SWZNYSEFiscal year ends December 31
Total Return Securities Fund
$5.79+0.00 (+0.09%)
Close on Oct 19, 2026
- Market cap
- –
- P/E (TTM)
- –
- Dividend yield
- –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
5M
Shares held, 13F filers
Institutional holders
41
6 new, 7 sold out
Net institutional buying
0M
In Q2 2026
Insider trades, 12 months
73 buys · 24 sales
Net bought $1.14M
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Bank Of America Corp /De/ | 869,185 | 6.70% | 13G (passive) | Jun 30, 2026 |
| Lazard Asset Management LLC | 666,252 | 5.10% | 13G (passive) amendment | Jun 30, 2025 |
| Css LLC/Il | 1,020,547 | 7.87% | 13G (passive) amendment | Mar 31, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of SWZ | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Css LLC/Il | 1,040,190 | – | $6.18M | +19,643 | 0.24% |
| Bank Of America Corp /De/ | 867,363 | – | $5.15M | New | 0.00% |
| Matisse Capital | 609,000 | – | $3.62M | +201,731 | 1.45% |
| Icon Advisers Inc/Co | 446,220 | – | $2.65M | −54,074 | 0.50% |
| Saba Capital Management, L.P. | 404,080 | – | $2.40M | – | 0.06% |
| Shaker Financial Services, LLC | 393,170 | – | $2.34M | +70,775 | 0.73% |
| Logan Stone Capital, LLC | 198,157 | – | $1.18M | +170,346 | 0.25% |
| Blue Bell Private Wealth Management, LLC | 168,610 | – | $1.00M | +80,336 | 0.12% |
| Evolve Private Wealth, LLC | 139,192 | – | $826.80K | −7,098 | 0.05% |
| Yakira Capital Management, Inc. | 125,557 | – | $745.81K | – | 0.21% |
| Almitas Capital LLC | 115,581 | – | $686.55K | +69,127 | 0.16% |
| Landscape Capital Management, L.L.C. | 97,847 | – | $581.21K | +61,938 | 0.04% |
| Gardner Russo & Quinn LLC | 97,667 | – | $580.14K | – | 0.01% |
| Uncommon Cents Investing LLC | 85,036 | – | $505.12K | +664 | 0.11% |
| Alpine Global Management, LLC | 58,859 | – | $349.62K | −22,415 | 0.06% |
| Commonwealth Equity Services, LLC | 56,071 | – | $333.06K | −6,074 | 0.00% |
| Morgan Stanley | 46,500 | – | $276.21K | −5,024 | 0.00% |
| Noble Wealth Management PBC | 42,882 | – | $254.72K | −26,497 | 0.11% |
| Bulldog Investors, LLP | 40,334 | – | $239.58K | +547 | 0.05% |
| Susquehanna International Group, Llp | 37,029 | – | $219.95K | New | 0.00% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 41 | 5M | 6 / 12 | 9 / 7 | 2M | 1M |
| Q1 2026 | 42 | 5M | 5 / 8 | 19 / 4 | 0M | 4M |
| Q4 2025 | 41 | 8M | 9 / 14 | 9 / 10 | 3M | 1M |
| Q3 2025 | 42 | 7M | 7 / 14 | 7 / 4 | 2M | 1M |
| Q2 2025 | 39 | 6M | 7 / 14 | 8 / 5 | 1M | 1M |
| Q1 2025 | 37 | 6M | 3 / 9 | 13 / 4 | 1M | 1M |
| Q4 2024 | 38 | 6M | 3 / 13 | 8 / 2 | 0M | 0M |
| Q3 2024 | 38 | 6M | 3 / 10 | 9 / 7 | 0M | 0M |
| Q2 2024 | 42 | 6M | 7 / 13 | 9 / 1 | 0M | 0M |
| Q1 2024 | 36 | 6M | 4 / 11 | 9 / 1 | 0M | 0M |
| Q4 2023 | 33 | 5M | 3 / 11 | 9 / 3 | 0M | 0M |
| Q3 2023 | 33 | 5M | 1 / 10 | 9 / 1 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
| Fund | Shares | % of SWZ | Value | % of fund | As of |
|---|---|---|---|---|---|
| Icon Flexible Bond Fund | 446,220 | – | $2.65M | 0.50% | Jun 30, 2026 |
| Matisse Discounted Closed-End Fund Strategy | 389,000 | – | $2.31M | 3.08% | Jun 30, 2026 |
| Saba Closed-End Funds ETF | 31,579 | – | $189.47K | 0.04% | May 31, 2026 |
