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Insider Trading - GOLDSTEIN PHILLIP
| | "Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise" - Peter Lynch What is insider trading>> SPAC List: List of Special Purpose Acquisition Companies |
Common stock purchase or sale:
| Transaction Date | Reported DateTime | Company | Symbol | Insider Relationship | Shares Traded | Average Price | Total Amount | Shares Owned | Filing |
| 2019-04-17 Sale | 2019-04-22 4:09 pm | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND | AKP | Bulldog Investors LLC Samuels Steven GOLDSTEIN PHILLIP Dakos Andrew 10% Owner | 536,293 | $14.68 | $7,870,681 | 1,086 (Indirect Direct) | View |
| 2019-10-16 Sale | 2019-10-18 10:01 am | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 107 | $8.4647 | $906 | 0 (Indirect Direct) | View |
| 2019-11-29 Purchase | 2019-12-03 3:37 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 30,000 | $8.1033 | $243,100 | 31,037 (Direct) | View |
| 2019-12-17 Purchase | 2019-12-19 3:50 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 40,614 | $8.15 | $331,004 | 71,651 (Direct) | View |
| 2019-12-19 Purchase | 2019-12-23 4:09 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 2,611 | $8.2 | $21,410 | 74,262 (Direct) | View |
| 2020-01-06 Purchase | 2020-01-08 5:07 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 1,086 | $8.33 | $9,046 | 75,348 (Direct) | View |
| 2020-02-24 Purchase | 2020-02-26 12:35 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 25,000 | $8.388 | $209,700 | 100,348 (Direct) | View |
| 2020-02-27 Purchase | 2020-03-02 1:33 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 9,899 | $7.8613 | $77,819 | 110,247 (Direct) | View |
| 2020-02-28 Purchase | 2020-03-06 3:47 pm | WESTERN ASSET CORPORATE LOAN FUND Inc | TLI | Bulldog Investors LLC GOLDSTEIN PHILLIP Dakos Andrew 10% Owner | 586 | $9.7856 | $5,734 | 19,889 (Direct) | View |
| 2020-03-17 Purchase | 2020-04-06 10:27 am | HERZFELD CARIBBEAN BASIN FUND INC | CUBA | GOLDSTEIN PHILLIP 10% Owner | 5,365 | $3.55 | $19,046 | 259,411 (Direct) | View |
| 2020-03-17 Sale | 2020-04-06 10:27 am | HERZFELD CARIBBEAN BASIN FUND INC | CUBA | GOLDSTEIN PHILLIP 10% Owner | 131,311 | $3.1558 | $414,385 | 259,411 (Direct) | View |
| 2020-04-06 Sale | 2020-04-21 2:33 pm | HERZFELD CARIBBEAN BASIN FUND INC | CUBA | GOLDSTEIN PHILLIP 10% Owner | 55,480 | $3.3288 | $184,683 | 203,931 (Direct) | View |
| 2020-04-23 Purchase | 2020-04-27 1:47 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 5,000 | $7.35 | $36,750 | 115,247 (Direct) | View |
| 2020-04-30 Purchase | 2020-05-04 4:58 pm | SWISS HELVETIA FUND Inc | SWZ | GOLDSTEIN PHILLIP Director | 500 | $7.37 | $3,685 | 115,747 (Direct) | View |
| 2020-07-15 Purchase | 2020-07-16 5:00 pm | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 12,836 | $11.74 | $150,695 | 3,862 (Indirect Direct) | View |
| 2020-07-21 Purchase | 2020-07-23 11:51 am | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 10,000 | $11.83 | $118,250 | 123,721 (Indirect Direct) | View |
| 2020-07-15 Purchase(A) | 2020-08-18 1:39 pm | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 6,418 | $11.74 | $75,347 | 103,747 (Indirect Direct) | View |
| 2020-07-15 Sale(A) | 2020-08-18 1:39 pm | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 6,418 | $11.74 | $75,347 | 103,747 (Indirect Direct) | View |
| 2020-07-21 Purchase(A) | 2020-08-18 5:26 pm | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 10,000 | $11.83 | $118,250 | 113,747 (Indirect Direct) | View |
| 2020-09-14 Sale | 2020-09-16 3:09 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 31,499 | $8.456 | $266,356 | 118,501 (Direct) | View |
| 2020-09-16 Sale | 2020-09-17 3:05 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 11,992 | $8.456 | $101,405 | 106,509 (Direct) | View |
| 2020-09-21 Sale | 2020-09-23 5:22 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 2,856 | $8.3651 | $23,891 | 103,653 (Direct) | View |
