SWZ

Total Return Securities, Inc. SWZ

Individual Beneficiary

Name of reporting person Citizenship or organization Sole voting power Shared voting power Sole dispositive power Shared dispositive power Amount beneficially owned Percent of class Accepted date
Global Investments Holdings, LLC Delaware 2029931 0 2090825 0 2090825 0 % 12/01/2024
Funds Management, LLC Delaware 0 0 0 0 0 0 % 12/01/2024
Global Investments, LLC Delaware 2029931 0 2090825 0 2090825 0 % 12/01/2024
Global Investments Holdings, LLC Delaware 2029931 0 2090825 0 2090825 0 % 12/01/2024
Funds Management, LLC Delaware 0 0 0 0 0 0 % 12/01/2024
Global Investments, LLC Delaware 2029931 0 2090825 0 2090825 0 % 12/01/2024
Lazard Asset Management LLC Delaware 796896 0 804217 0 804217 6.1 % 08/03/2023
Lazard Asset Management LLC Delaware 796896 0 804217 0 804217 6.1 % 08/03/2023
Global Investments Holdings, LLC Delaware 1265585 0 1377942 0 1377942 10.44 % 13/01/2023
Global Investments, LLC Delaware 1265585 0 1377942 0 1377942 10.44 % 13/01/2023
Funds Management, LLC Delaware 0 0 0 0 0 0 % 13/01/2023
Global Investments Holdings, LLC Delaware 1265585 0 1377942 0 1377942 10.44 % 13/01/2023
Global Investments, LLC Delaware 1265585 0 1377942 0 1377942 10.44 % 13/01/2023
Funds Management, LLC Delaware 0 0 0 0 0 0 % 13/01/2023
Funds Management, LLC Delaware 0 0 0 0 0 0 % 07/12/2022
Global Investments Holdings, LLC Delaware 1275336 0 1342269 0 1342269 10.17 % 07/12/2022
Global Investments Holdings, LLC Delaware 1275336 0 1342269 0 1342269 10.17 % 07/12/2022
Global Investments, LLC Delaware 1275336 0 1342269 0 1342269 10.17 % 07/12/2022
Funds Management, LLC Delaware 0 0 0 0 0 0 % 07/12/2022
Global Investments, LLC Delaware 1275336 0 1342269 0 1342269 10.17 % 07/12/2022
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 638993 0 638993 0 638993 4.8 % 10/08/2022
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 638993 0 638993 0 638993 4.8 % 10/08/2022
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 721393 0 721393 0 721393 5.5 % 11/02/2022
Global Investments Holdings, LLC Delaware 1091935 0 1167304 0 1167304 8.84 % 19/01/2022
Funds Management, LLC Delaware 0 0 0 0 0 0 % 19/01/2022
Global Investments Holdings, LLC Delaware 1091935 0 1167304 0 1167304 8.84 % 19/01/2022
Global Investments, LLC Delaware 1091935 0 1167304 0 1167304 8.84 % 19/01/2022
Funds Management, LLC Delaware 0 0 0 0 0 0 % 19/01/2022
Global Investments, LLC Delaware 1091935 0 1167304 0 1167304 8.84 % 19/01/2022
Fargo & Company Delaware 1 1736 1 106707 106708 0.8 % 08/12/2021
RIVERNORTH CAPITAL MANAGEMENT, LLC DELAWARE 0 0 0 0 0 0 % 16/02/2021
RIVERNORTH CAPITAL MANAGEMENT, LLC DELAWARE 0 0 0 0 0 0 % 16/02/2021
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 688009 0 688009 0 688009 5.2 % 12/02/2021
City of London Investment Management Company Limited, a company incorporated under the laws of England and Wales England and Wales 688009 0 688009 0 688009 5.2 % 12/02/2021
Fargo & Company Delaware 1 972301 1 1174321 1174322 8.89 % 12/02/2021
Lazard Asset Management LLC Delaware 833862 0 841183 0 841183 6.34 % 09/02/2021
