Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q1 2021 13F Holders as of 31 Mar 2021
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 5,004,787
- Share change
- -31,747
- Total reported value
- $44,007,077
- Price per share
- $8.79
- Number of holders
- 34
- Value change
- -$331,165
- Number of buys
- 8
- Number of sells
- 13
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.
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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 |
9%
|
1,174,322
|
$10,498,000 | — | 31 Dec 2020 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
6.5%
|
841,183
|
$7,520,000 | — | 31 Dec 2020 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
5.3%
|
688,009
|
$6,147,000 | — | 31 Dec 2020 | |
| CSS LLC/IL |
13F
|
Company |
3.7%
|
487,519
|
$4,358,000 | — | 31 Dec 2020 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
3%
|
388,389
|
$3,472,000 | — | 31 Dec 2020 | |
| Matisse Capital |
13F
|
Company |
2.4%
|
316,203
|
$2,826,000 | — | 31 Dec 2020 | |
| GARDNER RUSSO & QUINN LLC |
13F
|
Company |
1.7%
|
220,928
|
$1,975,000 | — | 31 Dec 2020 | |
| COMMONWEALTH EQUITY SERVICES, LLC |
13F
|
Company |
1.3%
|
173,332
|
$1,549,000 | — | 31 Dec 2020 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.93%
|
121,015
|
$1,080,000 | — | 31 Dec 2020 | |
| Karpus Management, Inc. |
13F
|
Company |
0.75%
|
98,109
|
$877,000 | — | 31 Dec 2020 | |
| Uncommon Cents Investing LLC |
13F
|
Company |
0.69%
|
90,144
|
$806,000 | — | 31 Dec 2020 | |
| Cornerstone Advisors, LLC |
13F
|
Company |
0.6%
|
77,597
|
$694,000 | — | 31 Dec 2020 | |
| Bulldog Investors, LLP |
13F
|
Company |
0.48%
|
61,947
|
$554,000 | — | 31 Dec 2020 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.43%
|
55,537
|
$497,000 | — | 31 Dec 2020 | |
| UBS Group AG |
13F
|
Company |
0.23%
|
29,282
|
$262,000 | — | 31 Dec 2020 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.22%
|
28,008
|
$250,000 | — | 31 Dec 2020 | |
| AQR Arbitrage LLC |
13F
|
Company |
0.2%
|
25,675
|
$230,000 | — | 31 Dec 2020 | |
| Cardan Capital Partners, LLC |
13F
|
Company |
0.19%
|
24,415
|
$218,000 | — | 31 Dec 2020 | |
| MORGAN STANLEY |
13F
|
Company |
0.16%
|
20,848
|
$186,000 | — | 31 Dec 2020 | |
| ADVISOR PARTNERS LLC |
13F
|
Company |
0.14%
|
17,658
|
$185,000 | — | 31 Dec 2020 | |
| GAMCO INVESTORS, INC. ET AL |
13F
|
Company |
0.12%
|
16,048
|
$143,000 | — | 31 Dec 2020 | |
| Kestra Advisory Services, LLC |
13F
|
Company |
0.12%
|
15,252
|
$138,000 | — | 31 Dec 2020 | |
| Capital Investment Counsel, Inc |
13F
|
Company |
0.11%
|
14,961
|
$134,000 | — | 31 Dec 2020 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.1%
|
12,625
|
$113,000 | — | 31 Dec 2020 | |
| Walleye Trading LLC |
13F
|
Company |
0.08%
|
10,973
|
$98,000 | — | 31 Dec 2020 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.06%
|
8,146
|
$73,000 | — | 31 Dec 2020 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.03%
|
4,319
|
$39,000 | — | 31 Dec 2020 | |
| US BANCORP \DE\ |
13F
|
Company |
0.02%
|
2,911
|
$26,000 | — | 31 Dec 2020 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.02%
|
2,581
|
$23,000 | — | 31 Dec 2020 | |
| WHITTIER TRUST CO |
13F
|
Company |
0.01%
|
1,944
|
$17,000 | — | 31 Dec 2020 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
1,829
|
$16,351 | — | 31 Dec 2020 | |
| North Star Investment Management Corp. |
13F
|
Company |
0.01%
|
1,448
|
$13,000 | — | 31 Dec 2020 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.01%
|
1,370
|
$12,000 | — | 31 Dec 2020 | |
| Ancora Advisors LLC |
13F
|
Company |
0.01%
|
1,078
|
$10,000 | — | 31 Dec 2020 | |
| OSAIC HOLDINGS, INC. |
13F
|
Company |
0%
|
529
|
$5,000 | — | 31 Dec 2020 | |
| WINMILL & CO. INC |
13F
|
Company |
0%
|
400
|
$4,000 | — | 31 Dec 2020 | |
| Geneos Wealth Management Inc. |
13F
|
Company |
0%
|
292
|
$2,000 | — | 31 Dec 2020 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q1 2021
As of 31 Mar 2021,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
34 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
5,004,787 shares.
The largest 10 holders included
WELLS FARGO & COMPANY/MN, LAZARD ASSET MANAGEMENT LLC, CITY OF LONDON INVESTMENT MANAGEMENT CO LTD, CSS LLC/IL, 1607 Capital Partners, LLC, Matisse Capital, GARDNER RUSSO & QUINN LLC, COMMONWEALTH EQUITY SERVICES, LLC, BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC, and Shaker Financial Services, LLC.
This page lists
34
institutional shareholders reporting positions in this security
for the Q1 2021 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q1 2021 vs Q4 2020 Across Filers
Q4 2020 holders
36
Q1 2021 holders
34
Holder diff
-2
| Investor | Q4 2020 Shares | Q1 2021 Shares | Share Diff | Share Chg % | Q4 2020 Value $ | Q1 2021 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.