Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q3 2017 13F Holders as of 30 Sep 2017
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 14,510,589
- Share change
- +355,493
- Total reported value
- $185,158,348
- Price per share
- $12.77
- Number of holders
- 44
- Value change
- +$4,582,099
- Number of buys
- 12
- Number of sells
- 25
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 |
25%
|
3,308,408
|
$42,016,000 | — | 30 Jun 2017 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
25%
|
3,237,371
|
$41,115,000 | — | 30 Jun 2017 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
19%
|
2,449,734
|
$31,111,000 | — | 30 Jun 2017 | |
| Bulldog Investors, LLP |
13F
|
Company |
15%
|
1,917,876
|
$24,357,000 | — | 30 Jun 2017 | |
| Karpus Management, Inc. |
13F
|
Company |
8.7%
|
1,136,826
|
$14,438,000 | — | 30 Jun 2017 | |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
3.8%
|
499,070
|
$6,338,000 | — | 30 Jun 2017 | |
| ICON ADVISERS INC/CO |
13F
|
Company |
2%
|
266,767
|
$3,388,000 | — | 30 Jun 2017 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
1.9%
|
247,753
|
$3,146,000 | — | 30 Jun 2017 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
1.2%
|
158,026
|
$2,007,000 | — | 30 Jun 2017 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
1.1%
|
147,369
|
$1,872,000 | — | 30 Jun 2017 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.59%
|
76,335
|
$969,000 | — | 30 Jun 2017 | |
| SII INVESTMENTS INC/WI |
13F
|
Company |
0.54%
|
70,550
|
$896,000 | — | 30 Jun 2017 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.42%
|
54,924
|
$697,000 | — | 30 Jun 2017 | |
| BRINKER CAPITAL INC |
13F
|
Company |
0.39%
|
50,692
|
$644,000 | — | 30 Jun 2017 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.36%
|
47,437
|
$602,000 | — | 30 Jun 2017 | |
| CSS LLC/IL |
13F
|
Company |
0.35%
|
45,012
|
$572,000 | — | 30 Jun 2017 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.3%
|
38,606
|
$490,000 | — | 30 Jun 2017 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
0.26%
|
33,768
|
$429,000 | — | 30 Jun 2017 | |
| Peak Asset Management, LLC |
13F
|
Company |
0.25%
|
32,952
|
$418,000 | — | 30 Jun 2017 | |
| GAM Holding AG |
13F
|
Company |
0.25%
|
32,085
|
$407,000 | — | 30 Jun 2017 | |
| J.P. Morgan Private Wealth Advisors LLC |
13F
|
Company |
0.24%
|
31,818
|
$404,000 | — | 30 Jun 2017 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.19%
|
25,231
|
$320,000 | — | 30 Jun 2017 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.19%
|
24,947
|
$317,000 | — | 30 Jun 2017 | |
| MARINER INVESTMENT GROUP LLC |
13F
|
Company |
0.19%
|
24,687
|
$314,000 | — | 30 Jun 2017 | |
| SHUFRO ROSE & CO LLC |
13F
|
Company |
0.18%
|
23,921
|
$304,000 | — | 30 Jun 2017 | |
| MORGAN STANLEY |
13F
|
Company |
0.18%
|
23,336
|
$296,000 | — | 30 Jun 2017 | |
| GUGGENHEIM CAPITAL LLC |
13F
|
Company |
0.17%
|
22,130
|
$281,000 | — | 30 Jun 2017 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.12%
|
15,565
|
$198,000 | — | 30 Jun 2017 | |
| Ancora Advisors LLC |
13F
|
Company |
0.12%
|
15,464
|
$197,000 | — | 30 Jun 2017 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.12%
|
15,008
|
$191,000 | — | 30 Jun 2017 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.11%
|
13,828
|
$176,000 | — | 30 Jun 2017 | |
| Alpine Global Management, LLC |
13F
|
Company |
0.1%
|
12,756
|
$162,000 | — | 30 Jun 2017 | |
| Alpine Group USVI, LLC |
13F
|
Company |
0.1%
|
12,756
|
$162,000 | — | 30 Jun 2017 | |
| UBS Group AG |
13F
|
Company |
0.09%
|
11,679
|
$149,000 | — | 30 Jun 2017 | |
| SOL Capital Management CO |
13F
|
Company |
0.09%
|
11,265
|
$143,000 | — | 30 Jun 2017 | |
| FineMark National Bank & Trust |
13F
|
Company |
0.08%
|
10,028
|
$127,000 | — | 30 Jun 2017 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.05%
|
5,982
|
$76,000 | — | 30 Jun 2017 | |
| BANK OF MONTREAL /CAN/ |
13F
|
Company |
0.03%
|
3,856
|
$49,000 | — | 30 Jun 2017 | |
| Smithfield Trust Co |
13F
|
Company |
0.02%
|
2,780
|
$35,000 | — | 30 Jun 2017 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.01%
|
1,950
|
$25,000 | — | 30 Jun 2017 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.01%
|
1,763
|
$22,000 | — | 30 Jun 2017 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
1,128
|
$14,326 | — | 30 Jun 2017 | |
| BARCLAYS PLC |
13F
|
Company |
0.01%
|
1,000
|
$13,000 | — | 30 Jun 2017 | |
| North Star Investment Management Corp. |
13F
|
Company |
0.01%
|
990
|
$13,000 | — | 30 Jun 2017 | |
| Creative Planning |
13F
|
Company |
0.01%
|
775
|
$10,000 | — | 30 Jun 2017 | |
| TOMPKINS FINANCIAL CORP |
13F
|
Company |
0%
|
500
|
$6,000 | — | 30 Jun 2017 | |
| QCI ASSET MANAGEMENT INC/NY |
13F
|
Company |
0%
|
446
|
$6,000 | — | 30 Jun 2017 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
295
|
$4,000 | — | 30 Jun 2017 | |
| Bartlett & Co. LLC |
13F
|
Company |
0%
|
210
|
$3,000 | — | 30 Jun 2017 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0%
|
197
|
$3,000 | — | 30 Jun 2017 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q3 2017
As of 30 Sep 2017,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
44 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
14,510,589 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, LAZARD ASSET MANAGEMENT LLC, Bulldog Investors, LLC, Karpus Management, Inc., JOHN G ULLMAN & ASSOCIATES INC, CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, BANK OF AMERICA CORP /DE/, Commonwealth Equity Services, Inc, and SII INVESTMENTS INC/WI.
This page lists
44
institutional shareholders reporting positions in this security
for the Q3 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2017 vs Q2 2017 Across Filers
Q2 2017 holders
50
Q3 2017 holders
44
Holder diff
-6
| Investor | Q2 2017 Shares | Q3 2017 Shares | Share Diff | Share Chg % | Q2 2017 Value $ | Q3 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.