Dakos Andrew's Form 4 filing
Total Return Securities Fund (SWZ) · filed Feb 4, 2022
- Accession no.
- 0001398344-22-002177
- Filed
- Feb 4, 2022
- Trade date
- Feb 2-3, 2022
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions. Open-market purchases total $9.34K. It was filed 2 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 |
|---|---|
| Dakos AndrewCIK 0001341021 | Director, Officer (President and CEO) |
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 |
|---|---|---|---|---|---|---|---|---|
| Feb 2, 2022 | Common Stock | PPurchaseAcquired | +428 | $9.38 | +$4,014.64 | 1,428 | Indirect | |
| Feb 3, 2022 | Common Stock | PPurchaseAcquired | +572 | $9.31 | +$5,325.32 | 2,000 | Indirect |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.