PHILLIP GOLDSTEIN

Insider Reports History

Location
Pleasantville, NY
Signature
/s/ Stephanie Darling, as Power of Attorney for Phillip Goldstein
All insider transactions
Transactions in reports broken out by “transaction date” reported in original SEC filing, see here for transactions aggregated across transaction date

Holdings reported by PHILLIP GOLDSTEIN:

Company Role Class Num Shares Value Price $ Report Date Ownership
Total Return Securities Fund Director Common Stock 93,224 $565,869 $6.07 11 Dec 2025 Direct
SPECIAL OPPORTUNITIES FUND, INC. Chairman and Secretary, Director Common Stock 34,822 $535,562 $15.38 22 Aug 2025 Direct
MEXICO EQUITY & INCOME FUND INC Director Common Stock 10,002 $75,715 $7.57 15 Oct 2021 Direct
MFS INVESTMENT GRADE MUNICIPAL TRUST 10%+ Owner Common Stock 7,688 $59,890 $7.79 13 Feb 2024 Direct
HIGH INCOME SECURITIES FUND Director Common Stock 5,934 $35,544 $5.99 18 Dec 2025 Direct
SPECIAL OPPORTUNITIES FUND, INC. Chairman and Secretary, Director 2.75% Convertible Preferred Stock, Series C 120 $3,012 $25.10 22 Aug 2025 Direct
BNY MELLON MUNICIPAL INCOME, INC. Director Common Stock, Par Value $.001 Per Share 58,110 12 Jun 2024 Direct
Logan Ridge Finance Corp. 10%+ Owner Common Stock 2,500 13 Mar 2025 Direct
TORTOISE ENERGY INDEPENDENCE FUND, INC. 10%+ Owner Common Stock 0 $29.38 30 Apr 2021 Direct

