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SWZ

Total Return Securities Fund

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8820
SEC CIK
0000813623
Parsed reports
135

Last 12 months

Inside the activity.

73 purchase rows · 24 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 2025024
Jan 202610
Feb 2026190
Mar 2026130
Apr 202690
May 202680
Jun 202660
Jul 202670
Aug 202640
Sep 202650
Oct 202610

Latest available

Insider transactions

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
December 22, 2025 Filed Dec 29, 2025 21:17 UTC
CSS LLC/IL10% owner
Salecommon stock 167 $6.25 $1,043.75
Disclosure

SEC source: 0001103646-25-000019 · primary_doc.xml · nonDerivative · entry 1

CSS LLC/IL · CIK 0001103646 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,735,339

Read SEC document
December 15, 2025 Filed Dec 17, 2025 15:29 UTC
CSS LLC/IL10% owner
Salecommon stock 4,000 $6.24 $24,960.00
Disclosure

SEC source: 0001103646-25-000017 · primary_doc.xml · nonDerivative · entry 5

CSS LLC/IL · CIK 0001103646 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,735,506

Read SEC document
December 15, 2025 Filed Dec 17, 2025 15:29 UTC
CSS LLC/IL10% owner
Salecommon stock 500 $6.23 $3,115.00
Disclosure

SEC source: 0001103646-25-000017 · primary_doc.xml · nonDerivative · entry 4

CSS LLC/IL · CIK 0001103646 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,739,506

Read SEC document
December 15, 2025 Filed Dec 17, 2025 15:29 UTC
CSS LLC/IL10% owner
Salecommon stock 1,000 $6.22 $6,220.00
Disclosure

SEC source: 0001103646-25-000017 · primary_doc.xml · nonDerivative · entry 3

CSS LLC/IL · CIK 0001103646 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,740,006

Read SEC document
December 15, 2025 Filed Dec 17, 2025 15:29 UTC
CSS LLC/IL10% owner
Salecommon stock 500 $6.21 $3,105.00
Disclosure

SEC source: 0001103646-25-000017 · primary_doc.xml · nonDerivative · entry 2

CSS LLC/IL · CIK 0001103646 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,741,006

Read SEC document
December 15, 2025 Filed Dec 17, 2025 15:29 UTC
CSS LLC/IL10% owner
Salecommon stock 1,000 $6.20 $6,200.00
Disclosure

SEC source: 0001103646-25-000017 · primary_doc.xml · nonDerivative · entry 1

CSS LLC/IL · CIK 0001103646 · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 1,741,506

Read SEC document
December 11, 2025 Filed Dec 12, 2025 22:16 UTC Exercise / conversionCommon Stock 7,400 $6.07 $44,918.00
Disclosure

SEC source: 0001398344-25-022417 · fp0096582-4_4.xml · nonDerivative · entry 1

SELL MORITZ A · CIK 0001053116 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,800

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Non-transferable rights were issued to holders of record of shares of common stock of the Issuer as of November 14, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.

F2 · balance_after: Amount includes shares acquired through the Issuer's dividend reinvestment plan.

Read SEC document
December 11, 2025 Filed Dec 12, 2025 22:14 UTC
Dakos AndrewDirector · President and CEO
Exercise / conversionCommon Stock 35,064 $6.07 $212,838.48
Disclosure

SEC source: 0001398344-25-022415 · fp0096582-3_4.xml · nonDerivative · entry 2

Dakos Andrew · CIK 0001341021 · Director · President and CEO

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,128

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Non-transferable rights were issued to holders of record of shares of common stock of the Issuer as of November 14, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.

Read SEC document
December 11, 2025 Filed Dec 12, 2025 22:09 UTC
Das Rajeev PSecretary
Exercise / conversionCommon Stock 468 $6.07 $2,840.76
Disclosure

SEC source: 0001398344-25-022411 · fp0096582-2_4.xml · nonDerivative · entry 1

Das Rajeev P · CIK 0001340982 · Secretary

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Non-transferable rights were issued to holders of record of shares of common stock of the Issuer as of November 14, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.

