Insider · CIK 0001067621

Phillip Goldstein

Files at: PCF, SWZ, MXE, SPE, DTLA PR, MVC, AKP, AEF and 19 more. On EDGAR ↗

Period1M 3M 6M 1Y 2Y All datashares as filed — not split-adjusted

Open-market buys & salesbuys $1.8M · 36sales $5.6M · 8net −$3.9M

Reported trades — common stock

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Aug 19, 2026 PForm 4 →	Aug 21, 4:06 pm EDT	HIGH INCOME SECURITIES FUNDPCF	25,000	$5.38	$134,400	72,860	+52.2%
Aug 6, 2026 PForm 4 →	Aug 10, 4:00 pm EDT	HIGH INCOME SECURITIES FUNDPCF	819	$5.30	$4,341	47,860	+1.74%
Jul 6, 2026 PForm 4 →	Jul 8, 4:05 pm EDT	Total Return Securities FundSWZ	5,980	$5.95	$35,581	119,214	+5.28%
Feb 20, 2019 DForm 4 →	Feb 21, 5:30 pm EST	MEXICO EQUITY & INCOME FUND INCMXE	3,036	$11.58	$35,157	5,583	—	plan?
Jan 28, 2019 PForm 4 →	Jan 29, 5:58 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,100	$12.68	$39,303	103,291	+3.09%	plan?
Jan 15, 2019 PForm 4 →	Jan 16, 5:30 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,100	$12.49	$38,718	100,191	+3.19%	plan?
Jan 2, 2019 JForm 4 →	Jan 4, 4:46 pm EST	SWISS HELVETIA FUND, INC.SWZ	104,660	—	—	0	—	plan?
Jan 2, 2019 JForm 4 →	Jan 4, 4:45 pm EST	Brookfield DTLA Fund Office Trust Investor Inc.DTLA PR	200,936	—	—	0	—	plan?
Dec 27, 2018 PForm 4 →	Dec 31, 5:31 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	6,000	$11.32	$67,890	92,088	+6.97%	plan?
Dec 26, 2018 GForm 5 →	Feb 14, 2019, 5:32 pm EST	HIGH INCOME SECURITIES FUNDPCF	10,772	—	—	6,241	—	plan?
Dec 19, 2018 PForm 4 →	Jan 4, 2019, 5:30 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	5,003	$11.61	$58,085	97,091	+5.43%	plan? late amended
Nov 20, 2018 DForm 4 →	Nov 23, 9:06 pm EST	SWISS HELVETIA FUND, INC.SWZ	1,799,981	$7.86	$14,147,851	1,050	—	plan?
Oct 19, 2018 JForm 4 →	Oct 23, 5:50 pm EDT	SWISS HELVETIA FUND, INC.SWZ	604,302	—	—	18,683	—	plan?
Oct 10, 2018 SForm 4 →	Oct 12, 5:00 pm EDT	MVC CAPITAL, INC.MVC	449,476	$9.41	$4,229,569	0	−100%	plan?
Oct 5, 2018 SForm 4/A →	Oct 10, 7:08 pm EDT	MVC CAPITAL, INC.MVC	65,957	$9.43	$621,975	449,476	−12.8%	plan?
Oct 5, 2018 SForm 4 →	Oct 9, 4:41 pm EDT	MVC CAPITAL, INC.MVC	65,957	$9.43	$621,975	449,476	−12.8%	plan? amended
Oct 3, 2018 SForm 4 →	Oct 5, 5:09 pm EDT	MVC CAPITAL, INC.MVC	10,005	$9.51	$95,138	515,433	−1.90%	plan?
Oct 1, 2018 SForm 4 →	Oct 3, 4:30 pm EDT	MVC CAPITAL, INC.MVC	18,855	$9.59	$180,775	525,438	−3.46%	plan?
Oct 1, 2018 JForm 4 →	Oct 3, 4:19 pm EDT	Brookfield DTLA Fund Office Trust Investor Inc.DTLA PR	46,050	—	—	200,936	—	plan?
Sep 25, 2018 SForm 4 →	Sep 27, 5:27 pm EDT	MVC CAPITAL, INC.MVC	6,700	$9.75	$65,325	544,293	−1.22%	plan?
Sep 21, 2018 SForm 4 →	Sep 25, 4:32 pm EDT	MVC CAPITAL, INC.MVC	8,802	$9.76	$85,925	550,993	−1.57%	plan?
Jul 2, 2018 PForm 4 →	Jul 3, 1:22 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	2,407	$14.95	$35,985	86,088	+2.88%	plan?
Jun 28, 2018 PForm 4 →	Jul 2, 7:46 am EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	93	$14.95	$1,390	83,681	+0.11%	plan?
Jun 8, 2018 PForm 4 →	Oct 3, 4:19 pm EDT	Brookfield DTLA Fund Office Trust Investor Inc.DTLA PR	1,155	$24.79	$28,635	246,986	+0.47%	plan? late
