SEC Form 4 · accession 0001012975-18-000216
Total Return Securities Fund · SWZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Dakos
Director
Period of report
Feb 16, 2018
Accepted (ET)
Feb 21, 2018 · 2:32 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 Stock | Feb 16, 2018 | P | 500 | $12.8443 | A | 792 | D | |
| Common StockF1 | Feb 20, 2018 | P | 5,700 | $12.7382 | A | 1,343,179 | I | By Clients |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares of SWZ deemed to be beneficially owned by Mr. Dakos as a result of his pecuniary interest therein. Mr. Dakos is a controlling member of Bulldog Investors, 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. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.