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SWZ Insider Trading and Fund Holdings (Total Return Securities Fund) · https://wallstpal.com/stock/swz/ · saved 2026-10-28

About this page

Insider trades reported on SEC Form 4: when the people who run a company buy or sell its shares with their own money.

How to read it

Form 4
The form a company insider (officer, director or owner of more than 10%) must file with the SEC within two business days of buying or selling the company's shares.
Buy (P) and Sell (S)
Open-market purchases and sales. Gifts, option exercises and automatic tax withholding are left out because they say little about what the insider thinks.
Value
Shares times price, as reported on the filing.
10b5-1
A trade made under a plan set up in advance. Planned sales are common and usually say less than an unplanned purchase.
Late filing
A Form 4 filed more than two business days after the trade.
Vs. S&P 500
How the stock did after the trade minus how the overall market did in the same weeks.

A real example

In January 2016, when bank stocks were falling, JPMorgan Chase CEO Jamie Dimon bought 500,000 JPMorgan shares with his own money, worth about $26 million. His Form 4 made the purchase public within days, and investors read it as a strong sign of confidence.

Explain it like I'm 13

If the coach of a team bets his own allowance that his team will win, that tells you something. A Form 4 is the note a company boss must hand in whenever he buys or sells his own company's shares, so everyone can see it.

Data from public SEC filings and congressional reports. Information, not investment advice. Check every number against the filing linked on the page.

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StockCIK 813623

Total Return Securities Fund (SWZ): Insider Trades and Fund Holdings

In the past 12 months, Total Return Securities Fund insiders reported 20 open-market purchases worth $336K and no sales.

20Insider buys, 12 months
$336KBought by insiders, 12 months
$0Sold by insiders, 12 months
0Tracked funds holding

Timeline: news and trades

Company filings (8-K), insider trades, notices of planned sales (Form 144), Congress trades and fund moves in the past year, newest first.

  1. Oct 8, 2026Insider buySecretary Phillip Goldstein bought $28,637
  2. Sep 28, 2026Insider buyDirector Moritz A. Sell bought $11,530
  3. Sep 28, 2026Insider buyCEO Andrew Dakos bought $57,690
  4. Sep 25, 2026Insider buyCEO Andrew Dakos bought $58,124
  5. Aug 31, 2026Insider buyDirector Moritz A. Sell bought $17,940
  6. Aug 24, 2026Insider buySecretary Rajeev P. Das bought $8,100
  7. Aug 21, 2026Insider buySecretary Rajeev P. Das bought $10,080
  8. Aug 10, 2026Insider buyDirector Moritz A. Sell bought $5,910
  9. Jul 23, 2026Insider buyDirector Moritz A. Sell bought $11,720
  10. Jul 22, 2026Insider buyDirector Moritz A. Sell bought $3,050
  11. Jul 21, 2026Insider buyDirector Moritz A. Sell bought $2,850
  12. Jul 20, 2026Insider buyDirector Moritz A. Sell bought $5,930
  13. Jul 6, 2026Insider buySecretary Phillip Goldstein bought $35,581
  14. Jul 2, 2026Insider buyCEO Andrew Dakos bought $29,601
  15. Jun 29, 2026Insider buyDirector Moritz A. Sell bought $11,850
  16. Jun 26, 2026Insider buyDirector Moritz A. Sell bought $12,306
  17. Jun 18, 2026Insider buyDirector Moritz A. Sell bought $10,951
  18. Jun 17, 2026Insider buyDirector Moritz A. Sell bought $869
  19. Jun 16, 2026Insider buyDirector Moritz A. Sell bought $11,920
  20. Jun 15, 2026Insider buyDirector Moritz A. Sell bought $922

Recent insider trades

Open-market purchases (code P) and sales (code S) from Form 4. Grants, option exercises and gifts are not shown. Latest filing: Oct 13, 2026.

Recent SWZ insider trades
FiledTradedInsiderRoleTypeSharesPrice ($)ValueScoreHoldingFiling
Oct 13Oct 8Phillip GoldsteinSecretarySecretary▲ BUY5,0005.73$29K32+4.2%Form 4 ↗
Sep 30Sep 28Moritz A. SellDirectorDirector▲ BUY2,0005.76$12K30+7.1%Form 4 ↗
Sep 29Sep 25Andrew DakosCEOCEO▲ BUY10,0005.81$58K50+25%Form 4 ↗
Sep 29Sep 28Andrew DakosCEOCEO▲ BUY10,0005.77$58K50+20%Form 4 ↗
Sep 1Aug 31Moritz A. SellDirectorDirector▲ BUY3,0005.98$18K34+12%Form 4 ↗
Aug 25Aug 21Rajeev P. DasSecretarySecretary▲ BUY1,7005.93$10K41+509%Form 4 ↗
Aug 25Aug 24Rajeev P. DasSecretarySecretary▲ BUY1,3665.93$8K41+67%Form 4 ↗
Aug 12Aug 10Moritz A. SellDirectorDirector▲ BUY1,0005.91$6K20+4.1%Form 4 ↗
Jul 24Jul 23Moritz A. SellDirectorDirector▲ BUY2,0005.86$12K30+9.0%Form 4 ↗
Jul 24Jul 22Moritz A. SellDirectorDirector▲ BUY5175.90$3K26+2.4%Form 4 ↗
Source: SEC Form 4 filings, retrieved Oct 28, 2026. How we read filings
All 20 SWZ insider trades →

Insiders who traded in the past year

InsiderRoleBuysBoughtSellsSoldLatest
Phillip GoldsteinSecretary2$64K0$0Oct 13, 2026
Moritz A. SellDirector13$108K0$0Sep 30, 2026
Andrew DakosCEO3$145K0$0Sep 29, 2026
Rajeev P. DasSecretary2$18K0$0Aug 25, 2026
Strongest purchase, 12 months

50 Andrew Dakos (CEO), 2026-09-25. What the score means

Filing quality

A All 20 insider trades reported on time. How it is graded

Reading these numbers

Insiders sell for many reasons: taxes, diversification, a house. Purchases with their own money are rarer and are usually read as more informative. A Form 4 is due within two business days of the trade. How to read a Form 4 →