Goldstein Phillip's Form 4 filing
Total Return Securities Fund (SWZ) · filed Jul 6, 2021
- Accession no.
- 0001398344-21-014028
- Filed
- Jul 6, 2021
- Trade date
- Jul 2, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 0 derivative transactions. Open-market sales total $11.9K. It was filed 4 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Goldstein PhillipCIK 0001067621 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jul 2, 2021 | Common Stock | SSaleDisposed | −1,212 | $9.79 | −$11,865.48 | 16,783 | Direct |
Footnotes
Livermore does not store Form 4 footnotes. For price ranges, how indirect holdings are held and trading plan details, read the original on SEC EDGAR.