Dakos Andrew — SEC Form 4 filings
SEC reporting owner CIK 1341021. 32 Form 4 filings on record with FilingPulse; latest filed 2026-07-15.
Transaction summary — filings shown
Covers all 32 filings on record, filed 2024-08-19 to 2026-07-15. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 48 legs across 20 filings — 162,380 shares, $1,003,090 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 6 legs across 4 filings — 15,869 shares, $195,212 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 12.
- Largest priced transaction: purchase of 10,000 shares @ $7.97 ($79,700) in MFS INVESTMENT GRADE MUNICIPAL TRUST, filed 2026-01-26.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| Total Return Securities Fund (SWZ) | President and CEO, Director | 17 | 42 legs · 145,544 sh · $874,244 | — | 3 |
| MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) | 10% owner | 3 | 4 legs · 15,480 sh · $124,100 | 1 leg · 5,000 sh · $39,850 | 1 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPE) | President and CEO, Director | 3 | — | 5 legs · 10,869 sh · $155,362 | 1 |
| MFS HIGH YIELD MUNICIPAL TRUST (CMU) | 10% owner | 2 | 2 legs · 1,356 sh · $4,746 | — | — |
| TEJON RANCH CO (TRC) | Director | 5 | — | — | 5 |
| HIGH INCOME SECURITIES FUND (PCF) | President, Director | 2 | — | — | 2 |
Form 4 filings — Dakos Andrew
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-07-15 | 4 | TEJON RANCH CO (TRC) | Grant/award (A): 918 @ $18.70 | EDGAR |
| 2026-07-07 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 233 @ $5.92 · Purchase (P): 4,767 @ $5.92 | EDGAR |
| 2026-06-04 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Sale (S): 1,077 @ $14.02 · Sale (S): 5,184 @ $14.11 · Sale (S): 133 @ $14.07 · Sale (S): 200 (derivative) @ $25 | EDGAR |
| 2026-05-29 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 4,500 @ $5.97 · Purchase (P): 3,000 @ $5.98 · Purchase (P): 100 @ $5.98 · Purchase (P): 5,400 @ $5.99 | EDGAR |
| 2026-05-20 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 4,000 @ $5.95 · Purchase (P): 13 @ $5.95 · Purchase (P): 2,987 @ $5.96 | EDGAR |
| 2026-04-20 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 4,718 @ $6.06 · Purchase (P): 3,000 @ $6.05 · Purchase (P): 547 @ $6.04 · Purchase (P): 3,000 @ $6.09 | EDGAR |
| 2026-04-09 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 2,000 @ $5.95 · Purchase (P): 4,000 @ $5.97 | EDGAR |
| 2026-04-07 | 4 | TEJON RANCH CO (TRC) | Grant/award (A): 913 @ $18.84 | EDGAR |
| 2026-04-06 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 4,863 @ $5.93 · Purchase (P): 100 @ $5.95 | EDGAR |
| 2026-03-31 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 5,900 @ $5.92 · Purchase (P): 5,300 @ $5.91 | EDGAR |
| 2026-03-26 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 5,000 @ $5.96 · Purchase (P): 1,000 @ $5.95 | EDGAR |
| 2026-03-13 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 1,700 @ $6 · Purchase (P): 3,324 @ $6 | EDGAR |
| 2026-03-09 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 12,000 @ $6.01 · Purchase (P): 12,500 @ $5.97 | EDGAR |
| 2026-03-04 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 5,000 @ $6.15 · Purchase (P): 9,918 @ $5.95 | EDGAR |
| 2026-03-02 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 5,000 @ $6.17 · Purchase (P): 2,000 @ $6.20 | EDGAR |
| 2026-02-26 | 4 | MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) jointly with Bulldog Investors, LLP, GOLDSTEIN PHILLIP | Purchase (P): 1,372 @ $8.12 | EDGAR |
| 2026-02-25 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 2,000 @ $6.14 · Purchase (P): 2,000 @ $6.13 · Purchase (P): 326 @ $6.14 · Purchase (P): 1,348 @ $6.17 | EDGAR |
| 2026-02-23 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 119 @ $6.11 · Purchase (P): 4,881 @ $6.12 · Purchase (P): 183 @ $6.14 · Purchase (P): 2,817 @ $6.16 | EDGAR |
| 2026-02-13 | 4 | MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) jointly with Bulldog Investors, LLP, GOLDSTEIN PHILLIP | Purchase (P): 3,989 @ $8.10 | EDGAR |
| 2026-02-05 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 7,000 @ $5.97 · Purchase (P): 3,000 @ $5.96 · Purchase (P): 2,000 @ $6.04 · Purchase (P): 2,000 @ $6.03 · Purchase (P): 2,000 @ $6.02 | EDGAR |
| 2026-01-27 | 4 | Total Return Securities Fund (SWZ) | Disposition to issuer (D): 997 @ $6.81 · Disposition to issuer (D): 11,675 @ $6.81 | EDGAR |
| 2026-01-26 | 4 | MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) jointly with Bulldog Investors, LLP, GOLDSTEIN PHILLIP | Code (L): 100 @ $7.92 · Purchase (P): 10,000 @ $7.97 · Sale (S): 5,000 @ $7.97 · Purchase (P): 119 @ $7.97 | EDGAR |
| 2026-01-23 | 4/A | MFS HIGH YIELD MUNICIPAL TRUST (CMU) jointly with Bulldog Investors, LLP, GOLDSTEIN PHILLIP | Purchase (P): 678 @ $3.50 | EDGAR |
| 2026-01-22 | 4 | MFS HIGH YIELD MUNICIPAL TRUST (CMU) jointly with Bulldog Investors, LLP, GOLDSTEIN PHILLIP | Purchase (P): 678 @ $3.50 | EDGAR |
| 2026-01-13 | 4 | TEJON RANCH CO (TRC) | Grant/award (A): 1,043 @ $15.77 | EDGAR |
| 2025-12-31 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Sale (S): 4,098 @ $14.66 | EDGAR |
| 2025-12-12 | 4 | Total Return Securities Fund (SWZ) | Option exercise (M): 35,064 @ $6.07 | EDGAR |
| 2025-11-06 | 4 | TEJON RANCH CO (TRC) | Grant/award (A): 1,032 @ $15.98 | EDGAR |
| 2025-07-18 | 4 | TEJON RANCH CO (TRC) | Grant/award (A): 461 @ $16.96 | EDGAR |
| 2024-12-16 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Disposition to issuer (D): 94,433 @ $7.07 | EDGAR |
| 2024-09-23 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Sale (S): 377 @ $13.74 | EDGAR |
| 2024-08-19 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Option exercise (M): 70,092 @ $6.48 | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
Need this as JSON?
GET https://api.filingpulse.io/v1/insider-trades?owner_cik=1341021 returns every filing on this page — normalized, with footnotes and derivative legs — and webhooks push new filings to you in seconds. API docs →