Dakos Andrew's Form 4 filing
Total Return Securities Fund (SWZ) · filed Apr 20, 2026
- Accession no.
- 0001398344-26-006721
- Filed
- Apr 20, 2026
- Trade date
- Apr 16-17, 2026
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions. Open-market purchases total $68.3K. 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 |
|---|---|
| Dakos AndrewCIK 0001341021 | Director, Officer (President and CEO), Other: Affiliate of 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 16, 2026 | Common Stock | PPurchaseAcquired | +4,718 | $6.06 | +$28,591.08 | 100,000 | Indirect | |
| Apr 16, 2026 | Common Stock | PPurchaseAcquired | +3,000 | $6.05 | +$18,150 | 103,000 | Indirect | |
| Apr 16, 2026 | Common Stock | PPurchaseAcquired | +547 | $6.04 | +$3,303.88 | 40,000 | Direct | |
| Apr 17, 2026 | Common Stock | PPurchaseAcquired | +3,000 | $6.09 | +$18,270 | 106,000 | 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.