- Corporate Officers - G
- Goldstein Phillip
Insider Trading History of Goldstein Phillip
The following table details the insider trading activities
(stock purchases, stock sales, and stock option exercises) of Goldstein Phillip since 2005.
This trader's CIK number is 1067621.
At the time of last reporting, Goldstein Phillip was the Chairman and Secretary of Special Opportunities Fund, Inc.. (stock ticker symbol SPE).
Also see all insider trading activities at Special Opportunities Fund, Inc..
Note that in the past
GOLDSTEIN PHILLIP also reported insider trading activities as an insider of the following companies:
Yearly summary of insider trading at Aberdeen Israel Fund, Inc. (ISL) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2006 | ISL | 299 | $4,977 | 0 | $0 | 0 | $0 |
| 2005 | ISL | 120 | $1,849 | 32,399 | $546,979 | 0 | $0 |
Yearly summary of insider trading at Swiss Helvetia Fund, Inc. (SWZ) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2025 | SWZ | 0 | $0 | 4,535 | $38,320 | 0 | $0 |
| 2021 | SWZ | 0 | $0 | 98,964 | $951,717 | 0 | $0 |
| 2020 | SWZ | 41,485 | $337,005 | 0 | $0 | 0 | $0 |
| 2019 | SWZ | 73,225 | $595,533 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Mvc Capital, Inc. (MVC) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2019 | MVC | 517 | $4,704 | 0 | $0 | 0 | $0 |
| 2018 | MVC | 0 | $0 | 559,795 | $5,278,703 | 0 | $0 |
| 2017 | MVC | 0 | $0 | 29,853 | $293,076 | 0 | $0 |
| 2014 | MVC | 67,689 | $887,244 | 0 | $0 | 0 | $0 |
| 2013 | MVC | 368,709 | $4,674,403 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Special Opportunities Fund (SPE) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2011 | SPE | 117 | $1,745 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Special Opportunities Fund, Inc. (SPE) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2025 | SPE | 3,000 | $41,400 | 0 | $0 | 0 | $0 |
| 2023 | SPE | 1,363 | $16,035 | 0 | $0 | 0 | $0 |
| 2023 | SPE | 13,643 | $151,511 | 0 | $0 | 0 | $0 |
| 2022 | SPE | 2,000 | $29,510 | 0 | $0 | 0 | $0 |
| 2021 | SPE | 0 | $0 | 100,872 | $1,547,043 | 5,475 | $0 |
| 2020 | SPE | 22,836 | $268,944 | 0 | $0 | 0 | $0 |
| 2019 | SPE | 15,203 | $189,458 | 0 | $0 | 0 | $0 |
| 2018 | SPE | 22,816 | $317,475 | 0 | $0 | 0 | $0 |
| 2017 | SPE | 1,596 | $24,769 | 0 | $0 | 0 | $0 |
| 2016 | SPE | 8,606 | $112,729 | 0 | $0 | 0 | $0 |
| 2015 | SPE | 21,500 | $315,389 | 0 | $0 | 0 | $0 |
| 2014 | SPE | 16,000 | $243,210 | 0 | $0 | 0 | $0 |
| 2012 | SPE | 18,457 | $276,644 | 0 | $0 | 0 | $0 |
| 2011 | SPE | 8,151 | $116,737 | 0 | $0 | 0 | $0 |
| 2010 | SPE | 6,350 | $83,842 | 161,435 | $2,289,148 | 0 | $0 |
Yearly summary of insider trading at Dividend Capital Realty Income Allocation Fund (DCA) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2016 | DCA | 19,387 | $88,900 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Emergent Capital, Inc. (EMG) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2015 | EMG | 74,813 | $316,545 | 0 | $0 | 76,804 | $441,623 |
