Insider · CIK 0001067621

GOLDSTEIN PHILLIP

Reports to the SEC for 41 companies · PLEASANTVILLE, NY

sec.gov

Transactions

Companies

Filings

CIK

0001067621

Forms 4 and 5

Insider transactions

50 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2026-08-20	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+5,000 sh	$5.34	+$26.7K	72,860
2026-08-19	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+10K sh	$5.40	+$54K	57,860
2026-08-19	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+10K sh	$5.37	+$53.7K	67,860
2026-08-06	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+819 sh	$5.30	+$4,340.7	47,860
2026-07-06	SWZTotal Return Securities FundP Purchase	Director, Secretary, Affiliate of the Adviser	PPurchase	+5,980 sh	$5.95	+$35.6K	119,214
2026-04-08	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+600 sh	$5.53	+$3,318	47,041
2026-04-07	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+5,088 sh	$5.45	+$27.7K	46,441
2026-03-18	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+17.9K sh	$5.46	+$97.8K	41,353
2026-03-18	SWZTotal Return Securities FundP Purchase	Director, Secretary, Affiliate of the Adviser	PPurchase	+10K sh	$5.98	+$59.8K	113,234
2026-03-05	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CP Purchase	Director, Chairman and Secretary, Affiliate of the Adviser	PPurchase	+3,952 sh	$25.09	+$99.2K	10,250
2026-03-05	SWZTotal Return Securities FundP Purchase	Director, Secretary, Affiliate of the Adviser	PPurchase	+10K sh	$5.99	+$59.9K	103,234
2026-03-04	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CL Small Acquisition	Director, Chairman and Secretary, Affiliate of the Adviser	LSmall Acquisition	+100 sh	$25.09	+$2,509	6,298
2026-03-03	SWZTotal Return Securities FundP Purchase	Director, Secretary, Affiliate of the Adviser	PPurchase	+5,000 sh	$6.01	+$30.1K	93,234
2026-03-02	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CL Small Acquisition	Director, Chairman and Secretary, Affiliate of the Adviser	LSmall Acquisition	+100 sh	$25.09	+$2,509	6,198
2026-02-27	SWZTotal Return Securities FundL Small Acquisition	Director, Secretary, Affiliate of the Adviser	LSmall Acquisition	+68 sh	$6.16	+$418.88	88,234
2026-02-27	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CP Purchase	Director, Chairman and Secretary, Affiliate of the Adviser	PPurchase	+5,821 sh	$25.09	+$146K	6,098
2026-02-26	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CP Purchase	Director, Chairman and Secretary, Affiliate of the Adviser	PPurchase	+27 sh	$25.09	+$677.43	277
2026-02-26	SWZTotal Return Securities FundL Small Acquisition	Director, Secretary, Affiliate of the Adviser	LSmall Acquisition	+256 sh	$6.16	+$1,576.96	88,166
2026-02-24	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CP Purchase	Director, Chairman and Secretary, Affiliate of the Adviser	PPurchase	+30 sh	$25.09	+$752.7	250
2026-02-23	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CP Purchase	Director, Chairman and Secretary, Affiliate of the Adviser	PPurchase	+100 sh	$25.05	+$2,505	220
2026-02-23	SWZTotal Return Securities FundP Purchase	Director, Secretary, Affiliate of the Adviser	PPurchase	+5,000 sh	$6.13	+$30.7K	87,910
2026-02-06	SWZTotal Return Securities FundP Purchase	Director, Secretary, Affiliate of the Adviser	PPurchase	+10K sh	$6.07	+$60.7K	82,910
2026-02-03	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+10K sh	$6.05	+$60.5K	23,448
2026-02-02	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+7,514 sh	$6.05	+$45.5K	13,448
2026-01-30	SWZTotal Return Securities FundP Purchase	Director, Secretary, Affiliate of the Adviser	PPurchase	+10K sh	$5.92	+$59.2K	72,910
2026-01-23	SWZTotal Return Securities FundD Disposition to Issuer	Director, Secretary, Affiliate of the Adviser	DDisposition to Issuer	−31.3K sh	$6.81	−$213K	62,910
2025-12-18	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+2,500 sh	$5.99	+$15K	5,934
2025-12-17	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+800 sh	$6.03	+$4,824	3,434
2025-12-16	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director, Affiliate of the Adviser	PPurchase	+2,487 sh	$6.04	+$15K	2,634
2025-12-11	SWZTotal Return Securities FundM Exercise/Conversion	Director, Secretary, Affiliate of the Adviser	MExercise/Conversion	+81K sh	$6.07	+$492K	93,224
2025-08-22	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CS Sale	Director, Chairman and Secretary, Affiliate of the Adviser	SSale	−3,000 sh	$25.10	−$75.3K	120
2025-04-04	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director, Chairman and Secretary, Affiliate of the Adviser	PPurchase	+3,000 sh	$13.80	+$41.4K	34,822
2025-02-25	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−6,984 sh	$6.85	−$47.9K	147
2025-02-24	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−9,296 sh	$6.85	−$63.7K	7,131
2025-02-24	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.84	−$68.4K	16,427
2025-01-17	SWZTotal Return Securities FundS Sale	Director, Secretary, Affiliate of the Adviser	SSale	−4,535 sh	$8.45	−$38.3K	12,248
2024-12-12	PCFHIGH INCOME SECURITIES FUNDD Disposition to Issuer	Director, Affiliate of the Adviser	DDisposition to Issuer	−233K sh	$7.07	−$1.65M	26,427
2024-10-15	SPESPECIAL OPPORTUNITIES FUND, INC. · 2.75% Convertible Preferred Stock, Series CS Sale	Director, Chairman and Secretary, Affiliate of the Adviser	SSale	−618 sh	$23.50	−$14.5K	3,120
2024-08-16	PCFHIGH INCOME SECURITIES FUNDM Exercise/Conversion	Director, Affiliate of the Adviser	MExercise/Conversion	+250K sh	$6.48	+$1.62M	259,546
2024-06-28	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.93	−$69.3K	19,773
2024-06-28	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.92	−$69.2K	29,773
2024-06-28	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−60K sh	$6.93	−$416K	39,773
2024-06-28	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.94	−$69.4K	9,773
2024-06-27	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.91	−$69.1K	109,773
2024-06-27	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.91	−$69.1K	119,773
2024-06-27	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−24.6K sh	$6.92	−$170K	129,773
2024-06-27	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.84	−$68.4K	99,773
2024-06-26	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.83	−$68.3K	164,373
2024-06-26	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−29.8K sh	$6.84	−$204K	214,573
2024-06-26	PCFHIGH INCOME SECURITIES FUNDS Sale	Director, Affiliate of the Adviser	SSale	−10K sh	$6.81	−$68.1K	154,373

