Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q3 2016 13F Holders as of 30 Sep 2016
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 16,099,332
- Share change
- +52,405
- Total reported value
- $172,102,890
- Price per share
- $10.69
- Number of holders
- 56
- Value change
- +$604,381
- Number of buys
- 20
- Number of sells
- 26
Quarterly Holders Quick Answers
What is CUSIP 870875101?
CUSIP 870875101 identifies SWZ - Total Return Securities Fund - Mutual Fund SH CL B in SEC institutional holdings data.
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Recent filing periods for CUSIP 870875101:
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 by the holder's primary source 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 |
|---|---|---|---|---|---|---|---|---|
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
30%
|
3,919,398
|
$40,565,000 | — | 30 Jun 2016 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
29%
|
3,817,501
|
$39,511,000 | — | 30 Jun 2016 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
25%
|
3,221,089
|
$33,338,000 | — | 30 Jun 2016 | |
| Karpus Management, Inc. |
13F
|
Company |
14%
|
1,783,806
|
$18,462,000 | — | 30 Jun 2016 | |
| Bulldog Investors, LLP |
13F
|
Company |
7.8%
|
1,010,103
|
$10,454,000 | — | 30 Jun 2016 | |
| Gramercy Funds Management LLC |
13F
|
Company |
3.1%
|
407,936
|
$4,222,000 | — | 30 Jun 2016 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
1.4%
|
180,194
|
$1,865,000 | — | 30 Jun 2016 | |
| CITIGROUP INC |
13F
|
Company |
1%
|
136,540
|
$1,414,000 | — | 30 Jun 2016 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
1%
|
135,297
|
$1,400,000 | — | 30 Jun 2016 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
0.95%
|
124,190
|
$1,285,000 | — | 30 Jun 2016 | |
| Cutler Capital Management, LLC |
13F
|
Company |
0.93%
|
121,460
|
$1,257,000 | — | 30 Jun 2016 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.81%
|
105,534
|
$1,093,000 | — | 30 Jun 2016 | |
| GAM Holding AG |
13F
|
Company |
0.73%
|
95,134
|
$985,000 | — | 30 Jun 2016 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.6%
|
77,657
|
$803,000 | — | 30 Jun 2016 | |
| CSS LLC/IL |
13F
|
Company |
0.56%
|
73,399
|
$760,000 | — | 30 Jun 2016 | |
| SII INVESTMENTS INC/WI |
13F
|
Company |
0.53%
|
69,519
|
$718,000 | — | 30 Jun 2016 | |
| AMICA MUTUAL INSURANCE CO |
13F
|
Company |
0.5%
|
64,886
|
$672,000 | — | 30 Jun 2016 | |
| J.P. Morgan Private Wealth Advisors LLC |
13F
|
Company |
0.49%
|
63,636
|
$658,000 | — | 30 Jun 2016 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.45%
|
58,886
|
$609,000 | — | 30 Jun 2016 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.44%
|
56,977
|
$590,000 | — | 30 Jun 2016 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.35%
|
45,782
|
$474,000 | — | 30 Jun 2016 | |
| Peak Asset Management, LLC |
13F
|
Company |
0.32%
|
41,699
|
$432,000 | — | 30 Jun 2016 | |
| MORGAN STANLEY |
13F
|
Company |
0.28%
|
35,815
|
$370,000 | — | 30 Jun 2016 | |
| AQR Arbitrage LLC |
13F
|
Company |
0.25%
|
32,878
|
$340,000 | — | 30 Jun 2016 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.25%
|
32,027
|
$331,000 | — | 30 Jun 2016 | |
| AMICA PENSION FUND BOARD OF TRUSTEES |
13F
|
Company |
0.24%
|
30,990
|
$321,000 | — | 30 Jun 2016 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.23%
|
29,935
|
$310,000 | — | 30 Jun 2016 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.19%
|
24,947
|
$258,000 | — | 30 Jun 2016 | |
| Ancora Advisors LLC |
13F
|
Company |
0.14%
|
17,718
|
$183,000 | — | 30 Jun 2016 | |
| CMT TRADING LLC |
13F
|
Company |
0.13%
|
16,825
|
$174,000 | — | 30 Jun 2016 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.12%
|
16,087
|
$167,000 | — | 30 Jun 2016 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.12%
|
15,976
|
$165,000 | — | 30 Jun 2016 | |
| TOCQUEVILLE ASSET MANAGEMENT L.P. |
13F
|
Company |
0.12%
|
15,576
|
$161,000 | — | 30 Jun 2016 | |
| LPL Financial LLC |
13F
|
Company |
0.12%
|
15,763
|
$158,000 | — | 30 Jun 2016 | |
| UBS Group AG |
13F
|
Company |
0.11%
|
14,632
|
$152,000 | — | 30 Jun 2016 | |
| SOL Capital Management CO |
13F
|
Company |
0.09%
|
11,929
|
$123,000 | — | 30 Jun 2016 | |
| Wilmington Savings Fund Society, FSB |
13F
|
Company |
0.09%
|
11,771
|
$122,000 | — | 30 Jun 2016 | |
| TRUIST FINANCIAL CORP |
13F
|
Company |
0.08%
|
10,929
|
$113,000 | — | 30 Jun 2016 | |
| Bank of New York Mellon Corp |
13F
|
Company |
0.08%
|
10,514
|
$109,000 | — | 30 Jun 2016 | |
| Kelman-Lazarov, Inc. |
13F
|
Company |
0.08%
|
10,387
|
$107,298 | — | 30 Jun 2016 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.08%
|
10,307
|
$107,000 | — | 30 Jun 2016 | |
| FineMark National Bank & Trust |
13F
|
Company |
0.08%
|
10,028
|
$104,000 | — | 30 Jun 2016 | |
| Amica Retiree Medical Trust |
13F
|
Company |
0.04%
|
4,874
|
$50,000 | — | 30 Jun 2016 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.03%
|
3,510
|
$37,000 | — | 30 Jun 2016 | |
| Smithfield Trust Co |
13F
|
Company |
0.02%
|
2,780
|
$29,000 | — | 30 Jun 2016 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.02%
|
2,372
|
$25,000 | — | 30 Jun 2016 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.02%
|
2,316
|
$24,000 | — | 30 Jun 2016 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.01%
|
1,729
|
$18,000 | — | 30 Jun 2016 | |
| MUFG Americas Holdings Corp |
13F
|
Company |
0.01%
|
1,594
|
$16,000 | — | 30 Jun 2016 | |
| Creative Planning |
13F
|
Company |
0.01%
|
1,069
|
$11,000 | — | 30 Jun 2016 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q3 2016
As of 30 Sep 2016,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
56 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
16,099,332 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, LAZARD ASSET MANAGEMENT LLC, Karpus Management, Inc., Bulldog Investors, LLC, Gramercy Funds Management LLC, JOHN G ULLMAN & ASSOCIATES INC, BANK OF AMERICA CORP /DE/, Commonwealth Equity Services, Inc, and Cutler Capital Management, LLC.
This page lists
56
institutional shareholders reporting positions in this security
for the Q3 2016 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2016 vs Q2 2016 Across Filers
Q2 2016 holders
58
Q3 2016 holders
56
Holder diff
-2
| Investor | Q2 2016 Shares | Q3 2016 Shares | Share Diff | Share Chg % | Q2 2016 Value $ | Q3 2016 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.