| 2014 | EMG | 192,194 | $1,192,586 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Herzfeld Caribbean Basin Fund Inc (CUBA) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2020 | CUBA | 5,365 | $19,045 | 186,791 | $598,987 | 0 | $0 |
Yearly summary of insider trading at Brookfield Dtla Fund Office Trust Investor Inc. (DTLA PR) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2018 | DTLA PR | 1,155 | $28,635 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Asa Gold & Precious Metals Ltd (ASA) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2013 | ASA | 1,500 | $19,350 | 0 | $0 | 0 | $0 |
| 2009 | ASA | 300 | $22,500 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at High Income Securities Fund (PCF) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2025 | PCF | 0 | $0 | 26,280 | $179,935 | 0 | $0 |
| 2024 | PCF | 0 | $0 | 234,600 | $1,614,651 | 249,773 | $1,618,529 |
| 2023 | PCF | 34,300 | $218,703 | 0 | $0 | 0 | $0 |
| 2021 | PCF | 0 | $0 | 163,577 | $1,620,592 | 373,647 | $3,104,043 |
| 2020 | PCF | 0 | $0 | 149,219 | $1,269,088 | 0 | $0 |
| 2019 | PCF | 150,000 | $1,387,500 | 220,107 | $2,035,905 | 0 | $0 |
Yearly summary of insider trading at Mexico Equity & Income Fund Inc (MXE) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2021 | MXE | 0 | $0 | 0 | $0 | 10,001 | $89,008 |
| 2017 | MXE | 3,100 | $34,015 | 0 | $0 | 0 | $0 |
| 2016 | MXE | 6,000 | $67,440 | 0 | $0 | 0 | $0 |
| 2015 | MXE | 5,000 | $54,749 | 0 | $0 | 0 | $0 |
| 2013 | MXE | 0 | $0 | 110,419 | $1,836,016 | 0 | $0 |
| 2005 | MXE | 5,000 | $105,750 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Aberdeen Emerging Markets Smaller Co Opportunities Fund, Inc. (ETF) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2007 | ETF | 0 | $0 | 58,800 | $1,232,629 | 0 | $0 |
| 2006 | ETF | 338 | $4,979 | 23,900 | $310,335 | 0 | $0 |
| 2005 | ETF | 181 | $2,051 | 0 | $0 | 0 | $0 |
Yearly summary of insider trading at Keating Capital Inc (XRDC) by Goldstein Phillip
| | Insider Buying | Insider Sales | Option Exercises |
|---|
| Year | Symbol | Shares | Value | Shares | Value | Shares | Value |
|---|
| 2017 | XRDC | 28,479 | $61,799 | 28,479 | $61,799 | 0 | $0 |
Insider trading activities at 14 companies by Goldstein Phillip:
1. Aberdeen Israel Fund, Inc. (ISL)
2. Swiss Helvetia Fund, Inc. (SWZ)
3. Mvc Capital, Inc. (MVC)
4. Special Opportunities Fund (SPE)
5. Special Opportunities Fund, Inc. (SPE)
6. Dividend Capital Realty Income Allocation Fund (DCA)
7. Emergent Capital, Inc. (EMG)
8. Herzfeld Caribbean Basin Fund Inc (CUBA)
9. Brookfield Dtla Fund Office Trust Investor Inc. (DTLA PR)
10. Asa Gold & Precious Metals Ltd (ASA)
11. High Income Securities Fund (PCF)
12. Mexico Equity & Income Fund Inc (MXE)
13. Aberdeen Emerging Markets Smaller Co Opportunities Fund, Inc. (ETF)
14. Keating Capital Inc (XRDC)
Table 1. Insider trading of Aberdeen Israel Fund, Inc. (ISL) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2006-12-27 | ISL | Buy | 138 | 18.05 | 2,490 |