| 2020-10-01 Sale | 2020-10-05 4:27 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 13,301 | $8.2862 | $110,214 | 90,352 (Direct) | View |
| 2020-10-08 Sale | 2020-10-13 4:14 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 19,728 | $8.3363 | $164,459 | 70,624 (Direct) | View |
| 2020-10-21 Sale | 2020-10-23 11:49 am | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 1,188 | $8.15 | $9,682 | 69,436 (Direct) | View |
| 2020-12-01 Sale | 2020-12-03 6:52 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 12,700 | $8.4367 | $107,146 | 56,736 (Direct) | View |
| 2020-12-04 Sale | 2020-12-08 11:46 am | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 12,255 | $8.571 | $105,038 | 44,481 (Direct) | View |
| 2020-12-08 Sale | 2020-12-10 12:38 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 5,000 | $8.66 | $43,300 | 39,481 (Direct) | View |
| 2020-12-15 Sale | 2020-12-17 2:27 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 20,000 | $8.7525 | $175,050 | 19,481 (Direct) | View |
| 2020-12-18 Sale | 2020-12-22 12:17 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 5,000 | $9.0214 | $45,107 | 14,481 (Direct) | View |
| 2020-12-02 Sale(A) | 2020-12-28 12:21 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 410 | $8.4 | $3,444 | 64,026 (Direct) | View |
| 2020-12-08 Sale(A) | 2020-12-28 12:29 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 368 | $8.68 | $3,194 | 38,703 (Direct) | View |
| 2020-12-23 Sale | 2020-12-28 12:35 pm | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 13,700 | $8.54 | $116,998 | 3 (Direct) | View |
Stock options: Exercise, Award, Grant, Conversion
| Transaction Date | Reported DateTime | Exercisable Expiration | Company | Symnbol | Insider Relationship | Shares Traded | Conversion Price | Shares Owned | Filing |
| 2019-04-17 Other | 2019-04-22 4:09 pm | N/A N/A | ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND | AKP | Bulldog Investors LLC Samuels Steven GOLDSTEIN PHILLIP Dakos Andrew 10% Owner | 96,742 | $0 | 537,379 (Indirect) | View |
| 2019-07-12 Gift | 2019-07-16 3:58 pm | N/A N/A | MVC CAPITAL Inc | MVC | GOLDSTEIN PHILLIP Director | 9,000 | $0 | 13,666 (Direct) | View |
| 2019-08-26 Acquisition | 2019-08-29 1:55 pm | N/A N/A | HERZFELD CARIBBEAN BASIN FUND INC | CUBA | GOLDSTEIN PHILLIP 10% Owner | 800 | $6.15 | 391,887 (Direct) | View |
| 2019-08-26 Acquisition | 2019-08-29 1:55 pm | N/A N/A | HERZFELD CARIBBEAN BASIN FUND INC | CUBA | GOLDSTEIN PHILLIP 10% Owner | 4,200 | $6.15 | 396,087 (Direct) | View |
| 2020-02-06 Disposition | 2020-02-07 5:03 pm | N/A N/A | MEXICO EQUITY & INCOME FUND INC | MXE | GOLDSTEIN PHILLIP Director | 5,583 | $12.02 | 0 (Direct) | View |
| 2020-02-13 Purchase | 2020-02-18 11:50 am | N/A N/A | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 900 | $25.75 | 26,064 (Direct) | View |
| 2020-02-13 Purchase | 2020-02-18 11:50 am | N/A N/A | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 100 | $25.75 | 26,164 (Direct) | View |
| 2020-02-21 Purchase | 2020-02-25 1:49 pm | N/A N/A | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 2,613 | $25.75 | 28,777 (Direct) | View |
| 2020-06-08 Disposition | 2020-06-10 5:01 pm | N/A N/A | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 16,564 | $25.28 | 12,213 (Direct) | View |
| 2020-06-08 Disposition | 2020-06-10 5:01 pm | N/A N/A | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 10,000 | $25.28 | 2,213 (Direct) | View |
| 2020-06-19 Disposition | 2020-06-23 12:24 pm | N/A N/A | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 2,213 | $25.05 | 0 (Direct) | View |
| 2020-06-19 Disposition | 2020-06-23 12:24 pm | N/A N/A | SPECIAL OPPORTUNITIES FUND Inc | SPE | GOLDSTEIN PHILLIP Chairman | 842 | $25.05 | 0 (Indirect) | View |
| 2020-12-23 Disposition | 2020-12-23 4:44 pm | N/A N/A | MVC CAPITAL Inc | MVC | GOLDSTEIN PHILLIP Director | 13,666 | $0 | 0 (Direct) | View |
| 2021-02-02 Exercise | 2021-02-04 4:54 pm | N/A N/A | HIGH INCOME SECURITIES FUND | PCF | GOLDSTEIN PHILLIP Director | 163,703 | $8.24 | 163,706 (Direct) | View |