Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q4 2016 13F Holders as of 31 Dec 2016
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 16,013,622
- Share change
- -85,829
- Total reported value
- $163,497,746
- Price per share
- $10.21
- Number of holders
- 59
- Value change
- -$1,042,615
- Number of buys
- 25
- Number of sells
- 21
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 |
31%
|
3,995,507
|
$42,711,000 | — | 30 Sep 2016 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
29%
|
3,823,873
|
$40,877,000 | — | 30 Sep 2016 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
22%
|
2,862,002
|
$30,594,000 | — | 30 Sep 2016 | |
| Karpus Management, Inc. |
13F
|
Company |
13%
|
1,730,148
|
$18,495,000 | — | 30 Sep 2016 | |
| Bulldog Investors, LLP |
13F
|
Company |
13%
|
1,700,751
|
$18,181,000 | — | 30 Sep 2016 | |
| Gramercy Funds Management LLC |
13F
|
Company |
2%
|
264,503
|
$2,828,000 | — | 30 Sep 2016 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
1.7%
|
217,368
|
$2,324,000 | — | 30 Sep 2016 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
1.4%
|
177,186
|
$1,894,000 | — | 30 Sep 2016 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
1.1%
|
139,598
|
$1,492,000 | — | 30 Sep 2016 | |
| Cutler Capital Management, LLC |
13F
|
Company |
0.95%
|
123,865
|
$1,324,000 | — | 30 Sep 2016 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.81%
|
105,534
|
$1,128,000 | — | 30 Sep 2016 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.58%
|
75,527
|
$808,000 | — | 30 Sep 2016 | |
| CSS LLC/IL |
13F
|
Company |
0.58%
|
74,854
|
$800,000 | — | 30 Sep 2016 | |
| SII INVESTMENTS INC/WI |
13F
|
Company |
0.53%
|
68,357
|
$731,000 | — | 30 Sep 2016 | |
| AMICA MUTUAL INSURANCE CO |
13F
|
Company |
0.5%
|
64,886
|
$694,000 | — | 30 Sep 2016 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.47%
|
61,715
|
$660,000 | — | 30 Sep 2016 | |
| GAM Holding AG |
13F
|
Company |
0.37%
|
48,510
|
$519,000 | — | 30 Sep 2016 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.35%
|
45,718
|
$489,000 | — | 30 Sep 2016 | |
| Peak Asset Management, LLC |
13F
|
Company |
0.32%
|
42,216
|
$451,000 | — | 30 Sep 2016 | |
| CITIGROUP INC |
13F
|
Company |
0.29%
|
37,970
|
$406,000 | — | 30 Sep 2016 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.25%
|
32,572
|
$348,000 | — | 30 Sep 2016 | |
| J.P. Morgan Private Wealth Advisors LLC |
13F
|
Company |
0.24%
|
31,818
|
$340,000 | — | 30 Sep 2016 | |
| AMICA PENSION FUND BOARD OF TRUSTEES |
13F
|
Company |
0.24%
|
30,990
|
$331,000 | — | 30 Sep 2016 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.23%
|
29,967
|
$320,000 | — | 30 Sep 2016 | |
| ICON ADVISERS INC/CO |
13F
|
Company |
0.21%
|
27,217
|
$291,000 | — | 30 Sep 2016 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.19%
|
24,947
|
$267,000 | — | 30 Sep 2016 | |
| MORGAN STANLEY |
13F
|
Company |
0.16%
|
20,631
|
$220,000 | — | 30 Sep 2016 | |
| AQR Arbitrage LLC |
13F
|
Company |
0.14%
|
18,215
|
$195,000 | — | 30 Sep 2016 | |
| Ancora Advisors LLC |
13F
|
Company |
0.14%
|
17,723
|
$189,000 | — | 30 Sep 2016 | |
| CMT TRADING LLC |
13F
|
Company |
0.12%
|
16,241
|
$174,000 | — | 30 Sep 2016 | |
| TOCQUEVILLE ASSET MANAGEMENT L.P. |
13F
|
Company |
0.12%
|
15,576
|
$167,000 | — | 30 Sep 2016 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.12%
|
15,085
|
$161,000 | — | 30 Sep 2016 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.11%
|
14,638
|
$156,000 | — | 30 Sep 2016 | |
| LPL Financial LLC |
13F
|
Company |
0.1%
|
13,086
|
$140,000 | — | 30 Sep 2016 | |
| SOL Capital Management CO |
13F
|
Company |
0.09%
|
11,929
|
$128,000 | — | 30 Sep 2016 | |
| Wilmington Savings Fund Society, FSB |
13F
|
Company |
0.09%
|
11,771
|
$126,000 | — | 30 Sep 2016 | |
| UBS Group AG |
13F
|
Company |
0.09%
|
11,662
|
$124,000 | — | 30 Sep 2016 | |
| TRUIST FINANCIAL CORP |
13F
|
Company |
0.08%
|
10,967
|
$117,000 | — | 30 Sep 2016 | |
| Matisse Capital |
13F
|
Company |
0.08%
|
10,500
|
$112,000 | — | 30 Sep 2016 | |
| M&T BANK CORP |
13F
|
Company |
0.08%
|
10,257
|
$109,000 | — | 30 Sep 2016 | |
| FineMark National Bank & Trust |
13F
|
Company |
0.08%
|
10,028
|
$107,000 | — | 30 Sep 2016 | |
| Kelman-Lazarov, Inc. |
13F
|
Company |
0.07%
|
8,945
|
$95,890 | — | 30 Sep 2016 | |
| Amica Retiree Medical Trust |
13F
|
Company |
0.04%
|
4,874
|
$52,000 | — | 30 Sep 2016 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.03%
|
3,510
|
$38,000 | — | 30 Sep 2016 | |
| Smithfield Trust Co |
13F
|
Company |
0.02%
|
2,780
|
$30,000 | — | 30 Sep 2016 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.02%
|
2,316
|
$25,000 | — | 30 Sep 2016 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.01%
|
1,763
|
$19,000 | — | 30 Sep 2016 | |
| Apriem Advisors |
13F
|
Company |
0.01%
|
1,200
|
$13,000 | — | 30 Sep 2016 | |
| Creative Planning |
13F
|
Company |
0.01%
|
1,078
|
$12,000 | — | 30 Sep 2016 | |
| BARCLAYS PLC |
13F
|
Company |
0.01%
|
1,000
|
$11,000 | — | 30 Sep 2016 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q4 2016
As of 31 Dec 2016,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
59 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
16,013,622 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, LAZARD ASSET MANAGEMENT LLC, Bulldog Investors, LLC, Karpus Management, Inc., ICON ADVISERS INC/CO, JOHN G ULLMAN & ASSOCIATES INC, BANK OF AMERICA CORP /DE/, Commonwealth Equity Services, Inc, and RIVERNORTH CAPITAL MANAGEMENT, LLC.
This page lists
59
institutional shareholders reporting positions in this security
for the Q4 2016 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2016 vs Q3 2016 Across Filers
Q3 2016 holders
56
Q4 2016 holders
59
Holder diff
3
| Investor | Q3 2016 Shares | Q4 2016 Shares | Share Diff | Share Chg % | Q3 2016 Value $ | Q4 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.