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Insider Trading - GOLDSTEIN PHILLIP

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"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
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Insider Trading Transactions for GOLDSTEIN PHILLIP
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Common stock purchase or sale:
Transaction
Date
Reported
DateTime
Company Symbol Insider
Relationship
Shares
Traded
Average
Price
Total
Amount
Shares
Owned
Filing
2019-10-16
Sale
2019-10-18
10:01 am
HIGH INCOME SECURITIES FUND PCF GOLDSTEIN PHILLIP
Director
107 $8.465 $906 150,000
(Direct
Indirect)
View
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 $7,870,681 537,379
(Direct
Indirect)
View
2019-03-26
Purchase
2019-03-28
2:13 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
517 $9.1 $4,705 22,666
(Direct)
View
2019-03-25
Purchase
2019-03-27
3:31 pm
HIGH INCOME SECURITIES FUND PCF GOLDSTEIN PHILLIP
Director
150,000 $9.25 $1,387,500 150,000
(Direct
Indirect)
View
2019-03-25
Sale
2019-03-27
3:31 pm
HIGH INCOME SECURITIES FUND PCF GOLDSTEIN PHILLIP
Director
220,000 $9.25 $2,035,000 150,000
(Direct
Indirect)
View
2019-03-19
Purchase
2019-03-20
3:16 pm
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
4,000 $13.36 $53,440 107,291
(Indirect
Direct)
View
2019-01-28
Purchase
2019-01-29
5:58 pm
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
3,100 $12.68 $39,303 103,291
(Indirect
Direct)
View
2019-01-15
Purchase
2019-01-16
5:30 pm
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
3,100 $12.49 $38,718 100,191
(Indirect
Direct)
View
2018-12-19
Purchase
2019-01-04
5:30 pm
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
5,003 $11.61 $58,085 97,091
(Indirect
Direct)
View
2018-12-27
Purchase
2018-12-31
5:31 pm
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
6,000 $11.32 $67,890 92,088
(Indirect
Direct)
View
2018-10-10
Sale
2018-10-12
5:00 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
449,476 $9.41 $4,229,569 22,149
(Direct
Indirect)
View
2018-10-05
Sale(A)
2018-10-10
7:08 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
65,957 $9.43 $621,975 449,476
(Direct
Indirect)
View
2018-10-05
Sale
2018-10-09
4:41 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
65,957 $9.43 $621,975 449,476
(Direct
Indirect)
View
2018-10-05
Purchase
2018-10-09
2:02 pm
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
Samuels Steven
GOLDSTEIN PHILLIP
Dakos Andrew
10% Owner
13,948 $13.41 $187,061 634,121
(Direct
Indirect)
View
2018-10-03
Sale
2018-10-05
5:09 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
10,005 $9.509 $95,138 516,403
(Direct
Indirect)
View
2018-10-03
Purchase
2018-10-05
2:13 pm
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
26,720 $13.44 $359,122 620,173
(Direct
Indirect)
View
2018-10-01
Sale
2018-10-03
4:30 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
18,855 $9.588 $180,775 539,480
(Direct
Indirect)
View
2018-10-01
Purchase
2018-10-03
12:43 pm
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
9,463 $13.62 $128,866 593,453
(Direct
Indirect)
View
2018-09-28
Purchase
2018-10-01
12:40 pm
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
100 $13.5 $1,350 733,555
(Direct
Indirect)
View
2018-09-25
Sale
2018-09-27
5:27 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
6,700 $9.75 $65,325 544,293
(Direct
Indirect)
View
2018-09-24
Purchase
2018-09-26
2:19 pm
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
2,500 $13.45 $33,613 733,455
(Direct
Indirect)
View
2018-09-21
Sale
2018-09-25
4:32 pm
MVC CAPITAL Inc MVC GOLDSTEIN PHILLIP
Director
8,802 $9.762 $85,925 554,504
(Indirect)
View
2018-08-27
Purchase
2018-08-31
10:46 am
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
18,608 $13.8 $256,765 730,955
(Direct
Indirect)
View
2018-08-27
Purchase
2018-08-29
2:47 pm
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
8,200 $13.76 $112,832 712,347
(Direct
Indirect)
View
2018-07-02
Purchase
2018-07-03
1:22 pm
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
2,407 $14.95 $35,985 86,088
(Indirect
Direct)
View
2018-06-28
Purchase
2018-07-02
07:46 am
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
93 $14.95 $1,390 83,681
(Indirect
Direct)
View
(A) Indicate amendment filing.