Read SEC document
December 11, 2025 Filed Dec 12, 2025 22:04 UTC Exercise / conversionCommon Stock 80,976 $6.07 $491,524.32
Disclosure

SEC source: 0001398344-25-022409 · fp0096582-1_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 93,224

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Non-transferable rights were issued to holders of record of shares of common stock of the Issuer as of November 14, 2025 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Every right received by the holder entitled such holder to purchase one share of common stock and holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.

Read SEC document
October 27, 2025 Filed Oct 29, 2025 20:16 UTC PurchaseCommon Stock 1,000 $6.06 $6,055.00
Disclosure

SEC source: 0001398344-25-019979 · fp0096036-1_4.xml · nonDerivative · entry 1

SELL MORITZ A · CIK 0001053116 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 4,400

F1 · balance_after: Amount includes shares acquired through the Issuer's dividend reinvestment plan.

Read SEC document
June 30, 2025 Filed Jul 1, 2025 20:39 UTC PurchaseCommon Stock 1,815 $6.34 $11,507.10
Disclosure

SEC source: 0001398344-25-012524 · fp0094149-1_4.xml · nonDerivative · entry 1

SELL MORITZ A · CIK 0001053116 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 3,400

F1 · balance_after: Amount includes shares acquired through the Issuer's dividend reinvestment plan.

Read SEC document
April 02, 2025 Filed Apr 3, 2025 20:05 UTC SaleCommon Stock 41 $9.24 $378.84
Disclosure

SEC source: 0001398344-25-006575 · fp0092908-1_4.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 5,283

Read SEC document
January 17, 2025 Filed Jan 21, 2025 21:14 UTC SaleCommon Stock 4,535 $8.45 $38,320.75
Disclosure

SEC source: 0001398344-25-000872 · fp0092040-1_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 12,248

Read SEC document
March 03, 2022 Filed Mar 4, 2022 18:02 UTC
Dakos AndrewDirector · President and CEO
PurchaseCommon Stock 1,000 $8.82 $8,820.00
Disclosure

SEC source: 0001398344-22-005293 · fp0073939_4.xml · nonDerivative · entry 1

Dakos Andrew · CIK 0001341021 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Limited Partnership

Disclosed balance after: 3,000

F1 · ownership.nature: Shares are held by a limited partnership in which Mr. Dakos has a beneficial interest. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Read SEC document
March 02, 2022 Filed Mar 3, 2022 20:26 UTC PurchaseCommon Stock 498 $8.84 $4,402.32
Disclosure

SEC source: 0001398344-22-005208 · fp0073866_4.xml · nonDerivative · entry 3

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,324

Read SEC document
March 02, 2022 Filed Mar 3, 2022 20:26 UTC PurchaseCommon Stock 235 $8.85 $2,079.75
Disclosure

SEC source: 0001398344-22-005208 · fp0073866_4.xml · nonDerivative · entry 2

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,826

Read SEC document
March 02, 2022 Filed Mar 3, 2022 20:26 UTC PurchaseCommon Stock 267 $8.87 $2,368.29
Disclosure

SEC source: 0001398344-22-005208 · fp0073866_4.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,591

F1 · balance_after: Mr. Hellerman acquired 257 shares of the issuer as the result of automatic reinvestment of dividends.

Read SEC document
February 03, 2022 Filed Feb 4, 2022 22:01 UTC
Dakos AndrewDirector · President and CEO
PurchaseCommon Stock 572 $9.31 $5,325.32
Disclosure

SEC source: 0001398344-22-002177 · fp0072907_4.xml · nonDerivative · entry 2

Dakos Andrew · CIK 0001341021 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Limited Partnership

Disclosed balance after: 2,000

F1 · ownership.nature: Shares are held by a limited partnership in which Mr. Dakos has a beneficial interest. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Read SEC document
February 02, 2022 Filed Feb 4, 2022 22:01 UTC
Dakos AndrewDirector · President and CEO
PurchaseCommon Stock 428 $9.38 $4,014.64
Disclosure

SEC source: 0001398344-22-002177 · fp0072907_4.xml · nonDerivative · entry 1

Dakos Andrew · CIK 0001341021 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · Limited Partnership

