Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q2 2017 13F Holders as of 30 Jun 2017
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 12,887,825
- Total 13F shares
- 14,167,852
- Share change
- -1,962,505
- Total reported value
- $179,932,326
- Price per share
- $12.70
- Number of holders
- 50
- Value change
- -$24,649,220
- Number of buys
- 10
- Number of sells
- 40
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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Related Filing Research
- Latest 13F filings for newly reported positions.
- Latest Schedule 13D/13G reports for ownership changes outside 13F cadence.
- Latest 10-Q/10-K reports for financial context tied to this issuer.
- Recent insider transactions for executive and insider activity.
- SEC investors directory and top value investors for manager drilldown.
- Back to full security ownership history.
Explore More Reporting Periods
Jump to adjacent filing periods for faster comparison and easier crawl discovery.
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 |
|---|---|---|---|---|---|---|---|---|
| 1607 Capital Partners, LLC |
13F
|
Company |
30%
|
3,853,281
|
$44,698,000 | — | 31 Mar 2017 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
28%
|
3,638,706
|
$42,209,000 | — | 31 Mar 2017 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
23%
|
2,962,331
|
$34,363,000 | — | 31 Mar 2017 | |
| Bulldog Investors, LLP |
13F
|
Company |
17%
|
2,126,494
|
$24,667,000 | — | 31 Mar 2017 | |
| Karpus Management, Inc. |
13F
|
Company |
11%
|
1,413,182
|
$16,393,000 | — | 31 Mar 2017 | |
| ICON ADVISERS INC/CO |
13F
|
Company |
2.8%
|
362,956
|
$4,210,000 | — | 31 Mar 2017 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
2%
|
251,693
|
$2,920,000 | — | 31 Mar 2017 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
1.4%
|
178,010
|
$2,065,000 | — | 31 Mar 2017 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
1.1%
|
145,476
|
$1,688,000 | — | 31 Mar 2017 | |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.95%
|
121,835
|
$1,413,000 | — | 31 Mar 2017 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.65%
|
83,782
|
$971,000 | — | 31 Mar 2017 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.61%
|
78,457
|
$909,000 | — | 31 Mar 2017 | |
| CSS LLC/IL |
13F
|
Company |
0.58%
|
74,854
|
$868,000 | — | 31 Mar 2017 | |
| SII INVESTMENTS INC/WI |
13F
|
Company |
0.55%
|
70,550
|
$819,000 | — | 31 Mar 2017 | |
| J.P. Morgan Private Wealth Advisors LLC |
13F
|
Company |
0.49%
|
63,636
|
$738,000 | — | 31 Mar 2017 | |
| BRINKER CAPITAL INC |
13F
|
Company |
0.47%
|
60,626
|
$703,000 | — | 31 Mar 2017 | |
| GAM Holding AG |
13F
|
Company |
0.38%
|
48,510
|
$563,000 | — | 31 Mar 2017 | |
| Cutler Capital Management, LLC |
13F
|
Company |
0.35%
|
45,000
|
$522,000 | — | 31 Mar 2017 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.32%
|
41,811
|
$485,000 | — | 31 Mar 2017 | |
| Ancora Advisors LLC |
13F
|
Company |
0.31%
|
39,723
|
$460,000 | — | 31 Mar 2017 | |
| LANDSCAPE CAPITAL MANAGEMENT, L.L.C. |
13F
|
Company |
0.32%
|
41,609
|
$425,000 | — | 31 Mar 2017 | |
| BOOTHBAY FUND MANAGEMENT, LLC |
13F
|
Company |
0.25%
|
31,800
|
$369,000 | — | 31 Mar 2017 | |
| MARINER INVESTMENT GROUP LLC |
13F
|
Company |
0.24%
|
30,532
|
$354,000 | — | 31 Mar 2017 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.23%
