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 |
|---|---|---|---|---|---|---|---|
| Dakos Andrew | — | Purchase | 6,442 | $12.88 | $82,973 | 1,326,279 | Feb 5, 2018 |
| Dakos Andrew | — | Purchase | 1,353 | $13.40 | $18,130 | 1,319,837 | Feb 1, 2018 |
| Dakos Andrew | — | Purchase | 5,042 | $13.45 | $67,815 | 1,318,484 | Jan 30, 2018 |
| Dakos Andrew | — | Purchase | 16,103 | $13.15 | $211,754 | 1,313,442 | Jan 19, 2018 |
| Dakos Andrew | — | Purchase | 292 | $12.92 | $3,773 | 292 | Jan 10, 2018 |
| Dakos Andrew | — | Purchase | 8,230 | $12.93 | $106,414 | 1,297,339 | Jan 8, 2018 |
| Dakos Andrew | — | Purchase | 3,950 | $12.79 | $50,521 | 1,281,824 | Jan 4, 2018 |
| Dakos Andrew | — | Purchase | 1,332 | $12.74 | $16,970 | 1,277,874 | Dec 29, 2017 |
| Dakos Andrew | — | Purchase | 14,036 | $12.66 | $177,696 | 1,276,542 | Dec 27, 2017 |
| Dakos Andrew | — | Purchase | 7,235 | $12.57 | $90,944 | 1,242,906 | Dec 21, 2017 |
| Dakos Andrew | — | Purchase | 3,300 | $12.55 | $41,415 | 1,232,508 | Dec 20, 2017 |
| Dakos Andrew | — | Purchase | 2,873 | $12.70 | $36,487 | 1,229,208 | Nov 29, 2017 |
| Dakos Andrew | — | Purchase | 13,060 | $12.60 | $164,556 | 1,224,052 | Nov 21, 2017 |
| Dakos Andrew | — | Purchase | 1,394 | $12.34 | $17,202 | 1,210,992 | Nov 15, 2017 |
| Hoysradt Jean | — | Purchase | 3,100 | $12.86 | $39,866 | 3,100 | Oct 13, 2017 |
| Ricciardi Fred J | — | Purchase | 4,000 | $12.60 | $50,400 | 4,000 | Jun 7, 2017 |
| Boillat Jean-Marc | — | Sale | 3,000 | $11.07 | $33,210 | — | Mar 10, 2017 |
| Calhoun Joseph S III | — | Purchase | 300 | $10.03 | $3,009 | 300 | Dec 30, 2016 |
| Berris Brian A | — | Purchase | 5,000 | $10.88 | $54,400 | 10,000 | Nov 18, 2015 |
| Mandel Alan M. | Treas. & Princ. Fin. Officer | Purchase | 600 | $14.21 | $8,526 | 600 | Sep 4, 2014 |
| HOTTINGER CAPITAL CORP | — | Purchase | 22,348 | $14.93 | $333,656 | 98,699 | Feb 14, 2014 |
| HOTTINGER CAPITAL CORP | — | Purchase | 8,715 | $12.22 | $106,497 | 119,222 | Jul 3, 2013 |
| HOTTINGER CAPITAL CORP | — | Purchase | 113,285 | $12.31 | $1,394,538 | 127,937 | Jul 2, 2013 |
| Berris Brian A | — | Purchase | 5,000 | $10.81 | $54,050 | 5,000 | Sep 12, 2012 |
| Boillat Jean-Marc | — | Purchase | 94 | $11.10 | $1,043 | 3,000 | Mar 6, 2012 |
| WEST STEPHEN K | — | Purchase | 1,000 | $11.01 | $11,010 | 18,771 | Dec 13, 2011 |
| Brealey Richard | — | Purchase | 770 | $12.47 | $9,602 | 13,788 | Aug 30, 2011 |
| Boillat Jean-Marc | — | Purchase | 1,600 | $14.01 | $22,416 | 3,000 | Jul 29, 2011 |
| BOCK DAVID | — | Purchase | 4,250 | $13.31 | $56,568 | 4,250 | Mar 17, 2011 |
| HOTTINGER MILLISITS RUDOLF | CEO | Purchase | 2,650 | $13.74 | $36,411 | 10,513 | Feb 18, 2011 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 15,000 | $12.04 | $180,600 | 97,355 | Sep 29, 2009 |
| Helbig Claus | — | Purchase | 1,000 | $9.99 | $9,990 | 1,000 | Dec 15, 2008 |
| CLAUDE FREY | — | Purchase | 2,000 | $10.44 | $20,880 | 5,086 | Oct 13, 2008 |
| HOTTINGER CAPITAL CORP | — | Purchase | 1,100 | $11.09 | $12,199 | 191,987 | Oct 6, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 3,500 | $15.20 | $53,200 | 99,009 | Jun 26, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 6,500 | $15.20 | $98,800 | 95,509 | Jun 25, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 10,000 | $14.81 | $148,100 | 109,009 | Jun 16, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 10,000 | $15.75 | $157,500 | 87,009 | Mar 17, 2008 |
| HOTTINGER CAPITAL CORP | — | Purchase | 1,700 | $15.94 | $27,098 | 190,887 | Mar 11, 2008 |
| HOTTINGER RODOLPHE | President | Purchase | 350 | $15.94 | $5,579 | 23,580 | Mar 11, 2008 |
| HOTTINGER MILLISITS RUDOLF | SVP | Purchase | 1,100 | $15.94 | $17,534 | 12,740 | Mar 11, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 10,000 | $15.29 | $152,900 | 77,009 | Feb 15, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 5,000 | $15.81 | $79,050 | 67,009 | Jan 31, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 5,000 | $15.71 | $78,550 | 57,355 | Jan 23, 2008 |
| HOTTINGER BANK TRUST LTD | — | Purchase | 7,000 | $17.50 | $122,500 | 52,355 | Nov 23, 2007 |
| Hooper R Clark | — | Purchase | 200 | $18.30 | $3,660 | 600 | Jul 6, 2007 |
| Kraynak Michael Jr | — | Purchase | 1,300 | $17.65 | $22,945 | 5,110 | Jul 2, 2007 |
| Boillat Jean-Marc | — | Purchase | 3,000 | $17.89 | $53,670 | 4,200 | Jun 25, 2007 |
| WITT SAMUEL B | — | X | 1,117 | $16.60 | $18,542 | 4,470 | Jun 22, 2007 |
| Boillat Jean-Marc | — | X | 400 | $16.60 | $6,640 | 4,600 | Jun 22, 2007 |