Dakos Andrew's Form 4 filing
Total Return Securities Fund (SWZ) · filed Sep 29, 2026
- Accession no.
- 0001398344-26-017532
- Filed
- Sep 29, 2026, 4:05 PM ET
- Trade date
- Sep 25-28, 2026
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not checked
This filing lists 4 non-derivative transactions. Open-market purchases total $115.8K. 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 |
|---|---|---|---|---|---|---|---|---|
| Sep 25, 2026 | Common Stock | PPurchaseAcquired | +7,649 | $5.81 | +$44,440.69 | 47,649 | Direct | |
| Sep 25, 2026 | Common Stock | PPurchaseAcquired | +2,351 | $5.82 | +$13,682.82 | 50,000 | Direct | |
| Sep 28, 2026 | Common Stock | PPurchaseAcquired | +1,000 | $5.76 | +$5,760 | 51,000 | Direct | |
| Sep 28, 2026 | Common Stock | PPurchaseAcquired | +9,000 | $5.77 | +$51,930 | 60,000 | 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.