May 24, 2018 PForm 4 →	May 25, 11:45 am EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,000	$15.00	$45,000	83,588	+3.72%	plan?
May 11, 2018 PForm 4 →	May 15, 10:03 am EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	186	$15.03	$2,796	80,588	+0.23%	plan?
Apr 13, 2018 PForm 4 →	Apr 17, 10:51 am EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,000	$14.89	$44,670	80,402	+3.88%	plan?
Mar 27, 2018 PForm 4 →	Mar 29, 11:23 am EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	2,500	$14.70	$36,750	77,402	+3.34%	plan?
Mar 22, 2018 PForm 4 →	Mar 26, 11:49 am EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,630	$14.58	$52,936	74,902	+5.09%	plan?
Feb 28, 2018 DForm 4 →	Mar 1, 2:50 pm EST	MEXICO EQUITY & INCOME FUND INCMXE	1,985	$12.15	$24,118	8,615	—	plan?
Feb 27, 2018 PForm 4 →	Mar 1, 2:50 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	1,000	$14.92	$14,920	71,272	+1.42%	plan?
Feb 2, 2018 PForm 4 →	Feb 6, 12:08 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	1,000	$15.14	$15,140	70,272	+1.44%	plan?
Aug 23, 2017 DForm 4 →	Aug 25, 4:30 pm EDT	MVC CAPITAL, INC.MVC	396,754	$10.40	$4,126,242	559,795	—	plan?
Aug 3, 2017 PForm 4/A →	Aug 7, 2:36 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	1,596	$15.42	$24,610	69,272	+2.36%	plan?
Aug 3, 2017 PForm 4 →	Aug 4, 3:22 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	1,596	$15.52	$24,770	69,272	+2.36%	plan? amended
Aug 1, 2017 DForm 4 →	Aug 3, 3:19 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	6	$15.41	$92	67,676	—	plan?
Jun 13, 2017 SForm 4 →	Jun 15, 5:00 pm EDT	MVC CAPITAL, INC.MVC	29,853	$9.82	$293,087	941,448	−3.07%	plan?
Jun 7, 2017 PForm 4 →	Jun 8, 5:23 pm EDT	CROSSROADS CAPITAL, INC.XRDC	28,479	$2.17	$61,799	826,327	+3.57%	plan?
Jun 7, 2017 SForm 4 →	Jun 8, 5:23 pm EDT	CROSSROADS CAPITAL, INC.XRDC	28,479	$2.17	$61,799	797,848	−3.45%	plan?
Jun 2, 2017 PForm 4/A →	Jan 22, 2018, 5:20 pm EST	MEXICO EQUITY & INCOME FUND INCMXE	2,500	$10.97	$27,425	10,600	+30.9%	plan?
Jun 2, 2017 PForm 4 →	Jun 6, 11:18 am EDT	MEXICO EQUITY & INCOME FUND INCMXE	3,000	$10.97	$32,910	11,100	+37.0%	plan? amended
May 3, 2017 PForm 4 →	May 4, 2:40 pm EDT	MEXICO EQUITY & INCOME FUND INCMXE	100	$11.05	$1,105	8,100	+1.25%	plan?
Oct 26, 2016 DForm 5 →	Feb 14, 2017, 10:30 am EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	757	$15.61	$11,817	3,456	—	plan?
Oct 26, 2016 DForm 4 →	Oct 31, 3:17 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	14,830	$15.61	$231,496	67,670	—	plan? late
Jun 2, 2016 AForm 4 →	Jun 3, 5:01 pm EDT	EMERGENT CAPITAL, INC.EMG	11,508	—	—	204,976	—	plan?
Jun 1, 2016 PForm 4 →	Jun 3, 5:00 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	1,661	$13.50	$22,424	82,500	+2.05%	plan?
May 4, 2016 PForm 4 →	Jun 20, 3:19 pm EDT	MEXICO EQUITY & INCOME FUND INCMXE	3,000	$11.24	$33,720	8,000	+60.0%	plan? late
Apr 1, 2016 PForm 4 →	Apr 5, 12:54 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	4,000	$13.06	$52,240	4,213	+1,878%	plan?
Mar 2, 2016 PForm 4 →	Mar 4, 12:21 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	200	$12.50	$2,499	80,839	+0.25%	plan?
Jan 5, 2016 PForm 4/A →	Mar 4, 10:38 am EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	2,745	$12.96	$35,567	80,639	+3.52%	plan?
