GOLDSTEIN PHILLIP
Transactions
50
Companies
41
Filings
11
CIK
0001067621
Recent Transactions
- Purchase
2.75% Convertible Preferred Stock, Series C
2026-03-05$25.09/sh+3,952→ 10,250 total - Purchase
- Small Acquisition
2.75% Convertible Preferred Stock, Series C
2026-03-04$25.09/sh+100→ 6,298 total - Purchase
- Small Acquisition
2.75% Convertible Preferred Stock, Series C
2026-03-02$25.09/sh+100→ 6,198 total - Purchase
2.75% Convertible Preferred Stock, Series C
2026-02-27$25.09/sh+5,821→ 6,098 total - Small Acquisition
- Purchase
2.75% Convertible Preferred Stock, Series C
2026-02-26$25.09/sh+27→ 277 total - Small Acquisition
- Purchase
2.75% Convertible Preferred Stock, Series C
2026-02-24$25.09/sh+30→ 250 total - Purchase
- Purchase
2.75% Convertible Preferred Stock, Series C
2026-02-23$25.05/sh+100→ 220 total - Purchase
- Purchase
- Purchase
- Purchase
- Disposition to Issuer
- Purchase
- Purchase
- Purchase
- Exercise/Conversion
- Sale
2.75% Convertible Preferred Stock, Series C
2025-08-22$25.10/sh−3,000→ 120 total - Purchase
- Sale
- Sale
- Sale
- Sale
- Disposition to Issuer
- Sale
2.75% Convertible Preferred Stock, Series C
2024-10-15$23.50/sh−618→ 3,120 total - Exercise/Conversion
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
- Sale
2.75% Convertible Preferred Stock, Series C
2023-12-29$22.90/sh−3,008→ 3,738 total - Sale
2.75% Convertible Preferred Stock, Series C
2023-12-28$22.85/sh−2,623→ 6,746 total - Purchase
- Purchase
- Purchase
- Purchase
- Purchase
Companies
41ABERDEEN EMERGING MARKETS SMALLER Co OPPORTUNITIES FUND, INC.
Director
ABERDEEN ISRAEL FUND, INC.
Director
- $AEF
abrdn Emerging Markets ex-China Fund, Inc.
10% Owner
- $PEO
ADAMS NATURAL RESOURCES FUND, INC.
10% Owner, See Explanation of Response
ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND
10% Owner
ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND
10% Owner
ALLIANCE NEW YORK MUNICIPAL INCOME FUND
10% Owner
- $ASA
ASA Gold & Precious Metals Ltd
Director
BNY MELLON MUNICIPAL INCOME, INC.
Director
- $DTLAP
Brookfield DTLA Fund Office Trust Investor Inc.
Director
CROSSROADS LIQUIDATING TRUST
10% Owner
DEUTSCHE GLOBAL HIGH INCOME FUND, INC.
10% Owner
EMERGENT CAPITAL, INC.
Director, 10% Owner
- $SVVC
Firsthand Technology Value Fund, Inc.
10% Owner
FIRST TRUST DIVIDEND & INCOME FUND
10% Owner
- $HERZ
Herzfeld Credit Income Fund, Inc
10% Owner
- $PCF
HIGH INCOME SECURITIES FUND
Director, Affiliate of the Adviser
Hill International, Inc.
10% Owner, See Explanation of Responses
JPMORGAN CHINA REGION FUND, INC.
10% Owner
KOREA EQUITY FUND INC
Director
LMP REAL ESTATE INCOME FUND INC.
10% Owner
Logan Ridge Finance Corp.
10% Owner
- $MXE
MEXICO EQUITY & INCOME FUND INC
Director
- $CMU
MFS HIGH YIELD MUNICIPAL TRUST
10% Owner
MFS INTERMARKET INCOME TRUST I
10% Owner
- $CXH
MFS INVESTMENT GRADE MUNICIPAL TRUST
10% Owner
MVC CAPITAL, INC.
Director
- $NRO
NEUBERGER REAL ESTATE SECURITIES INCOME FUND INC
10% Owner
NEW IRELAND FUND INC
10% Owner
Nuveen Global Equity Income Fund
10% Owner
Nuveen Long/Short Commodity Total Return Fund
10% Owner
- $NXG
NXG NextGen Infrastructure Income Fund
10% Owner
PACHOLDER HIGH YIELD FUND INC
10% Owner
- $PMO
PUTNAM MUNICIPAL OPPORTUNITIES TRUST
10% Owner
SPECIAL OPPORTUNITIES FUND
Director
- $SPE
SPECIAL OPPORTUNITIES FUND, INC.
Director, Chairman and Secretary, Affiliate of the Adviser
TG Venture Acquisition Corp.
10% Owner
TORTOISE ENERGY INDEPENDENCE FUND, INC.
10% Owner
- $SWZ
Total Return Securities Fund
Director, Secretary, Affiliate of the Adviser
Virtus Total Return Fund
10% Owner
WESTERN ASSET CORPORATE LOAN FUND INC.
10% Owner
Recent Filings
11- 4
GOLDSTEIN PHILLIP
Mar 9, 2026
- 4
GOLDSTEIN PHILLIP
Mar 9, 2026
- 4
GOLDSTEIN PHILLIP
Mar 5, 2026
- 4
GOLDSTEIN PHILLIP
Mar 2, 2026
- 4
GOLDSTEIN PHILLIP
Feb 25, 2026
- 4
GOLDSTEIN PHILLIP
Feb 25, 2026
- 4
GOLDSTEIN PHILLIP
Feb 10, 2026
- 4
GOLDSTEIN PHILLIP
Feb 4, 2026
- 4
GOLDSTEIN PHILLIP
Feb 3, 2026
- 4
GOLDSTEIN PHILLIP
Jan 27, 2026
- 4
GOLDSTEIN PHILLIP
Dec 18, 2025
Address
60 HERITAGE DRIVE
PLEASANTVILLE, NY, 10570