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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
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
(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 0
(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
2018-12-19
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
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
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
2019-03-19
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
2019-03-25
Purchase
2019-03-27
3:31 pm
HIGH INCOME SECURITIES FUND PCF GOLDSTEIN PHILLIP
Director
150,000 $9.25 $1,387,500 106
(Indirect
Direct)
View
2019-03-25
Sale
2019-03-27
3:31 pm
HIGH INCOME SECURITIES FUND PCF GOLDSTEIN PHILLIP
Director
220,000 $9.25 $2,035,000 106
(Indirect
Direct)
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
2019-04-17
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
(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
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 18,683
(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 18,683
(Direct)
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 1,050
(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 1,050
(Direct)
View
2019-01-02
Other
2019-01-04
4:45 pm
N/A
N/A
Brookfield DTLA Fund Office Trust Investor Inc. DTLAPR GOLDSTEIN PHILLIP
Director
200,936 $0 0
(Indirect)
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 0
(Indirect)
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
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
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 21,999
(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 24,999
(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 25,164
(Direct)
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
2019-03-19
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
2019-03-19
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 0
(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 0
(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 0
(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 0
(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 1,086
(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 $6.15 396,087
(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
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 26,164
(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 2,213
(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
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