Total Return Securities Fund — Insider Transactions
Form 4 filings by directors, officers, and 10%+ shareholders
SEC rules require corporate insiders — including directors, executive officers, and any shareholder owning more than 10% of a company's shares — to report changes in their ownership within two business days of a transaction. These disclosures are filed as Form 4. Open-market purchases (code P) are generally considered the most meaningful signal, as insiders are spending their own money.
| Insider | Title | Type | Shares | Price | Value | Owns After | Date |
|---|---|---|---|---|---|---|---|
| CSS LLC/IL | — | Sale | 196 | $6.27 | $1,229 | 1,686,971 | Dec 29, 2025 |
| CSS LLC/IL | — | Sale | 1,400 | $6.25 | $8,750 | 17,312,039 | Dec 23, 2025 |
| CSS LLC/IL | — | Sale | 1,000 | $6.22 | $6,220 | 1,740,006 | Dec 15, 2025 |
| SELL MORITZ A | — | Option Exercise | 7,400 | $6.07 | $44,918 | 11,800 | Dec 11, 2025 |
| Dakos Andrew | President and CEO | Option Exercise | 35,064 | $6.07 | $212,838 | 35,128 | Dec 11, 2025 |
| Das Rajeev P | Secretary | Option Exercise | 468 | $6.07 | $2,841 | 500 | Dec 11, 2025 |
| GOLDSTEIN PHILLIP | — | Option Exercise | 80,976 | $6.07 | $491,524 | 93,224 | Dec 11, 2025 |
| SELL MORITZ A | — | Purchase | 1,000 | $6.06 | $6,060 | 4,400 | Oct 27, 2025 |
| SELL MORITZ A | — | Purchase | 1,815 | $6.34 | $11,507 | 3,400 | Jun 30, 2025 |
| HELLERMAN GERALD | — | Sale | 41 | $9.24 | $379 | 5,283 | Apr 2, 2025 |
| GOLDSTEIN PHILLIP | — | Sale | 4,535 | $8.45 | $38,321 | 12,248 | Jan 17, 2025 |
| Dakos Andrew | President and CEO | Purchase | 1,000 | $8.82 | $8,820 | 3,000 | Mar 3, 2022 |
| HELLERMAN GERALD | — | Purchase | 498 | $8.84 | $4,402 | 5,324 | Mar 2, 2022 |
| Dakos Andrew | President and CEO | Purchase | 428 | $9.38 | $4,015 | 1,428 | Feb 3, 2022 |
| GOLDSTEIN PHILLIP | — | Sale | 1,212 | $9.79 | $11,865 | 16,783 | Jul 2, 2021 |
| GOLDSTEIN PHILLIP | — | Sale | 67,059 | $9.48 | $635,719 | 27,894 | Jun 4, 2021 |
| GOLDSTEIN PHILLIP | — | Sale | 1,800 | $9.67 | $17,406 | 94,953 | Jun 3, 2021 |
| GOLDSTEIN PHILLIP | — | Sale | 100 | $9.73 | $973 | 110,800 | Jun 1, 2021 |
| SELL MORITZ A | — | Sale | 2,000 | $9.12 | $18,240 | 1,330 | May 5, 2021 |
| SELL MORITZ A | — | Sale | 2,000 | $8.37 | $16,740 | 3,330 | Oct 2, 2020 |
| GOLDSTEIN PHILLIP | — | Purchase | 500 | $7.37 | $3,685 | 115,747 | Apr 30, 2020 |
| GOLDSTEIN PHILLIP | — | Purchase | 5,000 | $7.35 | $36,750 | 115,247 | Apr 23, 2020 |
| HELLERMAN GERALD | — | Purchase | 1,000 | $6.90 | $6,900 | 4,067 | Apr 3, 2020 |
| SELL MORITZ A | — | Purchase | 1,017 | $6.13 | $6,234 | 5,050 | Mar 16, 2020 |
| SELL MORITZ A | — | Purchase | 2,000 | $7.67 | $15,340 | 4,033 | Mar 9, 2020 |
| Dakos Andrew | President and CEO | Purchase | 1,000 | $7.75 | $7,750 | 1,064 | Feb 28, 2020 |
| GOLDSTEIN PHILLIP | — | Purchase | 5,000 | $7.99 | $39,950 | — | Feb 28, 2020 |
| HELLERMAN GERALD | — | Purchase | 1,000 | $8.00 | $8,000 | 3,057 | Feb 27, 2020 |
| GOLDSTEIN PHILLIP | — | Purchase | 5,000 | $8.33 | $41,650 | 95,361 | Feb 24, 2020 |
| GOLDSTEIN PHILLIP | — | Purchase | 1,086 | $8.33 | $9,046 | 75,348 | Jan 6, 2020 |
| GOLDSTEIN PHILLIP | — | Purchase | 2,611 | $8.20 | $21,410 | 74,262 | Dec 19, 2019 |
| GOLDSTEIN PHILLIP | — | Purchase | 40,000 | $8.15 | $326,000 | 71,037 | Dec 18, 2019 |
| GOLDSTEIN PHILLIP | — | Purchase | 10,000 | $8.09 | $80,900 | 12,828 | Dec 2, 2019 |
| HELLERMAN GERALD | — | Purchase | 1,000 | $7.93 | $7,930 | 2,041 | Oct 8, 2019 |
| SELL MORITZ A | — | Purchase | 1,875 | $7.87 | $14,756 | 2,000 | Aug 5, 2019 |
| HELLERMAN GERALD | — | Purchase | 1,000 | $8.00 | $8,000 | 1,041 | Aug 2, 2019 |
| HELLERMAN GERALD | — | Purchase | 1,000 | $8.00 | $8,000 | 1,041 | Aug 2, 2019 |
| GOLDSTEIN PHILLIP | — | Other | 104,660 | — | — | — | Jan 2, 2019 |
| Dakos Andrew | — | Other | 104,660 | — | — | — | Jan 2, 2019 |
| GOLDSTEIN PHILLIP | — | Disposition | 1,782,348 | $7.86 | $14,009,255 | 104,660 | Nov 20, 2018 |
| Dakos Andrew | — | Disposition | 1,782,348 | $7.86 | $14,009,255 | 104,660 | Nov 20, 2018 |
| SELL MORITZ A | — | Disposition | 2,129 | $7.86 | $16,734 | 125 | Nov 20, 2018 |
| HELLERMAN GERALD | — | Disposition | 691 | $7.86 | $5,431 | 41 | Nov 20, 2018 |
| Dakos Andrew | — | Other | 598,378 | — | — | 1,887,008 | Oct 19, 2018 |
| SELL MORITZ A | — | Other | 715 | — | — | 2,254 | Oct 19, 2018 |
| HELLERMAN GERALD | — | Other | 232 | — | — | 732 | Oct 19, 2018 |
| GOLDSTEIN PHILLIP | — | Other | 598,378 | — | — | 1,887,008 | Oct 19, 2018 |
| Dakos Andrew | — | Other | 54,549 | — | — | 1,288,630 | Jun 6, 2018 |
| Dakos Andrew | — | Purchase | 500 | $12.84 | $6,420 | 792 | Feb 20, 2018 |
| Dakos Andrew | — | Purchase | 7,400 | $12.35 | $91,390 | 1,337,479 | Feb 12, 2018 |