Welcome to our dedicated page for Total Return Securities Fund SEC filings (Ticker: SWZ), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Total Return Securities Fund (NYSE: SWZ), formerly The Swiss Helvetia Fund, Inc., files regulatory documents with the U.S. Securities and Exchange Commission that describe its activities as a non-diversified, closed-end investment company. These filings include registration statements related to rights offerings, tender offer statements on Schedule TO for self-tender offers, and other materials that set out the terms and conditions of capital actions approved by the Board of Directors.
When the Fund initiates a non-transferable rights offering, it files a registration statement on Form N-2 describing the issuance of rights to existing stockholders, the subscription price expressed as a percentage of net asset value, the record and expiration dates, and the ability of fully subscribing rights holders to request additional shares subject to allotment. Similarly, when the Fund commences a tender offer to repurchase a portion of its outstanding shares at a price based on net asset value, it files a tender offer statement on Schedule TO that includes an offer to purchase, a letter of transmittal, and other related documents.
On Stock Titan’s SEC filings page for SWZ, users can access these types of documents as they are made available through the SEC’s EDGAR system. AI-powered summaries help explain the key points of lengthy filings, such as how a rights offering is structured, what percentage of shares a tender offer targets, and how distributions or special cash payments are described in official materials. Real-time updates ensure that new filings, amendments, and related disclosures appear promptly.
Investors can use this page to review the Fund’s formal communications about changes to its investment objective, name change to Total Return Securities Fund, managed distribution plan details, and capital management actions. AI-generated highlights can make it easier to understand complex legal language, while direct access to original filings allows for deeper review of the Fund’s regulatory history.
Total Return Securities Fund director and CEO Andrew Dakos reported a series of open‑market purchases of the fund’s common stock. A limited partnership associated with him bought 3,000 shares at $6.09, 3,000 shares at $6.05, and 4,718 shares at $6.06. Separately, he directly bought 547 shares at $6.04. Following these trades, indirect holdings reported for the limited partnership were 106,000 shares and his direct holdings were 40,000 shares. Dakos disclaims beneficial ownership of the partnership’s shares except to the extent of any pecuniary interest.
CSS LLC amended its Schedule 13G to report beneficial ownership of 1,020,547 shares of Total Return Securities Fund, representing 7.866% of the class (CUSIP 870875101). The filing states CSS LLC has sole voting and sole dispositive power over all reported shares. The amendment is signed by Mitchell R. Bialek on 04/15/2026.
Allspring Global Investments Holdings, LLC reports beneficial ownership of 650,702 shares of Total Return Securities Fund, Mutual Fund SH CL B, representing 5.0% of the class. The filer reports 605,795 shares with sole voting power and 650,702 shares with sole dispositive power. The filing is an amendment signed by a Senior Compliance Manager and lists affiliated adviser subsidiaries in Exhibit A.
Total Return Securities Fund director and President/CEO Andrew Dakos reported indirect open-market purchases of the fund’s common stock through a limited partnership in which he has a beneficial interest. The partnership bought 2,000 shares at $5.95 and 4,000 shares at $5.975, totaling 6,000 shares.
After these transactions, the limited partnership held 94,282 shares indirectly associated with Dakos, while he also held 39,453 shares directly. A footnote states he disclaims beneficial ownership of the partnership-held shares except to the extent of his pecuniary interest.
Total Return Securities Fund reported that an entity associated with President and CEO Andrew Dakos made open-market purchases of the fund’s common stock. A limited partnership in which he has a beneficial interest bought a total of 4,963 shares in early April.
The partnership acquired 4,863 shares at a weighted average price of $5.928 per share on April 2 and 100 shares at $5.95 per share on April 6. A separate entry shows Dakos directly holding 39,453 common shares as of April 2. He disclaims beneficial ownership of the partnership-held shares beyond his pecuniary interest.
Total Return Securities Fund director HARRIS BEN H filed an initial Form 3 reporting his beneficial ownership in the fund’s Common Stock. The filing shows he directly owns 0 shares of Common Stock following the reported date of 2026-04-01.
Total Return Securities Fund President and CEO Andrew Dakos is linked to recent open-market buying of the fund’s common stock through a limited partnership. The partnership bought 5,900 shares at $5.92 per share and 5,300 shares at $5.908 per share, totaling 11,200 shares. These are reported as indirect holdings, with Mr. Dakos disclaiming beneficial ownership except for his pecuniary interest. After these trades, the partnership holds 83,319 shares, while a separate direct holding entry shows 39,453 shares in his name.
Total Return Securities Fund reported that a limited partnership associated with President and CEO Andrew Dakos made two open-market purchases of Common Stock. The partnership bought 5,000 shares at $5.96 per share and 1,000 shares at $5.95 per share. Following these trades, indirect holdings related to Dakos totaled 73,119 shares, and his direct holdings were 39,453 shares. Dakos has a beneficial interest in the partnership and disclaims beneficial ownership beyond his pecuniary interest. No derivative securities were reported.
Total Return Securities Fund director and secretary Phillip Goldstein made an open-market purchase of 10,000 common shares at $5.98 per share. After this transaction, he directly owns 113,234 shares. The buy increased his direct holdings by roughly a tenth, signaling a larger personal stake in the fund.
Total Return Securities Fund reported insider activity involving President and CEO Andrew Dakos. An entity described as a limited partnership associated with Dakos made open-market purchases of the fund’s common stock, buying 1,700 shares on March 11, 2026 and 3,324 shares on March 12, 2026 at $6.00 per share. Following these indirect purchases, the limited partnership held 67,119 shares. A separate line shows Dakos with direct ownership of 39,453 shares as of March 11, 2026. The filing notes these limited partnership shares are held by a partnership in which Dakos has a beneficial interest, and he disclaims beneficial ownership except to the extent of any pecuniary interest.