| 2006-07-25 | ISL | Buy | 161 | 15.45 | 2,487 |
| 2005-12-27 | ISL | Buy | 80 | 15.44 | 1,235 |
| 2005-08-18 | ISL | Sale | 13,199 | 16.51 | 217,915 |
| 2005-07-25 | ISL | Buy | 40 | 15.35 | 614 |
| 2005-04-15 | ISL | Sale | 3,600 | 17.16 | 61,776 |
| 2005-04-15 | ISL | Sale | 9,600 | 17.16 | 164,688 |
| 2005-04-13 | ISL | Sale | 6,000 | 17.10 | 102,600 |
Table 2. Insider trading of Swiss Helvetia Fund, Inc. (SWZ) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2025-01-17 | SWZ | Sale | 4,535 | 8.45 | 38,320 |
| 2021-07-02 | SWZ | Sale | 1,212 | 9.79 | 11,865 |
| 2021-06-04 | SWZ | Sale | 76,958 | 9.59 | 737,796 |
| 2021-06-03 | SWZ | Sale | 1,994 | 9.68 | 19,291 |
| 2021-06-02 | SWZ | Sale | 8,711 | 9.72 | 84,670 |
| 2021-06-01 | SWZ | Sale | 10,089 | 9.72 | 98,095 |
| 2020-04-30 | SWZ | Buy | 500 | 7.37 | 3,685 |
| 2020-04-23 | SWZ | Buy | 5,000 | 7.35 | 36,750 |
| 2020-02-27 | SWZ | Buy | 5,000 | 7.99 | 39,950 |
| 2020-02-28 | SWZ | Buy | 4,899 | 7.73 | 37,869 |
| 2020-02-24 | SWZ | Buy | 10,013 | 8.44 | 84,459 |
| 2020-02-25 | SWZ | Buy | 14,987 | 8.36 | 125,246 |
| 2020-01-06 | SWZ | Buy | 1,086 | 8.33 | 9,046 |
| 2019-12-19 | SWZ | Buy | 2,611 | 8.20 | 21,410 |
| 2019-12-17 | SWZ | Buy | 40,000 | 8.15 | 326,000 |
| 2019-12-18 | SWZ | Buy | 614 | 8.15 | 5,004 |
| 2019-11-29 | SWZ | Buy | 1,791 | 8.12 | 14,542 |
| 2019-12-02 | SWZ | Buy | 28,209 | 8.10 | 228,577 |
Table 3. Insider trading of Mvc Capital, Inc. (MVC) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2019-03-26 | MVC | Buy | 517 | 9.10 | 4,704 |
| 2018-10-10 | MVC | Sale | 449,476 | 9.41 | 4,229,569 |
| 2018-10-05 | MVC | Sale | 65,957 | 9.43 | 621,974 |
| 2018-10-04 | MVC | Sale | 970 | 9.50 | 9,215 |
| 2018-10-03 | MVC | Sale | 9,035 | 9.51 | 85,922 |
| 2018-10-02 | MVC | Sale | 14,042 | 9.58 | 134,522 |
| 2018-10-01 | MVC | Sale | 4,813 | 9.61 | 46,252 |
| 2018-09-25 | MVC | Sale | 6,700 | 9.75 | 65,325 |
| 2018-09-24 | MVC | Sale | 3,511 | 9.78 | 34,337 |
| 2018-09-21 | MVC | Sale | 5,291 | 9.75 | 51,587 |
| 2017-06-13 | MVC | Sale | 27,469 | 9.82 | 269,718 |
| 2017-06-14 | MVC | Sale | 2,384 | 9.80 | 23,358 |
| 2014-04-24 | MVC | Buy | 16,840 | 13.17 | 221,850 |
| 2014-03-14 | MVC | Buy | 500 | 13.50 | 6,750 |
| 2014-04-28 | MVC | Buy | 16,980 | 12.98 | 220,332 |
| 2014-04-15 | MVC | Buy | 16,980 | 13.13 | 222,981 |
| 2014-04-14 | MVC | Buy | 7,788 | 13.14 | 102,357 |
| 2014-04-11 | MVC | Buy | 8,601 | 13.13 | 112,974 |
| 2013-09-13 | MVC | Buy | 157,879 | 12.70 | 2,005,063 |
| 2013-09-12 | MVC | Buy | 16,882 | 12.69 | 214,232 |
| 2013-09-11 | MVC | Buy | 300 | 12.70 | 3,810 |
| 2013-08-21 | MVC | Buy | 6,639 | 12.30 | 81,686 |
| 2013-06-19 | MVC | Buy | 37,671 | 12.72 | 479,175 |
| 2013-06-14 | MVC | Buy | 37,671 | 12.65 | 476,538 |
| 2013-06-12 | MVC | Buy | 3,420 | 12.65 | 43,256 |
| 2013-06-05 | MVC | Buy | 26,370 | 12.69 | 334,582 |
| 2013-05-31 | MVC | Buy | 37,671 | 12.76 | 480,493 |
