Phillip Goldstein insider trades: Total Return Securities Fund (SWZ) stock buys and sales
Trades on the price chart
Daily close, with an arrow on each day they bought or sold
Companies
Where Phillip reports to the SEC
and 33 more companies
Open-market buys and sales
676 trades reported on SEC Form 4, newest first
| Date | Stock | Type | Shares | Price | Value | Holding | Reported |
|---|---|---|---|---|---|---|---|
| Oct 8, 2026 | SWZ | ↑ Buy | 5,000 | $5.73 | $29K | Direct | Oct 13, 2026 (5d) |
| Aug 20, 2026 | PCF | ↑ Buy | 25,000 | $5.38 | $134K | Direct | Aug 21, 2026 (1d) |
| Aug 6, 2026 | PCF | ↑ Buy | 819 | $5.30 | $4K | Direct | Aug 10, 2026 (4d) |
| Jul 6, 2026 | SWZ | ↑ Buy | 5,980 | $5.95 | $36K | Direct | Jul 8, 2026 (2d) |
| Apr 8, 2026 | PCF | ↑ Buy | 5,688 | $5.46 | $31K | Direct | Apr 9, 2026 (1d) |
| Mar 18, 2026 | PCF | ↑ Buy | 17,905 | $5.46 | $98K | Direct | Mar 19, 2026 (1d) |
| Mar 18, 2026 | SWZ | ↑ Buy | 10,000 | $5.98 | $60K | Direct | Mar 19, 2026 (1d) |
| Mar 5, 2026 | SWZ | ↑ Buy | 10,000 | $5.99 | $60K | Direct | Mar 9, 2026 (4d) |
| Mar 3, 2026 | SWZ | ↑ Buy | 5,000 | $6.01 | $30K | Direct | Mar 5, 2026 (2d) |
| Feb 24, 2026 | CXH | ↑ Buy | 1,372 | $8.12 | $11K | Direct | Feb 26, 2026 (2d) |
| Feb 23, 2026 | SWZ | ↑ Buy | 5,000 | $6.13 | $31K | Direct | Feb 25, 2026 (2d) |
| Feb 6, 2026 | SWZ | ↑ Buy | 10,000 | $6.07 | $61K | Direct | Feb 10, 2026 (4d) |
| Feb 3, 2026 | PCF | ↑ Buy | 17,514 | $6.05 | $106K | Direct | Feb 4, 2026 (1d) |
| Jan 30, 2026 | SWZ | ↑ Buy | 10,000 | $5.92 | $59K | Direct | Feb 3, 2026 (4d) |
| Jan 23, 2026 | CXH | ↑ Buy | 10,119 | $7.97 | $81K | Direct | Jan 26, 2026 (3d) |
| Jan 22, 2026 | CXH | ↓ Sell | 5,000 | $7.97 | $40K | Direct | Jan 26, 2026 (4d) |
| Jan 20, 2026 | CMU | ↑ Buy | 678 | $3.50 | $2K | Direct | Jan 23, 2026 (3d) |
| Jan 20, 2026 | CMU | ↑ Buy | 678 | $3.50 | $2K | Direct | Jan 22, 2026 (2d) |
| Dec 18, 2025 | PCF | ↑ Buy | 5,787 | $6.02 | $35K | Direct | Dec 18, 2025 (0d) |
| Apr 4, 2025 | SPE | ↑ Buy | 3,000 | $13.80 | $41K | Direct | Apr 8, 2025 (4d) |
| Feb 25, 2025 | PCF | ↓ Sell | 26,280 | $6.85 | $180K | Direct | Feb 26, 2025 (1d) |
| Jan 17, 2025 | SWZ | ↓ Sell | 4,535 | $8.45 | $38K | Direct | Jan 21, 2025 (4d) |
| Jun 28, 2024 | PCF | ↓ Sell | 90,000 | $6.93 | $624K | Direct | Jul 1, 2024 (3d) |
| Jun 27, 2024 | PCF | ↓ Sell | 144,600 | $6.85 | $991K | Direct | Jun 28, 2024 (1d) |
| Dec 28, 2023 | SPE | ↑ Buy | 1,363 | $11.78 | $16K | Direct | Jan 2, 2024 (5d) |
| Apr 21, 2023 | PCF | ↑ Buy | 10,000 | $6.37 | $64K | Direct | Apr 25, 2023 (4d) |
| Apr 10, 2023 | PCF | ↑ Buy | 10,000 | $6.39 | $64K | Direct | Apr 12, 2023 (2d) |
| Apr 6, 2023 | PCF | ↑ Buy | 9,510 | $6.41 | $61K | Direct | Apr 10, 2023 (4d) |
| Apr 6, 2023 | SPE | ↑ Buy | 7,400 | $10.85 | $80K | Direct | Apr 7, 2023 (1d) |
| Mar 30, 2023 | SPE | ↑ Buy | 2,243 | $10.82 | $24K | Direct | Mar 31, 2023 (1d) |
