Goldstein Phillip's Form 4 filing
Total Return Securities Fund (SWZ) · filed Mar 5, 2026
- Accession no.
- 0001398344-26-004532
- Filed
- Mar 5, 2026
- Trade date
- Feb 26-Mar 3, 2026
- Filing delay
- 7 daysLate
- Rule 10b5-1 plan
- Not checked
This filing lists 3 non-derivative transactions. Open-market purchases total $30.1K. It was filed 7 days after the trade, past the 2-business-day deadline.
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, Officer (Secretary), Other: Affiliate of the Adviser |
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 26, 2026 | Common Stock | LLess common codeAcquired | +256 | $6.16 | +$1,576.96 | 88,166 | Direct | |
| Feb 27, 2026 | Common Stock | LLess common codeAcquired | +68 | $6.16 | +$418.88 | 88,234 | Direct | |
| Mar 3, 2026 | Common Stock | PPurchaseAcquired | +5,000 | $6.01 | +$30,050 | 93,234 | Direct |
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.