Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q2 2018 13F Holders as of 30 Jun 2018
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 15,149,773
- Share change
- +144,304
- Total reported value
- $187,151,525
- Price per share
- $12.35
- Number of holders
- 41
- Value change
- +$1,784,375
- Number of buys
- 11
- 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.
Need full ownership history?
Open the full security ownership history page.
Next holder-history checks
These links keep the next click tied to holder verification, nearby quarters, or outside-13F ownership context.
- Back to full security ownership history for the broader multi-quarter picture.
- Latest 13F filings for newly reported positions across managers.
- Latest Schedule 13D/13G reports for ownership changes outside the 13F cadence.
- SEC investors directory for manager drilldown.
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 |
|---|---|---|---|---|---|---|---|---|
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
41%
|
5,365,495
|
$65,727,000 | — | 31 Mar 2018 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
21%
|
2,744,094
|
$33,615,000 | — | 31 Mar 2018 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
17%
|
2,223,374
|
$27,236,000 | — | 31 Mar 2018 | |
| Bulldog Investors, LLP |
13F
|
Company |
16%
|
2,111,785
|
$25,869,000 | — | 31 Mar 2018 | |
| Karpus Management, Inc. |
13F
|
Company |
7.1%
|
928,849
|
$11,378,000 | — | 31 Mar 2018 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
3.9%
|
512,361
|
$6,282,000 | — | 31 Mar 2018 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
2.2%
|
284,040
|
$3,479,000 | — | 31 Mar 2018 | |
| COMMONWEALTH EQUITY SERVICES, LLC |
13F
|
Company |
1.1%
|
142,638
|
$1,747,000 | — | 31 Mar 2018 | |
| BOOTHBAY FUND MANAGEMENT, LLC |
13F
|
Company |
0.64%
|
83,595
|
$1,024,000 | — | 31 Mar 2018 | |
| Uncommon Cents Investing LLC |
13F
|
Company |
0.49%
|
63,459
|
$777,000 | — | 31 Mar 2018 | |
| CITIGROUP INC |
13F
|
Company |
0.4%
|
51,827
|
$635,000 | — | 31 Mar 2018 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.37%
|
48,036
|
$588,000 | — | 31 Mar 2018 | |
| CSS LLC/IL |
13F
|
Company |
0.35%
|
45,012
|
$551,000 | — | 31 Mar 2018 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.32%
|
41,653
|
$510,000 | — | 31 Mar 2018 | |
| Peak Asset Management, LLC |
13F
|
Company |
0.25%
|
33,090
|
$405,000 | — | 31 Mar 2018 | |
| GAM Holding AG |
13F
|
Company |
0.25%
|
32,414
|
$397,000 | — | 31 Mar 2018 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.24%
|
31,011
|
$380,000 | — | 31 Mar 2018 | |
| BRINKER CAPITAL INC |
13F
|
Company |
0.23%
|
30,488
|
$373,000 | — | 31 Mar 2018 | |
| MORGAN STANLEY |
13F
|
Company |
0.2%
|
26,057
|
$319,000 | — | 31 Mar 2018 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.19%
|
25,231
|
$309,000 | — | 31 Mar 2018 | |
| Ancora Advisors LLC |
13F
|
Company |
0.19%
|
25,219
|
$309,000 | — | 31 Mar 2018 | |
| Relative Value Partners Group, LLC |
13F
|
Company |
0.19%
|
24,106
|
$295,000 | — | 31 Mar 2018 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.16%
|
20,969
|
$257,000 | — | 31 Mar 2018 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.11%
|
13,875
|
$170,000 | — | 31 Mar 2018 | |
| DOLIVER ADVISORS, LP |
13F
|
Company |
0.1%
|
13,337
|
$163,000 | — | 31 Mar 2018 | |
| NORTHERN TRUST CORP |
13F
|
Company |
0.1%
|
12,613
|
$155,000 | — | 31 Mar 2018 | |
| UBS Group AG |
13F
|
Company |
0.09%
|
12,300
|
$151,000 | — | 31 Mar 2018 | |
| ADVISOR PARTNERS LLC |
13F
|
Company |
0.09%
|
12,059
|
$148,000 | — | 31 Mar 2018 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.08%
|
10,633
|
$130,000 | — | 31 Mar 2018 | |
| FineMark National Bank & Trust |
13F
|
Company |
0.08%
|
10,028
|
$123,000 | — | 31 Mar 2018 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.05%
|
6,648
|
$81,000 | — | 31 Mar 2018 | |
| Stratos Wealth Partners, LTD. |
13F
|
Company |
0.03%
|
4,000
|
$49,000 | — | 31 Mar 2018 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.02%
|
3,040
|
$37,000 | — | 31 Mar 2018 | |
| Smithfield Trust Co |
13F
|
Company |
0.02%
|
2,780
|
$34,000 | — | 31 Mar 2018 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.02%
|
2,129
|
$26,000 | — | 31 Mar 2018 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.01%
|
1,950
|
$24,000 | — | 31 Mar 2018 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.01%
|
1,763
|
$22,000 | — | 31 Mar 2018 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
1,128
|
$13,818 | — | 31 Mar 2018 | |
| North Star Investment Management Corp. |
13F
|
Company |
0.01%
|
990
|
$12,000 | — | 31 Mar 2018 | |
| TOMPKINS FINANCIAL CORP |
13F
|
Company |
0%
|
500
|
$6,000 | — | 31 Mar 2018 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
295
|
$4,000 | — | 31 Mar 2018 | |
| Bartlett & Co. LLC |
13F
|
Company |
0%
|
210
|
$3,000 | — | 31 Mar 2018 | |
| BARTLETT & CO. WEALTH MANAGEMENT LLC |
13F
|
Company |
0%
|
210
|
$2,573 | — | 31 Mar 2018 | |
| Private Capital Group, LLC |
13F
|
Company |
0%
|
178
|
$2,000 | — | 31 Mar 2018 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q2 2018
As of 30 Jun 2018,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
41 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
15,149,773 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, 1607 Capital Partners, LLC, Bulldog Investors, LLC, LAZARD ASSET MANAGEMENT LLC, Karpus Management, Inc., CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, JOHN G ULLMAN & ASSOCIATES INC, COMMONWEALTH EQUITY SERVICES, LLC, BOOTHBAY FUND MANAGEMENT, LLC, and Uncommon Cents Investing LLC.
This page lists
41
institutional shareholders reporting positions in this security
for the Q2 2018 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q2 2018 vs Q1 2018 Across Filers
Q1 2018 holders
44
Q2 2018 holders
41
Holder diff
-3
| Investor | Q1 2018 Shares | Q2 2018 Shares | Share Diff | Share Chg % | Q1 2018 Value $ | Q2 2018 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.