GOLDSTEIN PHILLIP
SEC insider (Form 3/4/5 filer). CIK 0001067621. Secretary at Total Return Securities Fund (SWZ) and 4 other issuers. 40 reported Form 4/5 transactions since Sep 2024; latest on Oct 8, 2026. Located in PLEASANTVILLE, NY.
Companies GOLDSTEIN PHILLIP has filed insider reports for
- Total Return Securities Fund (SWZ): Director, Officer, Secretary
- HIGH INCOME SECURITIES FUND (PCF): Director
- SPECIAL OPPORTUNITIES FUND, INC. (SPE): Director, Officer, Chairman and Secretary
- Logan Ridge Finance Corp. (LRFC): 10% Owner
- MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH): 10% Owner
GOLDSTEIN PHILLIP
CIK: 0001067621
Transaction Breakdown
High conviction signal
Position reduction
Derivative conversions
Compensation grants
Gifts, tax withholding, conversions, dispositions to the issuer and other codes
Discretionary Trading P&L
Holdings
Transaction History (40 total)
- Oct 8, 2026SWZ
Total Return Securities Fund
PurchaseDirect5K shares at avg. $5.73$29K - Oct 1, 2026SWZ
Total Return Securities Fund
Small AcquisitionDirect15 shares at avg. $5.71$85.65 - Aug 20, 2026PCF
HIGH INCOME SECURITIES FUND
PurchaseDirect5K shares at avg. $5.34$27K - Aug 19, 2026PCF
HIGH INCOME SECURITIES FUND
PurchaseDirect10K shares at avg. $5.37$54K - Aug 19, 2026PCF
HIGH INCOME SECURITIES FUND
PurchaseDirect10K shares at avg. $5.40$54K - Aug 6, 2026PCF
HIGH INCOME SECURITIES FUND
PurchaseDirect819 shares at avg. $5.30$4K - Jul 6, 2026SWZ
Total Return Securities Fund
PurchaseDirect6K shares at avg. $5.95$36K - Apr 8, 2026PCF
HIGH INCOME SECURITIES FUND
PurchaseDirect600 shares at avg. $5.53$3K - Apr 7, 2026PCF
HIGH INCOME SECURITIES FUND
PurchaseDirect5.1K shares at avg. $5.45$28K - Mar 18, 2026SWZ
Total Return Securities Fund
PurchaseDirect10K shares at avg. $5.98$60K
| Type | Shares | Price | Ownership | |||
|---|---|---|---|---|---|---|
| Oct 8, 2026 |  SWZ Total Return Securities Fund | Purchase | 5,000 | $5.73 | $28,637 | Direct |
| Oct 1, 2026 | SWZ Total Return Securities Fund | Small Acquisition | 15 | $5.71 | $86 | Direct |
| Aug 20, 2026 |  PCF HIGH INCOME SECURITIES FUND | Purchase | 5,000 | $5.34 | $26,700 | Direct |
| Aug 19, 2026 | PCF HIGH INCOME SECURITIES FUND | Purchase | 10,000 | $5.37 | $53,700 | Direct |
| Aug 19, 2026 | PCF HIGH INCOME SECURITIES FUND | Purchase | 10,000 | $5.40 | $54,000 | Direct |
| Aug 6, 2026 | PCF HIGH INCOME SECURITIES FUND | Purchase | 819 | $5.30 | $4,341 | Direct |
| Jul 6, 2026 | SWZ Total Return Securities Fund | Purchase | 5,980 | $5.95 | $35,581 | Direct |
| Apr 8, 2026 | PCF HIGH INCOME SECURITIES FUND | Purchase | 600 | $5.53 | $3,318 | Direct |
| Apr 7, 2026 | PCF HIGH INCOME SECURITIES FUND | Purchase | 5,088 | $5.45 | $27,725 | Direct |
| Mar 18, 2026 | SWZ Total Return Securities Fund | Purchase | 10,000 | $5.98 | $59,800 | Direct |
1-10 of 40 transactions