SEC Form 4 · accession 0001012975-18-000498
Total Return Securities Fund · SWZ
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Andrew Dakos
Director
Period of report
Jun 6, 2018
Accepted (ET)
Jun 8, 2018 · 4:02 pm EDT
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 | Jun 6, 2018 | J | 54,549 | $0.00 | D | 1,288,630 | I | By Clients |
| Common Stock | holding | — | — | — | 792 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares of SWZ are held in the account of a private investment fund client of Bulldog Investors, LLC. Bulldog Investors no longer is deemed to have a pecuniary interest in this account as of June 1, 2018, and, as a result, such shares no longer will be reported on Mr. Dakos' Form 4.
- F2Certain private investment fund clients of Bulldog Investors 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.