| 2013-04-18 | MVC | Buy | 4,961 | 12.60 | 62,503 |
| 2013-04-17 | MVC | Buy | 13,803 | 12.52 | 172,827 |
| 2013-04-15 | MVC | Buy | 25,442 | 12.59 | 320,238 |
Table 4. Insider trading of Special Opportunities Fund (SPE) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2011-01-31 | SPE | Buy | 117 | 14.92 | 1,745 |
Table 5. Insider trading of Special Opportunities Fund, Inc. (SPE) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2025-04-04 | SPE | Buy | 3,000 | 13.80 | 41,400 |
| 2023-12-28 | SPE | Buy | 1,363 | 11.77 | 16,035 |
| 2023-04-06 | SPE | Buy | 5,000 | 10.85 | 54,250 |
| 2023-04-05 | SPE | Buy | 2,400 | 10.85 | 26,040 |
| 2023-03-29 | SPE | Buy | 675 | 10.74 | 7,249 |
| 2023-03-30 | SPE | Buy | 1,568 | 10.85 | 17,012 |
| 2023-02-03 | SPE | Buy | 2,000 | 11.85 | 23,700 |
| 2023-01-30 | SPE | Buy | 2,000 | 11.63 | 23,260 |
| 2022-02-07 | SPE | Buy | 2,000 | 14.76 | 29,510 |
| 2021-12-16 | SPE | Sale | 2,542 | 15.55 | 39,528 |
| 2021-06-24 | SPE | Option Ex | 5,475 | .00 | 0 |
| 2021-06-04 | SPE | Sale | 88,330 | 15.32 | 1,353,215 |
| 2021-06-07 | SPE | Sale | 10,000 | 15.43 | 154,300 |
| 2020-07-21 | SPE | Buy | 5,000 | 11.85 | 59,250 |
| 2020-07-22 | SPE | Buy | 5,000 | 11.80 | 59,000 |
| 2020-07-15 | SPE | Buy | 12,836 | 11.74 | 150,694 |
| 2019-03-19 | SPE | Buy | 4,000 | 13.36 | 53,440 |
| 2019-01-28 | SPE | Buy | 3,100 | 12.65 | 39,230 |
| 2019-01-15 | SPE | Buy | 3,100 | 12.48 | 38,703 |
| 2019-01-02 | SPE | Buy | 3 | 11.75 | 35 |
| 2018-12-19 | SPE | Buy | 5,000 | 11.61 | 58,050 |
| 2018-12-27 | SPE | Buy | 6,000 | 11.31 | 67,890 |
| 2018-07-02 | SPE | Buy | 2,407 | 14.95 | 35,984 |
| 2018-06-28 | SPE | Buy | 93 | 14.95 | 1,390 |
| 2018-05-24 | SPE | Buy | 3,000 | 15.00 | 45,000 |
| 2018-05-11 | SPE | Buy | 186 | 15.03 | 2,795 |
| 2018-04-13 | SPE | Buy | 3,000 | 14.89 | 44,670 |
| 2018-03-27 | SPE | Buy | 2,500 | 14.70 | 36,750 |
| 2018-03-22 | SPE | Buy | 630 | 14.74 | 9,286 |
| 2018-03-23 | SPE | Buy | 3,000 | 14.55 | 43,650 |
| 2018-02-27 | SPE | Buy | 1,000 | 14.92 | 14,920 |
| 2018-02-02 | SPE | Buy | 1,000 | 15.14 | 15,140 |
| 2017-08-03 | SPE | Buy | 1,596 | 15.52 | 24,769 |
| 2016-06-03 | SPE | Buy | 1 | 13.50 | 13 |
| 2016-06-02 | SPE | Buy | 752 | 13.50 | 10,152 |
| 2016-06-01 | SPE | Buy | 908 | 13.50 | 12,258 |
| 2016-04-01 | SPE | Buy | 4,000 | 13.06 | 52,240 |
| 2016-03-03 | SPE | Buy | 100 | 12.52 | 1,252 |
| 2016-03-02 | SPE | Buy | 100 | 12.47 | 1,247 |
| 2015-01-05 | SPE | Buy | 245 | 13.03 | 3,192 |
| 2016-01-06 | SPE | Buy | 2,500 | 12.95 | 32,375 |
| 2015-12-02 | SPE | Buy | 8,000 | 14.46 | 115,640 |
| 2015-11-02 | SPE | Buy | 3,133 | 14.55 | 45,585 |
| 2015-11-03 | SPE | Buy | 1,867 | 14.55 | 27,164 |
| 2015-01-30 | SPE | Buy | 5,500 | 14.92 | 82,060 |
| 2015-01-29 | SPE | Buy | 3,000 | 14.98 | 44,940 |
| 2014-12-24 | SPE | Buy | 2,699 | 15.19 | 40,997 |
| 2014-12-23 | SPE | Buy | 10,301 | 15.20 | 156,523 |
| 2014-12-22 | SPE | Buy | 3,000 | 15.23 | 45,690 |
