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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>> |
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 |
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 |