Phillip Goldstein

Insider Reports History

Entity
Individual
Location
60 Heritage Drive, Pleasantville, NY
Signature
/s/ Stephanie Darling, 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:

Stock Role Class Num Shares Value Price $ Report Date Ownership
HIGH INCOME SECURITIES FUND Director Common Stock 260K $1.68M $6.48 Aug 16, 2024 Direct
SPECIAL OPPORTUNITIES FUND, INC. Chairman and Secretary, Director Common Stock 31.8K $375K $11.78 Dec 28, 2023 Direct
SWISS HELVETIA FUND, INC. Director Common Stock 16.8K $148K $8.82 Jul 2, 2021 Direct
SPECIAL OPPORTUNITIES FUND, INC. Chairman and Secretary, Director 2.75% Convertible Preferred Stock, Series C 3.74K $84.9K $22.70 Dec 29, 2023 Direct
MEXICO EQUITY & INCOME FUND INC Director Common Stock 10K $75.7K $7.57 Oct 15, 2021 Direct
BNY MELLON MUNICIPAL INCOME, INC. Director Common Stock, Par Value $.001 Per Share 58.1K Jun 12, 2024 Direct
TORTOISE ENERGY INDEPENDENCE FUND, INC. 10%+ Owner Common Stock 0 $29.38 Apr 30, 2021 Direct

Insider Reports Filed by Phillip Goldstein

Symbol Company Period Transactions Value $ Form Type Date Filed Role
PCF HIGH INCOME SECURITIES FUND Aug 16, 2024 1 $1.62M 4 Aug 19, 2024 Director
PCF HIGH INCOME SECURITIES FUND Jun 28, 2024 4 -$624K 4 Jul 1, 2024 Director
PCF HIGH INCOME SECURITIES FUND Jun 26, 2024 9 -$991K 4 Jun 28, 2024 Director
DMF BNY MELLON MUNICIPAL INCOME, INC. Jun 12, 2024 0 $0 3 Jun 21, 2024 Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Dec 28, 2023 4 -$113K 4 Jan 2, 2024 Chairman and Secretary, Director
PCF HIGH INCOME SECURITIES FUND Apr 21, 2023 1 $63.7K 4 Apr 25, 2023 Director
PCF HIGH INCOME SECURITIES FUND Apr 10, 2023 1 $63.9K 4 Apr 12, 2023 Director
PCF HIGH INCOME SECURITIES FUND Apr 6, 2023 1 $61K 4 Apr 10, 2023 Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Apr 5, 2023 2 $80.3K 4 Apr 7, 2023 Chairman and Secretary, Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Mar 29, 2023 2 $24.3K 4 Mar 31, 2023 Chairman and Secretary, Director
PCF HIGH INCOME SECURITIES FUND Mar 17, 2023 1 $25.1K 4 Mar 21, 2023 Director
PCF HIGH INCOME SECURITIES FUND Mar 13, 2023 1 $5.02K 4 Mar 15, 2023 Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Feb 3, 2023 1 $23.7K 4 Feb 7, 2023 Chairman and Secretary, Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Jan 30, 2023 1 $23.3K 4 Feb 1, 2023 Chairman and Secretary, Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Apr 5, 2022 1 -$55.4K 4 Apr 7, 2022 Chairman and Secretary, Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Feb 7, 2022 1 $29.5K 4 Feb 9, 2022 Chairman and Secretary, Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Jan 27, 2022 1 $234K 4 Jan 28, 2022 Chairman and Secretary, Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Dec 16, 2021 1 -$39.5K 4 Dec 20, 2021 Chairman and Secretary, Director
PCF HIGH INCOME SECURITIES FUND Nov 1, 2021 1 $1.76M 4 Nov 3, 2021 Director
MXE MEXICO EQUITY & INCOME FUND INC Oct 15, 2021 1 $89K 4 Oct 18, 2021 Director
PCF HIGH INCOME SECURITIES FUND Aug 17, 2021 3 -$280K 4 Aug 18, 2021 Director
PCF HIGH INCOME SECURITIES FUND Aug 13, 2021 5 -$301K 4 Aug 17, 2021 Director
PCF HIGH INCOME SECURITIES FUND Aug 11, 2021 2 -$274K 4 Aug 13, 2021 Director
PCF HIGH INCOME SECURITIES FUND Aug 9, 2021 5 -$262K 4 Aug 11, 2021 Director
PCF HIGH INCOME SECURITIES FUND Aug 5, 2021 5 -$274K 4 Aug 9, 2021 Director
PCF HIGH INCOME SECURITIES FUND Aug 3, 2021 8 -$230K 4 Aug 5, 2021 Director
SWZ SWISS HELVETIA FUND, INC. Jul 2, 2021 1 -$11.9K 4 Jul 6, 2021 Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Jun 24, 2021 2 $0 4 Jun 24, 2021 Chairman and Secretary, Director
SPE SPECIAL OPPORTUNITIES FUND, INC. Jun 4, 2021 3 -$1.42M 4 Jun 8, 2021 Chairman and Secretary, Director
SWZ SWISS HELVETIA FUND, INC. Jun 4, 2021 2 -$731K 4 Jun 8, 2021 Director
SWZ SWISS HELVETIA FUND, INC. Jun 3, 2021 2 -$19.3K 4 Jun 4, 2021 Director
SWZ SWISS HELVETIA FUND, INC. Jun 1, 2021 7 -$183K 4 Jun 3, 2021 Director
NDP TORTOISE ENERGY INDEPENDENCE FUND, INC. Apr 30, 2021 0 $0 3 May 10, 2021 10%+ Owner