Insider Reports Filed by PHILLIP GOLDSTEIN

Symbol Company Period Transactions Value $ Form Type Role Filing Time
PCF HIGH INCOME SECURITIES FUND 16 Dec 2025 3 +$34,820 4 Director 18 Dec 2025, 17:01
SWZ Total Return Securities Fund 11 Dec 2025 1 +$491,524 4 Director 12 Dec 2025, 17:04
SPE SPECIAL OPPORTUNITIES FUND, INC. 22 Aug 2025 1 -$75,300 4 Chairman and Secretary, Director 25 Aug 2025, 17:01
SPE SPECIAL OPPORTUNITIES FUND, INC. 04 Apr 2025 1 +$41,400 4 Chairman and Secretary, Director 08 Apr 2025, 17:02
LRFC Logan Ridge Finance Corp. 13 Mar 2025 0 $0 3 10%+ Owner 03 Apr 2025, 16:05
PCF HIGH INCOME SECURITIES FUND 24 Feb 2025 3 -$179,929 4 Director 26 Feb 2025, 17:01
SWZ SWISS HELVETIA FUND, INC. 17 Jan 2025 1 -$38,321 4 Director 21 Jan 2025, 16:14
PCF HIGH INCOME SECURITIES FUND 12 Dec 2024 1 -$1,648,151 4 Director 16 Dec 2024, 17:03
SPE SPECIAL OPPORTUNITIES FUND, INC. 15 Oct 2024 1 -$14,523 4 Chairman and Secretary, Director 16 Oct 2024, 17:01
PCF HIGH INCOME SECURITIES FUND 16 Aug 2024 1 +$1,618,529 4 Director 19 Aug 2024, 17:03
PCF HIGH INCOME SECURITIES FUND 28 Jun 2024 4 -$623,700 4 Director 01 Jul 2024, 17:01
PCF HIGH INCOME SECURITIES FUND 26 Jun 2024 9 -$990,893 4 Director 28 Jun 2024, 17:00
DMF BNY MELLON MUNICIPAL INCOME, INC. 12 Jun 2024 0 $0 3 Director 21 Jun 2024, 12:09
CXH MFS INVESTMENT GRADE MUNICIPAL TRUST 13 Feb 2024 0 $0 3 10%+ Owner 26 Sep 2024, 16:07
SPE SPECIAL OPPORTUNITIES FUND, INC. 28 Dec 2023 4 -$112,764 4 Chairman and Secretary, Director 02 Jan 2024, 15:53
PCF HIGH INCOME SECURITIES FUND 21 Apr 2023 1 +$63,700 4 Director 25 Apr 2023, 17:00
PCF HIGH INCOME SECURITIES FUND 10 Apr 2023 1 +$63,900 4 Director 12 Apr 2023, 15:30
PCF HIGH INCOME SECURITIES FUND 06 Apr 2023 1 +$60,959 4 Director 10 Apr 2023, 12:26
SPE SPECIAL OPPORTUNITIES FUND, INC. 05 Apr 2023 2 +$80,290 4 Chairman and Secretary, Director 07 Apr 2023, 08:37
SPE SPECIAL OPPORTUNITIES FUND, INC. 29 Mar 2023 2 +$24,262 4 Chairman and Secretary, Director 31 Mar 2023, 17:00
PCF HIGH INCOME SECURITIES FUND 17 Mar 2023 1 +$25,120 4 Director 21 Mar 2023, 17:01
PCF HIGH INCOME SECURITIES FUND 13 Mar 2023 1 +$5,024 4 Director 15 Mar 2023, 17:02
SPE SPECIAL OPPORTUNITIES FUND, INC. 03 Feb 2023 1 +$23,700 4 Chairman and Secretary, Director 07 Feb 2023, 16:00
SPE SPECIAL OPPORTUNITIES FUND, INC. 30 Jan 2023 1 +$23,260 4 Chairman and Secretary, Director 01 Feb 2023, 16:00
SPE SPECIAL OPPORTUNITIES FUND, INC. 05 Apr 2022 1 -$55,448 4 Chairman and Secretary, Director 07 Apr 2022, 17:02
SPE SPECIAL OPPORTUNITIES FUND, INC. 07 Feb 2022 1 +$29,510 4 Chairman and Secretary, Director 09 Feb 2022, 16:00
SPE SPECIAL OPPORTUNITIES FUND, INC. 27 Jan 2022 1 +$234,225 4 Chairman and Secretary, Director 28 Jan 2022, 16:14
SPE SPECIAL OPPORTUNITIES FUND, INC. 16 Dec 2021 1 -$39,529 4 Chairman and Secretary, Director 20 Dec 2021, 16:00
PCF HIGH INCOME SECURITIES FUND 01 Nov 2021 1 +$1,755,132 4 Director 03 Nov 2021, 17:01
MXE MEXICO EQUITY & INCOME FUND INC 15 Oct 2021 1 +$89,009 4 Director 18 Oct 2021, 17:02
PCF HIGH INCOME SECURITIES FUND 17 Aug 2021 3 -$279,550 4 Director 18 Aug 2021, 17:01
PCF HIGH INCOME SECURITIES FUND 13 Aug 2021 5 -$300,865 4 Director 17 Aug 2021, 17:00
PCF HIGH INCOME SECURITIES FUND 11 Aug 2021 2 -$274,131 4 Director 13 Aug 2021, 17:01
PCF HIGH INCOME SECURITIES FUND 09 Aug 2021 5 -$262,261 4 Director 11 Aug 2021, 17:02
PCF HIGH INCOME SECURITIES FUND 05 Aug 2021 5 -$273,686 4 Director 09 Aug 2021, 17:01
PCF HIGH INCOME SECURITIES FUND 03 Aug 2021 8 -$230,162 4 Director 05 Aug 2021, 17:02
SWZ SWISS HELVETIA FUND, INC. 02 Jul 2021 1 -$11,865 4 Director 06 Jul 2021, 15:51
SPE SPECIAL OPPORTUNITIES FUND, INC. 24 Jun 2021 2 $0 4 Chairman and Secretary, Director 24 Jun 2021, 17:32
SPE SPECIAL OPPORTUNITIES FUND, INC. 04 Jun 2021 3 -$1,423,376 4 Chairman and Secretary, Director 08 Jun 2021, 15:28
SWZ SWISS HELVETIA FUND, INC. 04 Jun 2021 2 -$731,404 4 Director 08 Jun 2021, 08:18
SWZ SWISS HELVETIA FUND, INC. 03 Jun 2021 2 -$19,284 4 Director 04 Jun 2021, 10:21
SWZ SWISS HELVETIA FUND, INC. 01 Jun 2021 7 -$182,570 4 Director 03 Jun 2021, 09:49
/report/000139834421010039-goldstein-phillip-2021-04-30 TORTOISE ENERGY INDEPENDENCE FUND, INC. 30 Apr 2021 0 $0 3 10%+ Owner 10 May 2021, 12:02