Security key
870875101
Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q4 2014 13F Holders as of 31 Dec 2014
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 14,166,317
- Share change
- +545,360
- Total reported value
- $157,812,241
- Price per share
- $11.14
- Number of holders
- 54
- Value change
- +$5,555,366
- Number of buys
- 20
- Number of sells
- 18
Report period
Q4 2014
Institutions
54
Top holders
10
SWZ full security history
Newer quarter: Q1 2015
Previous quarter: Q3 2014
Total Return Securities Fund SEC filings
Broader feeds
Reporting periods
Holder history for CUSIP 870875101
Recent filing periods:
Top shareholders of SWZ - Total Return Securities Fund - Mutual Fund SH CL B (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
27%
|
3,456,855
|
$46,771,000 | — | 30 Sep 2014 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
26%
|
3,336,395
|
$45,141,000 | — | 30 Sep 2014 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
14%
|
1,773,837
|
$24,001,000 | — | 30 Sep 2014 | |
| Bulldog Investors, LLP |
13F
|
Company |
13%
|
1,738,973
|
$23,528,000 | — | 30 Sep 2014 | |
| Karpus Management, Inc. |
13F
|
Company |
10%
|
1,343,624
|
$18,179,000 | — | 30 Sep 2014 | |
| Grantham, Mayo, Van Otterloo & Co. LLC |
13F
|
Company |
3%
|
388,876
|
$5,261,000 | — | 30 Sep 2014 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
1.7%
|
220,223
|
$2,979,000 | — | 30 Sep 2014 | |
| Cutter & CO Brokerage, Inc. |
13F
|
Company |
0.9%
|
116,967
|
$1,583,000 | — | 30 Sep 2014 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.87%
|
113,752
|
$1,539,000 | — | 30 Sep 2014 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
0.73%
|
95,004
|
$1,287,000 | — | 30 Sep 2014 | |
| MORGAN STANLEY |
13F
|
Company |
0.71%
|
91,940
|
$1,244,000 | — | 30 Sep 2014 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.68%
|
87,852
|
$1,188,000 | — | 30 Sep 2014 | |
| Gramercy Funds Management LLC |
13F
|
Company |
0.62%
|
80,288
|
$1,086,000 | — | 30 Sep 2014 | |
| GARDNER RUSSO & QUINN LLC |
13F
|
Company |
0.55%
|
71,097
|
$962,000 | — | 30 Sep 2014 | |
| Cutler Capital Management, LLC |
13F
|
Company |
0.51%
|
66,617
|
$901,000 | — | 30 Sep 2014 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.49%
|
63,593
|
$860,000 | — | 30 Sep 2014 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.46%
|
60,415
|
$817,000 | — | 30 Sep 2014 | |
| CSS LLC/IL |
13F
|
Company |
0.46%
|
60,238
|
$815,000 | — | 30 Sep 2014 | |
| BNP PARIBAS FINANCIAL MARKETS |
13F
|
Company |
0.44%
|
57,849
|
$782,697 | — | 30 Sep 2014 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.43%
|
56,488
|
$764,000 | — | 30 Sep 2014 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.43%
|
56,152
|
$760,000 | — | 30 Sep 2014 | |
| ATHERTON LANE ADVISERS, LLC |
13F
|
Company |
0.4%
|
52,004
|
$704,000 | — | 30 Sep 2014 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.31%
|
40,909
|
$553,000 | — | 30 Sep 2014 | |
| McAdams Wright Ragen, Inc. |
13F
|
Company |
0.27%
|
35,507
|
$480,000 | — | 30 Sep 2014 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.26%
|
33,681
|
$456,000 | — | 30 Sep 2014 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
0.24%
|
31,650
|
$428,000 | — | 30 Sep 2014 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.23%
|
29,335
|
$397,000 | — | 30 Sep 2014 | |
| SHUFRO ROSE & CO LLC |
13F
|
Company |
0.22%
|
28,886
|
$390,000 | — | 30 Sep 2014 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.15%
|
19,947
|
$270,000 | — | 30 Sep 2014 | |
| SII INVESTMENTS INC/WI |
13F
|
Company |
0.15%
|
19,185
|
$261,000 | — | 30 Sep 2014 | |
| UBS AG |
13F
|
Company |
0.15%
|
18,885
|
$256,000 | — | 30 Sep 2014 | |
| TRUIST FINANCIAL CORP |
13F
|
Company |
0.14%
|
17,900
|
$242,000 | — | 30 Sep 2014 | |
| Ancora Advisors LLC |
13F
|
Company |
0.13%
|
17,432
|
$236,000 | — | 30 Sep 2014 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.13%
|
16,488
|
$223,000 | — | 30 Sep 2014 | |
| LPL Financial LLC |
13F
|
Company |
0.12%
|
15,400
|
$206,000 | — | 30 Sep 2014 | |
| Yakira Capital Management, Inc. |
13F
|
Company |
0.11%
|
14,517
|
$196,000 | — | 30 Sep 2014 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.11%
|
14,002
|
$189,000 | — | 30 Sep 2014 | |
| SOL Capital Management CO |
13F
|
Company |
0.09%
|
12,227
|
$165,000 | — | 30 Sep 2014 | |
| ADVISOR PARTNERS LLC |
13F
|
Company |
0.09%
|
12,059
|
$163,000 | — | 30 Sep 2014 | |
| Wilmington Savings Fund Society, FSB |
13F
|
Company |
0.09%
|
11,771
|
$159,000 | — | 30 Sep 2014 | |
| CMT TRADING LLC |
13F
|
Company |
0.08%
|
10,235
|
$138,000 | — | 30 Sep 2014 | |
| CITIGROUP INC |
13F
|
Company |
0.03%
|
3,543
|
$48,000 | — | 30 Sep 2014 | |
| FIRST MANHATTAN CO. LLC. |
13F
|
Company |
0.02%
|
2,915
|
$39,000 | — | 30 Sep 2014 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.02%
|
2,573
|
$35,000 | — | 30 Sep 2014 | |
| WFG Advisors, LP |
13F
|
Company |
0.01%
|
1,930
|
$26,000 | — | 30 Sep 2014 | |
| Community Financial Services Group, LLC |
13F
|
Company |
0.01%
|
1,640
|
$22,000 | — | 30 Sep 2014 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.01%
|
1,491
|
$20,000 | — | 30 Sep 2014 | |
| MUFG Americas Holdings Corp |
13F
|
Company |
0.01%
|
1,000
|
$14,000 | — | 30 Sep 2014 | |
| AMERIPRISE FINANCIAL INC |
13F
|
Company |
0.01%
|
900
|
$12,000 | — | 30 Sep 2014 | |
| US BANCORP \DE\ |
13F
|
Company |
0.01%
|
734
|
$10,000 | — | 30 Sep 2014 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q4 2014
As of 31 Dec 2014,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
54 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
14,166,317 shares.
The largest 10 holders included
LAZARD ASSET MANAGEMENT LLC, 1607 Capital Partners, LLC, WELLS FARGO & COMPANY/MN, Karpus Management, Inc., Bulldog Investors, LLC, Weiss Asset Management LP, Grantham, Mayo, Van Otterloo & Co. LLC, TFS CAPITAL LLC, MORGAN STANLEY, and BANK OF AMERICA CORP /DE/.
This page lists
54
institutional shareholders reporting positions in this security
for the Q4 2014 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2014 vs Q3 2014 Across Filers
Q3 2014 holders
53
Q4 2014 holders
54
Holder diff
1
| Investor | Q3 2014 Shares | Q4 2014 Shares | Share Diff | Share Chg % | Q3 2014 Value $ | Q4 2014 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.