| RiverNorth Active Income ETF | 10,252 | – | $60.49K | 0.15% | Jul 31, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Andrew Dakos | President and CEO, Director | 182,000 | Sep 29, 2026 |
| Phillip Goldstein | Secretary, Director | 119,214 | Jul 8, 2026 |
| Rajeev P. Das | Secretary | 3,432 | Aug 25, 2026 |
| Moritz A. Sell | Director | 30,246 | Sep 30, 2026 |
| Ben H. Harris | Director | 0 | Apr 1, 2026 |
| Gerald Hellerman | Director | 3,527 | Jan 27, 2026 |
| Llc/Il Css | 10% owner | 1,686,971 | Dec 31, 2025 |
| Bulldog Investors, LLP | – | 0 | Apr 3, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Moritz A. Sell Director | Sep 28, 2026 | Buy | +2,000 | $5.77 | $11.54K | 30,246 |
| Andrew Dakos President and CEO, Director | Sep 28, 2026 | Buy | +1,000 | $5.76 | $5.76K | 51,000 |
| Andrew Dakos President and CEO, Director | Sep 28, 2026 | Buy | +9,000 | $5.77 | $51.93K | 60,000 |
| Andrew Dakos President and CEO, Director | Sep 25, 2026 | Buy | +2,351 | $5.82 | $13.68K | 50,000 |
| Andrew Dakos President and CEO, Director | Sep 25, 2026 | Buy | +7,649 | $5.81 | $44.44K | 47,649 |
| Moritz A. Sell Director | Aug 31, 2026 | Buy | +3,000 | $5.98 | $17.94K | 28,246 |
| Rajeev P. Das Secretary | Aug 24, 2026 | Buy | +1,366 | $5.93 | $8.10K | 3,400 |
| Rajeev P. Das Secretary | Aug 21, 2026 | Buy | +1,700 | $5.93 | $10.08K | 2,034 |
| Moritz A. Sell Director | Aug 10, 2026 | Buy | +1,000 | $5.91 | $5.91K | 25,246 |
| Moritz A. Sell Director | Jul 23, 2026 | Buy | +2,000 | $5.86 | $11.72K | 24,246 |
| Moritz A. Sell Director | Jul 22, 2026 | Buy | +517 | $5.90 | $3.05K | 22,246 |
| Moritz A. Sell Director | Jul 21, 2026 | Buy | +483 | $5.90 | $2.85K | 21,729 |
| Moritz A. Sell Director | Jul 20, 2026 | Buy | +1,000 | $5.93 | $5.93K | 21,246 |
| Phillip Goldstein Secretary, Director | Jul 6, 2026 | Buy | +5,980 | $5.95 | $35.58K | 119,214 |
| Andrew Dakos President and CEO, Director | Jul 2, 2026 | Buy | +233 | $5.92 | $1.38K | 126,233 |
| Andrew Dakos President and CEO, Director | Jul 2, 2026 | Buy | +4,767 | $5.92 | $28.22K | 131,000 |
| Moritz A. Sell Director | Jun 29, 2026 | Buy | +2,000 | $5.93 | $11.86K | 20,246 |
| Moritz A. Sell Director | Jun 26, 2026 | Buy | +2,091 | $5.89 | $12.32K | 18,246 |
| Moritz A. Sell Director | Jun 18, 2026 | Buy | +1,853 | $5.91 | $10.95K | 16,155 |
| Moritz A. Sell Director | Jun 17, 2026 | Buy | +147 | $5.91 | $869 | 14,302 |
| Moritz A. Sell Director | Jun 16, 2026 | Buy | +2,000 | $5.96 | $11.92K | 14,155 |
| Moritz A. Sell Director | Jun 15, 2026 | Buy | +155 | $5.95 | $922 | 12,155 |
| Moritz A. Sell Director | May 29, 2026 | Buy | +1,000 | $6.01 | $6.01K | 12,000 |
| Andrew Dakos President and CEO, Director | May 28, 2026 | Buy | +5,400 | $5.99 | $32.35K | 126,000 |
| Andrew Dakos President and CEO, Director | May 28, 2026 | Buy | +100 | $5.98 | $598 | 120,600 |
| Andrew Dakos President and CEO, Director | May 27, 2026 | Buy | +4,500 | $5.97 | $26.87K | 117,500 |
| Andrew Dakos President and CEO, Director | May 27, 2026 | Buy | +3,000 | $5.98 | $17.94K | 120,500 |
| Andrew Dakos President and CEO, Director | May 20, 2026 | Buy | +2,987 | $5.96 | $17.80K | 113,000 |
| Andrew Dakos President and CEO, Director | May 19, 2026 | Buy | +13 | $5.95 | $77 | 110,013 |
