SEC Form 4 · accession 0000899243-18-029608
Total Return Securities Fund · SWZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip Goldstein
Director
Period of report
Nov 20, 2018
Accepted (ET)
Nov 23, 2018 · 9:06 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000813623
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF2 | Nov 20, 2018 | D | 1,782,348 | $7.86 | D | 104,660 | I | By Clients |
| Common Stock | Nov 20, 2018 | D | 17,633 | $7.86 | D | 1,050 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Disposed of to The Swiss Helvetia Fund, Inc. (the "Fund") pursuant to an issuer tender offer.
- F2Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of the Fund's common stock deemed to be beneficially owned by Mr. Goldstein as a result of his pecuniary interest therein. Mr. Goldstein is a controlling member of Bulldog Investors, LLC, a principal of the general partner of certain of these private investment fund clients, and a limited partner in certain of these private fund clients. Mr. Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.