| Mar 17, 2023 | PCF | ↑ Buy | 4,000 | $6.28 | $25K | Direct | Mar 21, 2023 (4d) |
| Mar 13, 2023 | PCF | ↑ Buy | 790 | $6.36 | $5K | Direct | Mar 15, 2023 (2d) |
| Feb 3, 2023 | SPE | ↑ Buy | 2,000 | $11.85 | $24K | Direct | Feb 7, 2023 (4d) |
| Jan 30, 2023 | SPE | ↑ Buy | 2,000 | $11.63 | $23K | Direct | Feb 1, 2023 (2d) |
| Feb 7, 2022 | SPE | ↑ Buy | 2,000 | $14.76 | $30K | Direct | Feb 9, 2022 (2d) |
| Dec 16, 2021 | SPE | ↓ Sell | 2,542 | $15.55 | $40K | Direct | Dec 20, 2021 (4d) |
| Aug 17, 2021 | PCF | ↓ Sell | 28,000 | $9.98 | $280K | Direct | Aug 18, 2021 (1d) |
| Aug 16, 2021 | PCF | ↓ Sell | 30,310 | $9.93 | $301K | Direct | Aug 17, 2021 (1d) |
| Aug 11, 2021 | PCF | ↓ Sell | 27,718 | $9.89 | $274K | Direct | Aug 13, 2021 (2d) |
| Aug 10, 2021 | PCF | ↓ Sell | 26,506 | $9.89 | $262K | Direct | Aug 11, 2021 (1d) |
| Aug 6, 2021 | PCF | ↓ Sell | 27,701 | $9.88 | $274K | Direct | Aug 9, 2021 (3d) |
| Aug 4, 2021 | PCF | ↓ Sell | 23,342 | $9.86 | $230K | Direct | Aug 5, 2021 (1d) |
| Jul 2, 2021 | SWZ | ↓ Sell | 1,212 | $9.79 | $12K | Direct | Jul 6, 2021 (4d) |
| Jun 7, 2021 | SPE | ↓ Sell | 98,330 | $15.33 | $1.5M | Direct | Jun 8, 2021 (1d) |
| Jun 4, 2021 | SWZ | ↓ Sell | 76,958 | $9.50 | $731K | Direct | Jun 8, 2021 (4d) |
| Jun 3, 2021 | SWZ | ↓ Sell | 1,994 | $9.67 | $19K | Direct | Jun 4, 2021 (1d) |
| Jun 2, 2021 | SWZ | ↓ Sell | 18,800 | $9.71 | $183K | Direct | Jun 3, 2021 (1d) |
| Apr 5, 2021 | IRL | ↓ Sell | 25,088 | $12.50 | $314K | Held by Clients | Aug 5, 2021 (122d) |
| Dec 24, 2020 | PCF | ↓ Sell | 13,700 | $8.54 | $117K | Direct | Dec 28, 2020 (4d) |
| Dec 18, 2020 | PCF | ↓ Sell | 5,000 | $9.02 | $45K | Direct | Dec 22, 2020 (4d) |
Each row is one filing's trades in one stock, summed. Shares and prices are as filed, before any later stock split.
Other SWZ insiders
Open-market trades in the last 12 months
About Phillip Goldstein's insider trades
Phillip Goldstein is Secretary at Total Return Securities Fund (SWZ). Since Jul 25, 2005, Phillip has reported 552 open-market purchases worth $107.9M and 124 sales worth $66.9M on SEC Form 4. In the last 12 months: 18 buys ($869K) and 1 sale ($40K).
Their filings also include other transactions (43 filings), shares returned to the company (16 filings), option exercises (11 filings), grants and awards (5 filings). These aren't open-market trades and aren't counted above.
How to read insider trades
Officers, directors and owners of more than 10% of a company must report trades in its stock on SEC Form 4, usually within two business days. Purchases with their own money are the stronger signal: insiders sell for many reasons (taxes, diversification, a house), but buy for one. See every SWZ insider trade, the latest insider trades across the market, or cluster buys, when several insiders buy the same stock within days.