Recent filings

Accepted (ET)
Aug 214
GOLDSTEIN PHILLIP0001398344-26-015264
SEC(opens sec.gov)
Aug 104
GOLDSTEIN PHILLIP0001398344-26-013937
SEC(opens sec.gov)
Jul 84
GOLDSTEIN PHILLIP0001398344-26-011905
SEC(opens sec.gov)
Apr 94
GOLDSTEIN PHILLIP0001398344-26-006338
SEC(opens sec.gov)
Mar 194
GOLDSTEIN PHILLIP0001398344-26-005426
SEC(opens sec.gov)
Mar 194
GOLDSTEIN PHILLIP0001398344-26-005431
SEC(opens sec.gov)
Mar 94
GOLDSTEIN PHILLIP0001398344-26-004893
SEC(opens sec.gov)
Mar 94
GOLDSTEIN PHILLIP0001398344-26-004895
SEC(opens sec.gov)
Mar 54
GOLDSTEIN PHILLIP0001398344-26-004532
SEC(opens sec.gov)
Mar 24
GOLDSTEIN PHILLIP0001104659-26-022337
SEC(opens sec.gov)
Feb 254
GOLDSTEIN PHILLIP0001398344-26-003686
SEC(opens sec.gov)
Feb 254
GOLDSTEIN PHILLIP0001104659-26-019762
SEC(opens sec.gov)

Companies

Address

60 HERITAGE DRIVE

PLEASANTVILLE, NY, 10570