|
29,967
|
$348,000 | — | 31 Mar 2017 | |
| Peak Asset Management, LLC |
13F
|
Company |
0.22%
|
28,952
|
$336,000 | — | 31 Mar 2017 | |
| MORGAN STANLEY |
13F
|
Company |
0.21%
|
26,887
|
$312,000 | — | 31 Mar 2017 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.2%
|
25,410
|
$295,000 | — | 31 Mar 2017 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.19%
|
24,947
|
$289,000 | — | 31 Mar 2017 | |
| CMT TRADING LLC |
13F
|
Company |
0.19%
|
24,800
|
$288,000 | — | 31 Mar 2017 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.19%
|
24,083
|
$279,000 | — | 31 Mar 2017 | |
| SHUFRO ROSE & CO LLC |
13F
|
Company |
0.19%
|
23,921
|
$277,000 | — | 31 Mar 2017 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.16%
|
20,567
|
$239,000 | — | 31 Mar 2017 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.13%
|
16,544
|
$192,000 | — | 31 Mar 2017 | |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP |
13F
|
Company |
0.11%
|
14,066
|
$163,000 | — | 31 Mar 2017 | |
| UBS Group AG |
13F
|
Company |
0.1%
|
12,934
|
$150,000 | — | 31 Mar 2017 | |
| M&T BANK CORP |
13F
|
Company |
0.09%
|
12,183
|
$141,000 | — | 31 Mar 2017 | |
| SOL Capital Management CO |
13F
|
Company |
0.09%
|
11,265
|
$131,000 | — | 31 Mar 2017 | |
| TRUIST FINANCIAL CORP |
13F
|
Company |
0.09%
|
10,967
|
$127,000 | — | 31 Mar 2017 | |
| TOCQUEVILLE ASSET MANAGEMENT L.P. |
13F
|
Company |
0.08%
|
10,034
|
$116,000 | — | 31 Mar 2017 | |
| FineMark National Bank & Trust |
13F
|
Company |
0.08%
|
10,028
|
$116,000 | — | 31 Mar 2017 | |
| Saba Capital Management, L.P. |
13F
|
Company |
0.08%
|
10,000
|
$116,000 | — | 31 Mar 2017 | |
| Smithfield Trust Co |
13F
|
Company |
0.02%
|
2,780
|
$32,000 | — | 31 Mar 2017 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.02%
|
2,316
|
$27,000 | — | 31 Mar 2017 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.01%
|
1,857
|
$22,000 | — | 31 Mar 2017 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.01%
|
1,763
|
$20,000 | — | 31 Mar 2017 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
1,128
|
$13,085 | — | 31 Mar 2017 | |
| Creative Planning |
13F
|
Company |
0.01%
|
1,078
|
$13,000 | — | 31 Mar 2017 | |
| BARCLAYS PLC |
13F
|
Company |
0.01%
|
1,000
|
$12,000 | — | 31 Mar 2017 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.01%
|
1,000
|
$12,000 | — | 31 Mar 2017 | |
| North Star Investment Management Corp. |
13F
|
Company |
0.01%
|
990
|
$11,000 | — | 31 Mar 2017 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q2 2017
As of 30 Jun 2017,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
50 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
14,167,852 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, LAZARD ASSET MANAGEMENT LLC, Bulldog Investors, LLC, Karpus Management, Inc., RIVERNORTH CAPITAL MANAGEMENT, LLC, ICON ADVISERS INC/CO, JOHN G ULLMAN & ASSOCIATES INC, BANK OF AMERICA CORP /DE/, and Commonwealth Equity Services, Inc.
This page lists
50
institutional shareholders reporting positions in this security
for the Q2 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q2 2017 vs Q1 2017 Across Filers
Q1 2017 holders
56
Q2 2017 holders
50
Holder diff
-6
| Investor | Q1 2017 Shares | Q2 2017 Shares | Share Diff | Share Chg % | Q1 2017 Value $ | Q2 2017 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.