Dec 8, 2015 JForm 4 →	Dec 10, 4:45 pm EST	EMERGENT CAPITAL, INC.EMG	121,712	—	—	2,060,316	—	plan?
Dec 8, 2015 JForm 4 →	Dec 10, 4:19 pm EST	MVC CAPITAL, INC.MVC	8,500	—	—	37,250	—	plan?
Dec 8, 2015 JForm 4 →	Dec 10, 11:46 am EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	38,273	—	—	0	—	plan?
Dec 4, 2015 JForm 4 →	Dec 8, 11:40 am EST	EMERGENT CAPITAL, INC.EMG	44,385	—	—	1,969,460	—	plan?
Dec 4, 2015 PForm 4 →	Dec 8, 11:40 am EST	EMERGENT CAPITAL, INC.EMG	50,726	$3.85	$195,372	1,999,460	+2.60%	plan?
Dec 2, 2015 PForm 4 →	Dec 3, 1:59 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	8,000	$14.44	$115,549	77,894	+11.4%	plan?
Nov 11, 2015 PForm 4 →	Nov 13, 2:42 pm EST	EMERGENT CAPITAL, INC.EMG	10,000	$4.42	$44,200	2,013,845	+0.50%	plan?
Nov 2, 2015 PForm 4 →	Nov 4, 11:49 am EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	5,000	$14.55	$72,750	69,894	+7.70%	plan?
Oct 1, 2015 PForm 4/A →	Nov 19, 12:55 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	8,900	$14.30	$127,265	13,000	+217%	plan?
Sep 28, 2015 PForm 4 →	Sep 29, 2:16 pm EDT	MEXICO EQUITY & INCOME FUND INCMXE	5,000	$10.95	$54,750	5,000	—	plan?
Aug 26, 2015 PForm 4 →	Aug 27, 5:06 pm EDT	IMPERIAL HOLDINGS, INC.IFT	2,641	$5.26	$13,892	228,598	+1.17%	plan?
Aug 25, 2015 PForm 4 →	Aug 27, 8:49 am EDT	IMPERIAL HOLDINGS, INC.IFT	2,359	$5.26	$12,408	225,957	+1.06%	plan?
Aug 21, 2015 PForm 4 →	Aug 24, 10:50 am EDT	IMPERIAL HOLDINGS, INC.IFT	3,000	$5.60	$16,800	223,598	+1.36%	plan?
Aug 6, 2015 PForm 4 →	Aug 10, 4:15 pm EDT	IMPERIAL HOLDINGS, INC.IFT	6,087	$5.57	$33,933	220,598	+2.84%	plan?
Jun 24, 2015 MXForm 4 →	Jun 26, 11:05 am EDT	IMPERIAL HOLDINGS, INC.IFT	1,935,145	$5.75	$11,127,084	2,224,869	—	plan?
May 28, 2015 AForm 4 →	May 29, 11:17 am EDT	IMPERIAL HOLDINGS, INC.IFT	7,281	—	—	137,707	—	plan?
Jan 29, 2015 PForm 4 →	Feb 2, 4:19 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	8,500	$14.94	$127,000	6,000	—	plan?
Jan 5, 2015 PForm 4 →	Jan 7, 2016, 11:02 am EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	2,745	$12.96	$35,567	80,884	+3.51%	plan? late amended
Mar 31, 2014 PForm 5 →	Feb 17, 2015, 10:30 am EST	IMPERIAL HOLDINGS, INC.IFT	22,741	$5.90	$134,182	1,121,792	+2.07%	plan?

Reported trades — derivatives (options, RSUs, warrants)

Trade	Reported (ET)	Company	Shares	Avg price	Total	Owned after	Δ stake	Flags
Feb 8, 2019 PForm 4 →	Feb 12, 5:30 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	165	$24.88	$4,105	25,164	—
Jan 8, 2019 PForm 4 →	Jan 10, 5:30 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,000	$24.90	$74,700	24,999	—
Jan 4, 2019 PForm 4 →	Jan 8, 5:34 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	2,500	$24.90	$62,250	21,999	—
Jan 3, 2019 PForm 4/A →	Jan 8, 5:33 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,000	$24.90	$74,700	19,499	—
Jan 3, 2019 XForm 4 →	Jan 4, 5:30 pm EST	SPECIAL OPPORTUNITIES FUND, INC.SPE	3,000	$24.90	$74,700	19,499	—	amended
Aug 26, 2016 XForm 4 →	Aug 30, 3:51 pm EDT	SPECIAL OPPORTUNITIES FUND, INC.SPE	34,682	$25.00	$433,525	842	—
Jun 24, 2015 MXForm 4 →	Jun 26, 11:05 am EDT	IMPERIAL HOLDINGS, INC.IFT	1,935,145	—	—	0	—