Stock options: Exercise, Award, Grant, Conversion
Transaction
Date
Reported
DateTime
Exercisable
Expiration
Company Symnbol Insider
Relationship
Shares
Traded
Conversion
Price
Shares
Owned
Filing
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 $6.15 396,087
(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
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
2019-04-17
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
2019-03-19
Disposition
2019-03-20
12:52 pm
N/A
N/A
HIGH INCOME SECURITIES FUND PCF Bulldog Investors LLC
Samuels Steven
GOLDSTEIN PHILLIP
Dakos Andrew
10% Owner
1,247,106 $9.25 220,106
(Indirect)
View
2019-03-19
Disposition
2019-03-20
12:52 pm
N/A
N/A
HIGH INCOME SECURITIES FUND PCF Bulldog Investors LLC
Samuels Steven
GOLDSTEIN PHILLIP
Dakos Andrew
10% Owner
6,241 $9.25 220,106
(Direct)
View
2019-03-19
Disposition
2019-03-20
12:52 pm
N/A
N/A
HIGH INCOME SECURITIES FUND PCF Bulldog Investors LLC
Samuels Steven
GOLDSTEIN PHILLIP
Dakos Andrew
10% Owner
3,123 $9.25 220,106
(Direct)
View
2019-03-19
Disposition
2019-03-20
12:52 pm
N/A
N/A
HIGH INCOME SECURITIES FUND PCF Bulldog Investors LLC
Samuels Steven
GOLDSTEIN PHILLIP
Dakos Andrew
10% Owner
933 $9.25 220,106
(Direct)
View
2019-03-19
Disposition
2019-03-20
11:00 am
N/A
N/A
HIGH INCOME SECURITIES FUND PCF GOLDSTEIN PHILLIP
Director
6,241 $9.25 220,106
(Direct)
View
2019-03-19
Disposition
2019-03-20
11:00 am
N/A
N/A
HIGH INCOME SECURITIES FUND PCF GOLDSTEIN PHILLIP
Director
1,247,106 $9.25 220,106
(Indirect)
View
2019-02-20
Disposition
2019-02-21
5:30 pm
N/A
N/A
MEXICO EQUITY & INCOME FUND INC MXE GOLDSTEIN PHILLIP
Director
3,036 $11.58 5,583
(Direct)
View
2019-02-08
Purchase
2019-02-12
5:30 pm
N/A
N/A
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
165 $24.88 103,291
(Direct)
View
2019-01-08
Purchase
2019-01-10
5:30 pm
N/A
N/A
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
3,000 $24.9 97,091
(Direct)
View
2019-01-04
Purchase
2019-01-08
5:34 pm
N/A
N/A
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
2,500 $24.9 97,091
(Direct)
View
2018-12-19
Purchase
2019-01-08
5:33 pm
N/A
N/A
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
3,000 $24.9 19,499
(Direct)
View
2018-12-19
Exercise
2019-01-04
5:30 pm
N/A
N/A
SPECIAL OPPORTUNITIES FUND Inc SPE GOLDSTEIN PHILLIP
Chairman
3,000 $24.9 97,091
(Direct)
View
2019-01-02
Other
2019-01-04
4:46 pm
N/A
N/A
SWISS HELVETIA FUND Inc SWZ GOLDSTEIN PHILLIP
Director
104,660 $0 1,050
(Indirect)
View
2019-01-02
Other
2019-01-04
4:45 pm
N/A
N/A
Brookfield DTLA Fund Office Trust Investor Inc. DTLA GOLDSTEIN PHILLIP
Director
200,936 $0 682
(Indirect)
View
2018-11-20
Disposition
2018-11-23
9:06 pm
N/A
N/A
SWISS HELVETIA FUND Inc SWZ GOLDSTEIN PHILLIP
Director
1,782,348 $7.86 104,660
(Indirect)
View
2018-11-20
Disposition
2018-11-23
9:06 pm
N/A
N/A
SWISS HELVETIA FUND Inc SWZ GOLDSTEIN PHILLIP
Director
17,633 $7.86 104,660
(Direct)
View
2018-10-19
Other
2018-10-23
5:50 pm
N/A
N/A
SWISS HELVETIA FUND Inc SWZ GOLDSTEIN PHILLIP
Director
598,378 $0 1,887,008
(Indirect)
View
2018-10-19
Other
2018-10-23
5:50 pm
N/A
N/A
SWISS HELVETIA FUND Inc SWZ GOLDSTEIN PHILLIP
Director
5,924 $0 1,887,008
(Direct)
View
2018-06-08
Purchase
2018-10-03
4:19 pm
N/A
N/A
Brookfield DTLA Fund Office Trust Investor Inc. DTLA GOLDSTEIN PHILLIP
Director
1,155 $24.79 246,986
(Indirect)
View
2018-06-08
Other
2018-10-03
4:19 pm
N/A
N/A
Brookfield DTLA Fund Office Trust Investor Inc. DTLA GOLDSTEIN PHILLIP
Director
46,050 $0 246,986
(Indirect)
View
2018-09-28
Other
2018-10-01
12:40 pm
N/A
N/A
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
149,565 $0 733,555
(Indirect)
View
2018-06-06
Other
2018-06-07
10:38 am
N/A
N/A
PUTNAM HIGH INCOME SECURITIES FUND PCF Bulldog Investors LLC
GOLDSTEIN PHILLIP
Dakos Andrew
Samuels Steven
10% Owner
90,422 $0 1,467,199
(Indirect)
View
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