Security key
870875101
Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q4 2018 13F Holders as of 31 Dec 2018
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 2,996,150
- Share change
- -12,002,847
- Total reported value
- $20,670,738
- Price per share
- $6.90
- Number of holders
- 33
- Value change
- -$84,074,551
- Number of buys
- 18
- Number of sells
- 31
Report period
Q4 2018
Institutions
33
Top holders
10
SWZ full security history
Newer quarter: Q1 2019
Previous quarter: Q3 2018
Total Return Securities Fund SEC filings
Broader feeds
Reporting periods
Holder history for CUSIP 870875101
Recent filing periods:
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 first by SEC-reported ownership % when it is safely comparable, then by disclosed holdings 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 |
43%
|
5,580,051
|
$47,486,000 | — | 30 Sep 2018 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
22%
|
2,800,789
|
$23,835,000 | — | 30 Sep 2018 | |
| Bulldog Investors, LLP |
13F
|
Company |
16%
|
2,057,237
|
$17,507,000 | — | 30 Sep 2018 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
15%
|
1,929,574
|
$16,420,000 | — | 30 Sep 2018 | |
| Karpus Management, Inc. |
13F
|
Company |
6.9%
|
897,616
|
$7,639,000 | — | 30 Sep 2018 | |
| CSS LLC/IL |
13F
|
Company |
2.6%
|
339,382
|
$2,888,000 | — | 30 Sep 2018 | |
| JOHN G ULLMAN & ASSOCIATES INC |
13F
|
Company |
2.3%
|
294,636
|
$2,507,000 | — | 30 Sep 2018 | |
| COMMONWEALTH EQUITY SERVICES, LLC |
13F
|
Company |
1.1%
|
140,149
|
$1,192,000 | — | 30 Sep 2018 | |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
1.1%
|
136,816
|
$1,164,000 | — | 30 Sep 2018 | |
| BOOTHBAY FUND MANAGEMENT, LLC |
13F
|
Company |
0.82%
|
107,093
|
$911,000 | — | 30 Sep 2018 | |
| Weiss Asset Management LP |
13F
|
Company |
0.79%
|
103,207
|
$878,000 | — | 30 Sep 2018 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.58%
|
75,032
|
$638,000 | — | 30 Sep 2018 | |
| Uncommon Cents Investing LLC |
13F
|
Company |
0.49%
|
63,459
|
$540,000 | — | 30 Sep 2018 | |
| CITIGROUP INC |
13F
|
Company |
0.43%
|
55,427
|
$472,000 | — | 30 Sep 2018 | |
| GEODE CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.39%
|
50,766
|
$432,000 | — | 30 Sep 2018 | |
| Peak Asset Management, LLC |
13F
|
Company |
0.26%
|
33,313
|
$283,000 | — | 30 Sep 2018 | |
| J.P. Morgan Private Wealth Advisors LLC |
13F
|
Company |
0.25%
|
32,680
|
$278,000 | — | 30 Sep 2018 | |
| BRINKER CAPITAL INC |
13F
|
Company |
0.21%
|
27,914
|
$238,000 | — | 30 Sep 2018 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.2%
|
26,548
|
$226,000 | — | 30 Sep 2018 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.2%
|
26,511
|
$226,000 | — | 30 Sep 2018 | |
| MORGAN STANLEY |
13F
|
Company |
0.2%
|
26,423
|
$225,000 | — | 30 Sep 2018 | |
| Dakota Wealth Management |
13F
|
Company |
0.2%
|
25,825
|
$220,000 | — | 30 Sep 2018 | |
| GAM Holding AG |
13F
|
Company |
0.19%
|
24,998
|
$213,000 | — | 30 Sep 2018 | |
| Relative Value Partners Group, LLC |
13F
|
Company |
0.19%
|
24,576
|
$330,000 | — | 30 Sep 2018 | |
| MERIDIAN INVESTMENT COUNSEL INC. |
13F
|
Company |
0.18%
|
23,112
|
$197,000 | — | 30 Sep 2018 | |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP |
13F
|
Company |
0.15%
|
19,433
|
$165,000 | — | 30 Sep 2018 | |
| Smith Salley Wealth Management |
13F
|
Company |
0.11%
|
13,875
|
$118,000 | — | 30 Sep 2018 | |
| Ancora Advisors LLC |
13F
|
Company |
0.1%
|
13,312
|
$113,000 | — | 30 Sep 2018 | |
| UBS Group AG |
13F
|
Company |
0.1%
|
13,036
|
$111,000 | — | 30 Sep 2018 | |
| ADVISOR PARTNERS LLC |
13F
|
Company |
0.09%
|
12,059
|
$103,000 | — | 30 Sep 2018 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.08%
|
10,633
|
$90,000 | — | 30 Sep 2018 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.07%
|
8,485
|
$72,000 | — | 30 Sep 2018 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.06%
|
7,467
|
$64,000 | — | 30 Sep 2018 | |
| Stratos Wealth Partners, LTD. |
13F
|
Company |
0.04%
|
5,000
|
$43,000 | — | 30 Sep 2018 | |
| BROWN BROTHERS HARRIMAN & CO |
13F
|
Company |
0.03%
|
4,452
|
$38,000 | — | 30 Sep 2018 | |
| Smithfield Trust Co |
13F
|
Company |
0.02%
|
2,825
|
$24,000 | — | 30 Sep 2018 | |
| CITIZENS FINANCIAL GROUP INC/RI |
13F
|
Company |
0.02%
|
2,516
|
$21,000 | — | 30 Sep 2018 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.01%
|
1,763
|
$15,000 | — | 30 Sep 2018 | |
| Tower Research Capital LLC (TRC) |
13F
|
Company |
0.01%
|
1,240
|
$11,000 | — | 30 Sep 2018 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
1,128
|
$9,599 | — | 30 Sep 2018 | |
| North Star Investment Management Corp. |
13F
|
Company |
0.01%
|
990
|
$8,000 | — | 30 Sep 2018 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.01%
|
810
|
$7,000 | — | 30 Sep 2018 | |
| TOMPKINS FINANCIAL CORP |
13F
|
Company |
0.01%
|
700
|
$6,000 | — | 30 Sep 2018 | |
| US BANCORP \DE\ |
13F
|
Company |
0%
|
295
|
$3,000 | — | 30 Sep 2018 | |
| BARTLETT & CO. WEALTH MANAGEMENT LLC |
13F
|
Company |
0%
|
210
|
$2,048 | — | 30 Sep 2018 | |
| Bartlett & Co. LLC |
13F
|
Company |
0%
|
210
|
$2,000 | — | 30 Sep 2018 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q4 2018
As of 31 Dec 2018,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
33 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
2,996,150 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, LAZARD ASSET MANAGEMENT LLC, 1607 Capital Partners, LLC, CSS LLC/IL, GEODE CAPITAL MANAGEMENT, LLC, Alpine Global Management, LLC, COMMONWEALTH EQUITY SERVICES, LLC, Bulldog Investors, LLC, WOLVERINE ASSET MANAGEMENT LLC, and Uncommon Cents Investing LLC.
This page lists
33
institutional shareholders reporting positions in this security
for the Q4 2018 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q4 2018 vs Q3 2018 Across Filers
Q3 2018 holders
45
Q4 2018 holders
33
Holder diff
-12
| Investor | Q3 2018 Shares | Q4 2018 Shares | Share Diff | Share Chg % | Q3 2018 Value $ | Q4 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.