| Andrew Dakos President and CEO, Director | May 18, 2026 | Buy | +4,000 | $5.95 | $23.80K | 110,000 |
| Moritz A. Sell Director | Apr 24, 2026 | Buy | +1,002 | $6.07 | $6.08K | 11,000 |
| Andrew Dakos President and CEO, Director | Apr 17, 2026 | Buy | +3,000 | $6.09 | $18.27K | 106,000 |
| Andrew Dakos President and CEO, Director | Apr 16, 2026 | Buy | +4,718 | $6.06 | $28.59K | 100,000 |
| Andrew Dakos President and CEO, Director | Apr 16, 2026 | Buy | +3,000 | $6.05 | $18.15K | 103,000 |
| Andrew Dakos President and CEO, Director | Apr 16, 2026 | Buy | +547 | $6.04 | $3.30K | 40,000 |
| Andrew Dakos President and CEO, Director | Apr 8, 2026 | Buy | +4,000 | $5.98 | $23.92K | 94,282 |
| Andrew Dakos President and CEO, Director | Apr 7, 2026 | Buy | +2,000 | $5.95 | $11.90K | 90,282 |
| Andrew Dakos President and CEO, Director | Apr 6, 2026 | Buy | +100 | $5.95 | $595 | 88,282 |
| Andrew Dakos President and CEO, Director | Apr 2, 2026 | Buy | +4,863 | $5.93 | $28.84K | 88 |
| Andrew Dakos President and CEO, Director | Mar 30, 2026 | Buy | +5,300 | $5.91 | $31.32K | 83,319 |
| Andrew Dakos President and CEO, Director | Mar 27, 2026 | Buy | +5,900 | $5.92 | $34.93K | 78,019 |
| Andrew Dakos President and CEO, Director | Mar 24, 2026 | Buy | +5,000 | $5.96 | $29.80K | 72,119 |
| Andrew Dakos President and CEO, Director | Mar 24, 2026 | Buy | +1,000 | $5.95 | $5.95K | 73,119 |
| Phillip Goldstein Secretary, Director | Mar 18, 2026 | Buy | +10,000 | $5.98 | $59.80K | 113,234 |
| Andrew Dakos President and CEO, Director | Mar 12, 2026 | Buy | +3,324 | $6.00 | $19.94K | 67,119 |
| Andrew Dakos President and CEO, Director | Mar 11, 2026 | Buy | +1,700 | $6.00 | $10.20K | 63,795 |
| Andrew Dakos President and CEO, Director | Mar 6, 2026 | Buy | +12,500 | $5.97 | $74.63K | 62,095 |
| Phillip Goldstein Secretary, Director | Mar 5, 2026 | Buy | +10,000 | $5.99 | $59.90K | 103,234 |
| Andrew Dakos President and CEO, Director | Mar 5, 2026 | Buy | +12,000 | $6.01 | $72.12K | 49,595 |
| Phillip Goldstein Secretary, Director | Mar 3, 2026 | Buy | +5,000 | $6.01 | $30.05K | 93,234 |
| Andrew Dakos President and CEO, Director | Mar 2, 2026 | Buy | +5,000 | $6.15 | $30.75K | 27,677 |
| Andrew Dakos President and CEO, Director | Mar 2, 2026 | Buy | +9,918 | $5.95 | $59.01K | 37,595 |
| Phillip Goldstein Secretary, Director | Feb 27, 2026 | Small purchase | +68 | $6.16 | $419 | 88,234 |
| Andrew Dakos President and CEO, Director | Feb 27, 2026 | Buy | +2,000 | $6.20 | $12.40K | 22,677 |
| Phillip Goldstein Secretary, Director | Feb 26, 2026 | Small purchase | +256 | $6.16 | $1.58K | 88,166 |
| Andrew Dakos President and CEO, Director | Feb 26, 2026 | Buy | +5,000 | $6.17 | $30.85K | 20,677 |
| Andrew Dakos President and CEO, Director | Feb 24, 2026 | Buy | +326 | $6.14 | $2.00K | 14,329 |
| Andrew Dakos President and CEO, Director | Feb 24, 2026 | Buy | +1,348 | $6.17 | $8.32K | 15,677 |
| Andrew Dakos President and CEO, Director | Feb 23, 2026 | Buy | +2,000 | $6.14 | $12.28K | 12,003 |
| Andrew Dakos President and CEO, Director | Feb 23, 2026 | Buy | +2,000 | $6.13 | $12.26K | 14,003 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.