RIVERNORTH CAPITAL MANAGEMENT, LLC 881134 6.64 % 13/02/2020
RIVERNORTH CAPITAL MANAGEMENT, LLC 881134 6.64 % 13/02/2020
Fargo & Company Delaware 0 648882 0 721981 721981 5.44 % 04/02/2020
Fargo & Company Delaware 28 6646 28 586571 586599 4.42 % 10/12/2018
1607 Capital Partners, LLC Virginia, United States 245969 0 245969 0 0 1.85 % 10/12/2018
1607 Capital Partners, LLC Virginia, United States 245969 0 245969 0 0 1.85 % 10/12/2018
Lazard Asset Management LLC Delaware 150837 0 150837 0 150837 1.137 % 07/12/2018
Lazard Asset Management LLC Delaware 150837 0 150837 0 150837 1.137 % 07/12/2018
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 990752 990752 990752 3.54 % 14/02/2018
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 990752 990752 990752 3.54 % 14/02/2018
Lazard Asset Management LLC Delaware 2274574 0 2274574 0 2274574 8.99 % 08/02/2018
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1442536 1442536 1442536 5.15 % 14/02/2017
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1442536 1442536 1442536 5.15 % 14/02/2017
1607 Capital Partners, LLC Virginia, United States 3905081 0 3905081 0 0 13.9 % 13/02/2017
Lazard Asset Management LLC Delaware 2417555 0 2417555 0 2417555 8.63 % 10/02/2017
Fargo & Company Delaware 2 3244460 2 4206636 4206638 14.93 % 24/01/2017
Capital Partners, LLC Virginia United States 3718902 0 3718902 0 3718902 13.3 % 16/02/2016
1607 Capital Partners, LLC Virginia, United States 3718902 0 3718902 0 0 13.3 % 16/02/2016
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1794190 1794190 1794190 6.41 % 12/02/2016
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1794190 1794190 1794190 6.41 % 12/02/2016
Lazard Asset Management LLC Delaware 3311671 0 3311671 0 3311671 11.89 % 11/02/2016
Fargo & Company Delaware 13 2873144 13 3803838 3803851 13.66 % 27/01/2016
Fargo & Company Delaware 2 1938492 2 2703079 2703081 10.18 % 10/04/2015
1607 Capital Partners, LLC Virginia, United States 3333391 0 3333391 0 0 12.6 % 17/02/2015
1607 Capital Partners, LLC Virginia, United States 3333391 0 3333391 0 0 12.6 % 17/02/2015
Karpus Management, Inc., d/b/a Karpus Investment ManagementI.D. New York 1453562 0 1453562 0 1453562 5.47 % 13/02/2015
Lazard Asset Management LLC Delaware 3486101 0 3486101 0 3486101 13.13 % 10/02/2015
Lazard Asset Management LLC Delaware 3160199 0 3510905 0 3510905 13.2 % 09/07/2014
Lazard Asset Management LLC Delaware 3160199 0 3510905 0 3510905 13.2 % 09/07/2014
Fargo & Company Delaware 15 799845 15 1458792 1458807 4.78 % 10/04/2014
Lazard Asset Management LLC Delaware 5255458 0 5715558 0 5715558 18.45 % 14/02/2014
Fargo & Company Delaware 92010 1028381 92010 1658197 1750207 5.65 % 27/01/2014
Lazard Asset Management LLC Delaware 5102887 0 5102887 0 5102887 16.48 % 13/02/2013
Lazard Asset Management LLC Delaware 4607387 0 4607387 0 4607387 15.06 % 08/02/2012
Capital Partners, LLC Nos. of above person: Virginia United States 4139836 0 4139836 0 4139836 12.75 % 16/02/2010

Senat trading

Bureau Date de la transaction Date de réception Type Amount Commentaire

Senat Divulgation

Représentant Date de la transaction Date de divulgation Type Amount District