Total Return Securities Fund - Mutual Fund SH CL B (SWZ)
CUSIP: 870875101
Q3 2021 13F Holders as of 30 Sep 2021
- Type / Class
- Equity / Mutual Fund SH CL B
- Shares outstanding
- 13,014,040
- Total 13F shares
- 5,083,168
- Share change
- -41,718
- Total reported value
- $46,650,790
- Price per share
- $9.18
- Number of holders
- 36
- Value change
- -$392,517
- Number of buys
- 12
- Number of sells
- 9
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 |
9.5%
|
1,235,927
|
$12,025,000 | — | 30 Jun 2021 | |
| LAZARD ASSET MANAGEMENT LLC |
13F
|
Company |
6.2%
|
805,299
|
$7,835,000 | — | 30 Jun 2021 | |
| CITY OF LONDON INVESTMENT MANAGEMENT CO LTD |
13F
|
Company |
5.3%
|
688,009
|
$6,687,000 | — | 30 Jun 2021 | |
| CSS LLC/IL |
13F
|
Company |
3.5%
|
455,505
|
$4,432,000 | — | 30 Jun 2021 | |
| 1607 Capital Partners, LLC |
13F
|
Company |
2.7%
|
353,517
|
$3,440,000 | — | 30 Jun 2021 | |
| Matisse Capital |
13F
|
Company |
2.4%
|
311,903
|
$3,035,000 | — | 30 Jun 2021 | |
| GARDNER RUSSO & QUINN LLC |
13F
|
Company |
1.7%
|
227,492
|
$2,213,000 | — | 30 Jun 2021 | |
| COMMONWEALTH EQUITY SERVICES, LLC |
13F
|
Company |
1.2%
|
154,981
|
$1,507,000 | — | 30 Jun 2021 | |
| Shaker Financial Services, LLC |
13F
|
Company |
0.98%
|
126,990
|
$1,236,000 | — | 30 Jun 2021 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
0.85%
|
110,048
|
$1,071,000 | — | 30 Jun 2021 | |
| Cornerstone Advisors, LLC |
13F
|
Company |
0.7%
|
90,496
|
$881,000 | — | 30 Jun 2021 | |
| Uncommon Cents Investing LLC |
13F
|
Company |
0.69%
|
90,144
|
$877,000 | — | 30 Jun 2021 | |
| WOLVERINE ASSET MANAGEMENT LLC |
13F
|
Company |
0.61%
|
79,832
|
$776,000 | — | 30 Jun 2021 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.53%
|
69,579
|
$677,000 | — | 30 Jun 2021 | |
| Bulldog Investors, LLP |
13F
|
Company |
0.48%
|
61,947
|
$603,000 | — | 30 Jun 2021 | |
| SHEPHERD KAPLAN KROCHUK, LLC |
13F
|
Company |
0.26%
|
33,380
|
$325,000 | — | 30 Jun 2021 | |
| UBS Group AG |
13F
|
Company |
0.23%
|
29,461
|
$287,000 | — | 30 Jun 2021 | |
| RAYMOND JAMES & ASSOCIATES |
13F
|
Company |
0.21%
|
27,552
|
$268,000 | — | 30 Jun 2021 | |
| Cetera Investment Advisers |
13F
|
Company |
0.21%
|
27,200
|
$265,000 | — | 30 Jun 2021 | |
| MORGAN STANLEY |
13F
|
Company |
0.16%
|
20,848
|
$203,000 | — | 30 Jun 2021 | |
| LPL Financial LLC |
13F
|
Company |
0.13%
|
16,350
|
$159,000 | — | 30 Jun 2021 | |
| GAMCO INVESTORS, INC. ET AL |
13F
|
Company |
0.12%
|
16,048
|
$156,000 | — | 30 Jun 2021 | |
| Raymond James Financial Services Advisors, Inc. |
13F
|
Company |
0.12%
|
15,037
|
$146,000 | — | 30 Jun 2021 | |
| Capital Investment Counsel, Inc |
13F
|
Company |
0.11%
|
14,961
|
$146,000 | — | 30 Jun 2021 | |
| Kestra Advisory Services, LLC |
13F
|
Company |
0.1%
|
12,876
|
$125,000 | — | 30 Jun 2021 | |
| Walleye Trading LLC |
13F
|
Company |
0.08%
|
10,840
|
$105,000 | — | 30 Jun 2021 | |
| Dynamic Advisor Solutions LLC |
13F
|
Company |
0.08%
|
10,722
|
$104,000 | — | 30 Jun 2021 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.06%
|
8,146
|
$79,000 | — | 30 Jun 2021 | |
| WINMILL & CO. INC |
13F
|
Company |
0.03%
|
3,270
|
$32,000 | — | 30 Jun 2021 | |
| US BANCORP \DE\ |
13F
|
Company |
0.02%
|
2,911
|
$28,000 | — | 30 Jun 2021 | |
| JPMORGAN CHASE & CO |
13F
|
Company |
0.02%
|
2,581
|
$25,000 | — | 30 Jun 2021 | |
| WHITTIER TRUST CO |
13F
|
Company |
0.01%
|
1,944
|
$19,000 | — | 30 Jun 2021 | |
| Federation Des Caisses Desjardins du Quebec |
13F
|
Individual |
0.01%
|
1,829
|
$17,796 | — | 30 Jun 2021 | |
| ASSETMARK, INC |
13F
|
Company |
0.01%
|
1,734
|
$17,000 | — | 30 Jun 2021 | |
| OSAIC HOLDINGS, INC. |
13F
|
Company |
0.01%
|
1,631
|
$16,000 | — | 30 Jun 2021 | |
| North Star Investment Management Corp. |
13F
|
Company |
0.01%
|
1,448
|
$14,000 | — | 30 Jun 2021 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.01%
|
1,370
|
$14,000 | — | 30 Jun 2021 | |
| Ancora Advisors LLC |
13F
|
Company |
0.01%
|
1,078
|
$10,000 | — | 30 Jun 2021 | |
| Geneos Wealth Management Inc. |
13F
|
Company |
0%
|
292
|
$2,000 | — | 30 Jun 2021 |
Institutional Holders of Total Return Securities Fund - Mutual Fund SH CL B (SWZ) as of Q3 2021
As of 30 Sep 2021,
Total Return Securities Fund - Mutual Fund SH CL B (SWZ) was held by
36 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
5,083,168 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, Shaker Financial Services, LLC, and Bulldog Investors, LLP.
This page lists
36
institutional shareholders reporting positions in this security
for the Q3 2021 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2021 vs Q2 2021 Across Filers
Q2 2021 holders
39
Q3 2021 holders
36
Holder diff
-3
| Investor | Q2 2021 Shares | Q3 2021 Shares | Share Diff | Share Chg % | Q2 2021 Value $ | Q3 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.