Insider · CIK 0001053116

SELL MORITZ A

Reports to the SEC for 10 companies · CINCINNATI, OH

sec.gov

Transactions

Companies

Filings

CIK

0001053116

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2026-09-28	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+2,000 sh	$5.76	+$11.5K	30,246
2026-08-31	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+3,000 sh	$5.98	+$17.9K	28,246
2026-08-10	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,000 sh	$5.91	+$5,910	25,246
2026-07-23	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+2,000 sh	$5.86	+$11.7K	24,246
2026-07-22	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+517 sh	$5.90	+$3,050.3	22,246
2026-07-21	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+483 sh	$5.90	+$2,849.7	21,729
2026-07-20	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,000 sh	$5.93	+$5,930	21,246
2026-06-29	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+2,000 sh	$5.92	+$11.9K	20,246
2026-06-26	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+2,091 sh	$5.88	+$12.3K	18,246
2026-06-18	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,853 sh	$5.91	+$11K	16,155
2026-06-17	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+147 sh	$5.91	+$868.77	14,302
2026-06-16	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+2,000 sh	$5.96	+$11.9K	14,155
2026-06-15	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+155 sh	$5.95	+$922.25	12,155
2026-05-29	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,000 sh	$6.01	+$6,010	12,000
2026-05-15	FCOABRDN GLOBAL INCOME FUND, INC.J Other	Director	JOther	−1,000 sh	—	—	0
2026-05-15	FAXABRDN ASIA-PACIFIC INCOME FUND, INC.J Other	Director	JOther	+176 sh	—	—	1,145
2026-04-24	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,002 sh	$6.07	+$6,077.13	11,000
2026-02-03	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,000 sh	$5.96	+$5,960	9,998
2026-02-02	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,120 sh	$5.98	+$6,697.6	8,998
2026-01-23	SWZTotal Return Securities FundD Disposition to Issuer	Director	DDisposition to Issuer	−3,922 sh	$6.81	−$26.7K	7,878
2025-12-11	SWZTotal Return Securities FundM Exercise/Conversion	Director	MExercise/Conversion	+7,400 sh	$6.07	+$44.9K	11,800
2025-10-27	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,000 sh	$6.05	+$6,055	4,400
2025-07-02	IAFABRDN AUSTRALIA EQUITY FUND, INC.P Purchase	Director	PPurchase	+2,000 sh	$4.50	+$9,000	3,000
2025-06-30	SWZTotal Return Securities FundP Purchase	Director	PPurchase	+1,815 sh	$6.34	+$11.5K	3,400
2025-06-30	FAXABRDN ASIA-PACIFIC INCOME FUND, INC.P Purchase	Director	PPurchase	+500 sh	$15.90	+$7,950	896
2025-04-09	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+789 sh	$5.95	+$4,694.55	11,822
2025-04-07	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+2,000 sh	$6.06	+$12.1K	8,546
2025-04-07	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+2,000 sh	$5.91	+$11.8K	10,546
2025-04-07	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+487 sh	$5.90	+$2,873.3	11,033
2025-04-04	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+100 sh	$6.29	+$629	5,546
2025-04-04	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,000 sh	$6.30	+$6,300	6,546
2025-01-08	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,624 sh	$6.50	+$10.6K	5,446
2024-12-12	PCFHIGH INCOME SECURITIES FUNDD Disposition to Issuer	Director	DDisposition to Issuer	−33.7K sh	$7.07	−$238K	3,822
2024-08-15	PCFHIGH INCOME SECURITIES FUNDM Exercise/Conversion	Director	MExercise/Conversion	+19.4K sh	$6.48	+$126K	37,521
2023-05-04	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,000 sh	$6.17	+$6,170	17,988
2023-04-17	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,000 sh	$6.55	+$6,550	16,875
2023-04-14	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+500 sh	$6.60	+$3,300	15,875
2023-04-13	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+2,000 sh	$6.59	+$13.2K	15,375
2022-12-27	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,064 sh	$6.49	+$6,905.36	12,217
2022-12-27	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,000 sh	$6.46	+$6,460	13,217
2022-09-26	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,000 sh	$6.66	+$6,660	11,095
2022-07-14	FAXABRDN ASIA-PACIFIC INCOME FUND, INC.S Sale	Director	SSale	−2,520 sh	$2.72	−$6,857.928	1,000.95
2022-07-14	FCOABRDN GLOBAL INCOME FUND, INC.P Purchase	Director	PPurchase	+1,000 sh	$5.33	+$5,330	1,000
2022-01-24	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+347 sh	$8.01	+$2,779.47	8,672
2022-01-24	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,000 sh	$7.80	+$7,800	9,672
2021-12-30	FCOABRDN GLOBAL INCOME FUND, INC.S Sale	Director	SSale	−1,000 sh	$7.40	−$7,400	0
2021-11-01	PCFHIGH INCOME SECURITIES FUNDM Exercise/Conversion	Director	MExercise/Conversion	+2,705 sh	$8.36	+$22.6K	8,325
2021-05-05	SWZTotal Return Securities FundS Sale	Director	SSale	−2,000 sh	$9.12	−$18.2K	1,330
2021-02-02	PCFHIGH INCOME SECURITIES FUNDM Exercise/Conversion	Director	MExercise/Conversion	+5,060 sh	$8.24	+$41.7K	5,620
2021-02-02	PCFHIGH INCOME SECURITIES FUNDM Exercise/Conversion	Director	MExercise/Conversion	+3,560 sh	$8.24	+$29.3K	4,120

Recent filings

Accepted (ET)
Sep 304
SELL MORITZ A0001398344-26-017612
SEC(opens sec.gov)
Sep 14
SELL MORITZ A0001398344-26-016344
SEC(opens sec.gov)
Aug 124
SELL MORITZ A0001398344-26-014213
SEC(opens sec.gov)
Jul 244
SELL MORITZ A0001398344-26-012674
SEC(opens sec.gov)
Jul 224
SELL MORITZ A0001398344-26-012496
SEC(opens sec.gov)
Jun 304
SELL MORITZ A0001398344-26-011448
SEC(opens sec.gov)
Jun 224
SELL MORITZ A0001398344-26-011111
SEC(opens sec.gov)
Jun 174
SELL MORITZ A0001398344-26-010969
SEC(opens sec.gov)
Jun 14
SELL MORITZ A0001398344-26-010110
SEC(opens sec.gov)
May 194
SELL MORITZ A0001104659-26-063675
SEC(opens sec.gov)
May 194
SELL MORITZ A0001104659-26-063668
SEC(opens sec.gov)
Apr 274
SELL MORITZ A0001398344-26-007317
SEC(opens sec.gov)
Feb 44
SELL MORITZ A0001398344-26-002216
SEC(opens sec.gov)
Jan 274
SELL MORITZ A0001398344-26-001376
SEC(opens sec.gov)

Companies

Address

C/O ULTIMUS FUND SOLUTIONS 225 PICTORIA DR., SUITE 450

CINCINNATI, OH, 45246