Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q4 2017 13F Holders as of 31 Dec 2017
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 14,807,946
- Share change
- +230,031
- Total reported value
- $188,964,393
- Price per share
- $12.76
- Number of holders
- 42
- Value change
- +$2,946,864
- Number of buys
- 15
- Number of sells
- 16
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 |
38%
|
4,908,917
|
$62,680,000 | — | 30 Sep 2017 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
22%
|
2,834,596
|
$36,194,000 | — | 30 Sep 2017 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
18%
|
2,297,574
|
$29,225,000 | — | 30 Sep 2017 | |
| Bulldog Investors, LLP |
13F
|
Company |
15%
|
1,917,876
|
$24,485,000 | — | 30 Sep 2017 | |
| Karpus Management, Inc. |
13F
|
Company |
7.9%
|
1,028,060
|
$13,127,000 | — | 30 Sep 2017 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
1.9%
|
244,160
|
$3,118,000 | — | 30 Sep 2017 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
1.5%
|
198,755
|
$2,538,000 | — | 30 Sep 2017 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
1.2%
|
156,399
|
$1,997,000 | — | 30 Sep 2017 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
1.1%
|
145,540
|
$1,858,000 | — | 30 Sep 2017 | |
| SII INVESTMENTS INC/WI |
13F
|
Company |
0.52%
|
68,186
|
$869,000 | — | 30 Sep 2017 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.43%
|
56,135
|
$718,000 | — | 30 Sep 2017 | |
| ICON ADVISERS INC/CO |
13F
|
Company |
0.43%
|
55,587
|
$710,000 | — | 30 Sep 2017 | |
| CITIGROUP INC |
13F
|
Company |
0.4%
|
51,827
|
$659,000 | — | 30 Sep 2017 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.38%
|
49,273
|
$630,000 | — | 30 Sep 2017 | |
| CSS LLC/IL |
13F
|
Company |
0.35%
|
45,012
|
$575,000 | — | 30 Sep 2017 | |
| CORNERSTONE ADVISORS INC |
13F
|
Company |
0.35%
|
45,113
|
$574,000 | — | 30 Sep 2017 | |
| BRINKER CAPITAL INC |
13F
|
Company |
0.34%
|
43,830
|
$560,000 | — | 30 Sep 2017 | |
| Peak Asset Management, LLC |
13F
|
Company |
0.25%
|
32,963
|
$421,000 | — | 30 Sep 2017 | |
| GAM Holding AG |
13F
|
Company |
0.25%
|
32,110
|
$408,000 | — | 30 Sep 2017 | |
| J.P. Morgan Private Wealth Advisors LLC |
13F
|
Company |
0.24%
|
31,844
|
$407,000 | — | 30 Sep 2017 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.2%
|
26,211
|
$335,000 | — | 30 Sep 2017 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.19%
|
25,231
|
$322,000 | — | 30 Sep 2017 | |
| MORGAN STANLEY |
13F
|
Company |
0.19%
|
25,054
|
$320,000 | — | 30 Sep 2017 | |
| MARINER INVESTMENT GROUP LLC |
13F
|
Company |
0.19%
|
24,687
|
$315,000 | — | 30 Sep 2017 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.16%
|
20,990
|
$267,000 | — | 30 Sep 2017 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.15%
|
19,886
|
$253,000 | — | 30 Sep 2017 | |
| Ancora Advisors LLC |
13F
|
Company |
0.12%
|
15,464
|
$198,000 | — | 30 Sep 2017 | |
| UBS Group AG |
13F
|
Company |
0.11%
|
13,974
|
$179,000 | — | 30 Sep 2017 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.11%
|
13,828
|
$177,000 | — | 30 Sep 2017 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.1%
|
12,758
|
$163,000 | — | 30 Sep 2017 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.1%
|
12,711
|
$162,000 | — | 30 Sep 2017 | |
| FineMark National Bank & Trust |
13F
|
Company |
0.08%
|
10,028
|
$128,000 | — | 30 Sep 2017 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.04%
|
5,670
|
$72,000 | — | 30 Sep 2017 | |
| BANK OF MONTREAL /CAN/ |
13F
|
Company |
0.03%
|
3,856
|
$49,000 | — | 30 Sep 2017 | |
| Na Bokf |
13F
|
Individual |
0.02%
|
2,947
|
$38,000 | — | 30 Sep 2017 | |
| Smithfield Trust Co |
13F
|
Company |
0.02%
|
2,780
|
$35,000 | — | 30 Sep 2017 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.01%
|
1,950
|
$25,000 | — | 30 Sep 2017 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.01%
|
1,763
|
$22,000 | — | 30 Sep 2017 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
1,128
|
$14,348 | — | 30 Sep 2017 | |
| North Star Investment Management Corp. |
13F
|
Company |
0.01%
|
990
|
$13,000 | — | 30 Sep 2017 | |
| TOMPKINS FINANCIAL CORP |
13F
|
Company |
0%
|
500
|
$6,000 | — | 30 Sep 2017 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
295
|
$4,000 | — | 30 Sep 2017 | |
| Bartlett & Co. LLC |
13F
|
Company |
0%
|
210
|
$3,000 | — | 30 Sep 2017 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q4 2017
As of 31 Dec 2017,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
42 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
14,807,946 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, LAZARD ASSET MANAGEMENT LLC, Bulldog Investors, LLC, Karpus Management, Inc., CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, JOHN G ULLMAN & ASSOCIATES INC, BANK OF AMERICA CORP /DE/, COMMONWEALTH EQUITY SERVICES, LLC., and Uncommon Cents Investing LLC.
This page lists
42
institutional shareholders reporting positions in this security
for the Q4 2017 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2017 vs Q3 2017 Across Filers
Q3 2017 holders
44
Q4 2017 holders
42
Holder diff
-2
| Investor | Q3 2017 Shares | Q4 2017 Shares | Share Diff | Share Chg % | Q3 2017 Value $ | Q4 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.