Disclosed balance after: 1,428

F1 · ownership.nature: Shares are held by a limited partnership in which Mr. Dakos has a beneficial interest. Mr. Dakos disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Read SEC document
July 02, 2021 Filed Jul 6, 2021 19:51 UTC SaleCommon Stock 1,212 $9.79 $11,865.48
Disclosure

SEC source: 0001398344-21-014028 · fp0066722_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,783

Read SEC document
June 04, 2021 Filed Jun 8, 2021 12:18 UTC SaleCommon Stock 9,899 $9.70 $96,020.30
Disclosure

SEC source: 0001398344-21-012758 · fp0066007_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,995

Read SEC document
June 04, 2021 Filed Jun 8, 2021 12:18 UTC SaleCommon Stock 67,059 $9.48 $635,384.03
Disclosure

SEC source: 0001398344-21-012758 · fp0066007_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,894

Read SEC document
June 03, 2021 Filed Jun 4, 2021 14:21 UTC SaleCommon Stock 1,800 $9.67 $17,406.00
Disclosure

SEC source: 0001398344-21-012490 · fp0065948_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 94,953

Read SEC document
June 03, 2021 Filed Jun 4, 2021 14:21 UTC SaleCommon Stock 194 $9.68 $1,877.92
Disclosure

SEC source: 0001398344-21-012490 · fp0065948_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,753

Read SEC document
June 02, 2021 Filed Jun 3, 2021 13:49 UTC SaleCommon Stock 3,041 $9.72 $29,558.52
Disclosure

SEC source: 0001398344-21-012412 · fp0065901_4.xml · nonDerivative · entry 7

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 96,947

Read SEC document
June 02, 2021 Filed Jun 3, 2021 13:49 UTC SaleCommon Stock 3,874 $9.71 $37,616.54
Disclosure

SEC source: 0001398344-21-012412 · fp0065901_4.xml · nonDerivative · entry 6

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 99,988

Read SEC document
June 02, 2021 Filed Jun 3, 2021 13:49 UTC SaleCommon Stock 1,796 $9.73 $17,475.08
Disclosure

SEC source: 0001398344-21-012412 · fp0065901_4.xml · nonDerivative · entry 5

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 103,862

Read SEC document
June 01, 2021 Filed Jun 3, 2021 13:49 UTC SaleCommon Stock 5,000 $9.69 $48,450.00
Disclosure

SEC source: 0001398344-21-012412 · fp0065901_4.xml · nonDerivative · entry 4

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,658

Read SEC document
June 01, 2021 Filed Jun 3, 2021 13:49 UTC SaleCommon Stock 142 $9.75 $1,384.50
Disclosure

SEC source: 0001398344-21-012412 · fp0065901_4.xml · nonDerivative · entry 3

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,658

Read SEC document
June 01, 2021 Filed Jun 3, 2021 13:49 UTC SaleCommon Stock 100 $9.73 $973.00
Disclosure

SEC source: 0001398344-21-012412 · fp0065901_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,800

Read SEC document
June 01, 2021 Filed Jun 3, 2021 13:49 UTC SaleCommon Stock 4,847 $9.72 $47,112.84
Disclosure

SEC source: 0001398344-21-012412 · fp0065901_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 110,900

Read SEC document
May 05, 2021 Filed May 6, 2021 19:36 UTC SaleCommon Stock 2,000 $9.12 $18,240.00
Disclosure

SEC source: 0001398344-21-009866 · fp0065374_4.xml · nonDerivative · entry 1

SELL MORITZ A · CIK 0001053116 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,330

Read SEC document
October 02, 2020 Filed Oct 2, 2020 20:07 UTC SaleCommon Stock 2,000 $8.37 $16,740.00
Disclosure

SEC source: 0001398344-20-019569 · fp0058152_4.xml · nonDerivative · entry 1

SELL MORITZ A · CIK 0001053116 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,330

F1 · balance_after: Mr. Sell acquired 280 shares of the issuer as the result of automatic reinvestment of dividends.

