funds ≥ $10M · % is the share of the fund's own portfolio
Live price
Daily candles from TradingView, under their licence. No filings marked.
Why this name is on the desk
4 insiders reported buying shares.
The record shows a net $461.0K bought by insiders over 180 days, 19 funds added last quarter. Each figure is a federal filing, dated the day it went public.
Backtest this pattern Open the screener
Same sector, ranked by filing activity
Sector by SEC SIC code
RCGECATBCATASANMFCRWAYGFMEGITPVGPFXEMOCPZ

SWZ Stock Sonar score 2/7 axes

Find similar shapesCompare
Insider conviction
84
Inputs
  • Net Form 4 buying (codes P and S), 180d$461K · 77 pct, sector of 142
  • Insider buyers, 180d4 · 91 pct, sector of 142
Institutional and government
12
Inputs
  • Funds adding, latest quarter19 · 12 pct, sector of 210
  • Congress net buyers, 365dno Congress trades in 365 days
  • Federal contracts, 180dno federal contracts in 180 days
  • Lobbying spend, 4 quartersno lobbying filings in the last four quarters
5 not measured: Profitability, Financial health, Growth, Risk and compliance, US patents
  • Profitability needs 2 of 4 inputs, 0 present: not filed
  • Financial health needs 1 of 2 inputs, 0 present: not filed
  • Growth needs 1 of 2 inputs, 0 present: no backlog line filed, or no year-earlier backlog; no revenue for this year and the year before
  • Risk and compliance needs 1 of 4 inputs, 0 present: needs two 10-Ks with a Risk Factors section (not 20-F filers or stubs); no short interest or no free float on file; revenue under $50M or not filed, so a count cannot be scaled to size
  • US patents needs 1 of 2 inputs, 0 present: patent data not loaded yet

2 of 7 axes scored. Each is a percentile against sector peers (all companies when the sector is thin); higher is better. An unscored axis is unmeasured, not low. How it is scored

SWZ filings, in plain words

Are Total Return Securities Fund insiders buying or selling SWZ?

In the 180 days to 2026-10-28, Total Return Securities Fund insiders were net buyers, a net $461.0K across purchases and sales reported on Form 4, by 4 buyers.

Read the full summary

In the 180 days to 2026-10-28, Total Return Securities Fund insiders were net buyers of SWZ, a net $461.0K across purchases and sales reported on Form 4 by 4 buyers. 4 different insiders reported purchases within the last 90 days, a cluster buy, which is rarer than a single purchase. Each figure is counted from SEC and House filings as of 2026-10-28, dated the day the filing was made public.

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