Read SEC document
April 30, 2020 Filed May 4, 2020 20:58 UTC PurchaseCommon Stock 500 $7.37 $3,685.00
Disclosure

SEC source: 0001398344-20-009225 · fp0053567_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,747

Read SEC document
April 23, 2020 Filed Apr 27, 2020 17:47 UTC PurchaseCommon Stock 5,000 $7.35 $36,750.00
Disclosure

SEC source: 0001398344-20-008504 · fp0053351_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 115,247

Read SEC document
April 03, 2020 Filed Apr 3, 2020 20:44 UTC PurchaseCommon Stock 1,000 $6.90 $6,900.00
Disclosure

SEC source: 0001398344-20-007510 · fp0052502_4.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,067

F1 · balance_after: Mr. Hellerman acquired 9 shares of the issuer as the result of automatic reinvestment of dividends.

Read SEC document
March 16, 2020 Filed Mar 16, 2020 18:56 UTC PurchaseCommon Stock 1,017 $6.13 $6,234.21
Disclosure

SEC source: 0001398344-20-006041 · fp0051876_4.xml · nonDerivative · entry 1

SELL MORITZ A · CIK 0001053116 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,050

Read SEC document
March 09, 2020 Filed Mar 10, 2020 18:53 UTC PurchaseCommon Stock 2,000 $7.67 $15,345.60
Disclosure

SEC source: 0001398344-20-005721 · fp0051783_4.xml · nonDerivative · entry 1

SELL MORITZ A · CIK 0001053116 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,033

F1 · balance_after: Mr. Sell acquired 33 shares of the issuer as the result of automatic reinvestment of dividends.

Read SEC document
February 28, 2020 Filed Mar 2, 2020 18:33 UTC PurchaseCommon Stock 4,899 $7.73 $37,869.27
Disclosure

SEC source: 0001398344-20-004855 · fp0051457_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Read SEC document
February 28, 2020 Filed Mar 3, 2020 19:10 UTC
Dakos AndrewDirector · President and CEO
PurchaseCommon Stock 1,000 $7.75 $7,750.00
Disclosure

SEC source: 0001398344-20-004971 · fp0051643_4.xml · nonDerivative · entry 1

Dakos Andrew · CIK 0001341021 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,064

Read SEC document
February 27, 2020 Filed Mar 2, 2020 21:04 UTC PurchaseCommon Stock 1,000 $8.00 $8,000.00
Disclosure

SEC source: 0001398344-20-004873 · fp0051458_4.xml · nonDerivative · entry 1

HELLERMAN GERALD · CIK 0001222911 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,057

F1 · balance_after: Mr. Hellerman acquired 16 shares of the issuer as the result of automatic reinvestments of dividends.

Read SEC document
February 27, 2020 Filed Mar 2, 2020 18:33 UTC PurchaseCommon Stock 5,000 $7.99 $39,950.00
Disclosure

SEC source: 0001398344-20-004855 · fp0051457_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Read SEC document
February 25, 2020 Filed Feb 26, 2020 17:35 UTC PurchaseCommon Stock 4,987 $8.42 $41,990.54
Disclosure

SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 5

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,348

Read SEC document
February 25, 2020 Filed Feb 26, 2020 17:35 UTC PurchaseCommon Stock 5,000 $8.33 $41,650.00
Disclosure

SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 4

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 95,361

Read SEC document
February 25, 2020 Filed Feb 26, 2020 17:35 UTC PurchaseCommon Stock 5,000 $8.32 $41,600.00
Disclosure

SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 3

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 90,361

Read SEC document
February 24, 2020 Filed Feb 26, 2020 17:35 UTC PurchaseCommon Stock 5,000 $8.45 $42,250.00
Disclosure

SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 2

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 85,361

Read SEC document
February 24, 2020 Filed Feb 26, 2020 17:35 UTC PurchaseCommon Stock 5,013 $8.42 $42,209.46
Disclosure

SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,361

Read SEC document
January 06, 2020 Filed Jan 8, 2020 22:07 UTC PurchaseCommon Stock 1,086 $8.33 $9,046.38
Disclosure

SEC source: 0001398344-20-000445 · fp0049353_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,348

Read SEC document
December 19, 2019 Filed Dec 23, 2019 21:09 UTC PurchaseCommon Stock 2,611 $8.20 $21,410.20
Disclosure

SEC source: 0001398344-19-023007 · fp0048945_4.xml · nonDerivative · entry 1

GOLDSTEIN PHILLIP · CIK 0001067621 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,262

Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.