| 2012-08-31 | SPE | Buy | 2,896 | 15.22 | 44,077 |
| 2012-07-06 | SPE | Buy | 10,561 | 14.91 | 157,517 |
| 2012-06-25 | SPE | Buy | 5,000 | 15.01 | 75,050 |
| 2011-08-25 | SPE | Buy | 3,151 | 14.42 | 45,437 |
| 2011-08-08 | SPE | Buy | 5,000 | 14.26 | 71,300 |
| 2010-08-06 | SPE | Buy | 5,000 | 13.28 | 66,400 |
| 2010-07-23 | SPE | Buy | 1,350 | 12.92 | 17,442 |
| 2010-01-22 | PIF | Sale | 161,435 | 14.18 | 2,289,148 |
Table 6. Insider trading of Dividend Capital Realty Income Allocation Fund (DCA) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2016-09-13 | DCA | Buy | 1,261 | 4.54 | 5,724 |
| 2016-09-14 | DCA | Buy | 976 | 4.51 | 4,406 |
| 2016-09-09 | DCA | Buy | 1,093 | 4.59 | 5,022 |
| 2016-09-08 | DCA | Buy | 3,045 | 4.66 | 14,180 |
| 2016-09-06 | DCA | Buy | 1,698 | 4.67 | 7,936 |
| 2016-08-12 | DCA | Buy | 453 | 4.61 | 2,087 |
| 2016-08-15 | DCA | Buy | 547 | 4.61 | 2,523 |
| 2016-08-11 | DCA | Buy | 127 | 4.60 | 583 |
| 2016-08-10 | DCA | Buy | 380 | 4.57 | 1,736 |
| 2016-08-08 | DCA | Buy | 951 | 4.56 | 4,333 |
| 2016-08-09 | DCA | Buy | 975 | 4.57 | 4,453 |
| 2016-08-04 | DCA | Buy | 973 | 4.57 | 4,446 |
| 2016-08-05 | DCA | Buy | 1,301 | 4.55 | 5,924 |
| 2016-08-01 | DCA | Buy | 531 | 4.59 | 2,439 |
| 2016-07-20 | DCA | Buy | 530 | 4.60 | 2,440 |
| 2016-07-15 | DCA | Buy | 627 | 4.56 | 2,859 |
| 2016-07-14 | DCA | Buy | 667 | 4.56 | 3,041 |
| 2016-07-13 | DCA | Buy | 1,194 | 4.55 | 5,435 |
| 2016-07-12 | DCA | Buy | 653 | 4.56 | 2,977 |
| 2016-07-11 | DCA | Buy | 1,305 | 4.54 | 5,928 |
| 2016-05-25 | DCA | Buy | 100 | 4.28 | 428 |
Table 7. Insider trading of Emergent Capital, Inc. (EMG) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2015-12-04 | EMG | Buy | 726 | 3.96 | 2,874 |
| 2015-12-07 | EMG | Buy | 50,000 | 3.85 | 192,500 |
| 2015-11-12 | EMG | Buy | 5,000 | 4.42 | 22,100 |
| 2015-11-11 | EMG | Buy | 5,000 | 4.42 | 22,100 |
| 2015-08-25 | IFT | Buy | 2,359 | 5.26 | 12,408 |
| 2015-08-26 | IFT | Buy | 2,641 | 5.26 | 13,891 |
| 2015-08-21 | IFT | Buy | 3,000 | 5.60 | 16,800 |
| 2015-08-06 | IFT | Buy | 113 | 5.55 | 627 |
| 2015-08-07 | IFT | Buy | 5,974 | 5.57 | 33,245 |
| 2015-06-24 | IFT | Option Ex | 76,804 | 5.75 | 441,623 |
| 2014-12-26 | IFT | Buy | 3,031 | 6.13 | 18,580 |
| 2014-12-08 | IFT | Buy | 1,700 | 6.25 | 10,625 |
| 2014-12-09 | IFT | Buy | 3,300 | 6.25 | 20,625 |
| 2014-11-14 | IFT | Buy | 3,914 | 6.30 | 24,658 |
| 2014-11-13 | IFT | Buy | 1,086 | 6.30 | 6,841 |
| 2014-10-01 | IFT | Buy | 5,481 | 6.36 | 34,859 |
| 2014-09-25 | IFT | Buy | 100 | 6.36 | 636 |
| 2014-09-26 | IFT | Buy | 856 | 6.36 | 5,444 |
| 2014-09-19 | IFT | Buy | 25,000 | 6.38 | 159,425 |
| 2014-09-09 | IFT | Buy | 763 | 6.36 | 4,852 |
| 2014-09-04 | IFT | Buy | 200 | 6.59 | 1,318 |
| 2014-09-05 | IFT | Buy | 8,400 | 6.59 | 55,356 |
| 2014-08-29 | IFT | Buy | 1,400 | 6.59 | 9,226 |
| 2014-08-08 | IFT | Buy | 20,935 | 6.50 | 136,014 |
| 2014-08-05 | IFT | Buy | 600 | 6.52 | 3,911 |
| 2014-06-25 | IFT | Buy | 10,000 | 6.17 | 61,700 |
| 2014-06-23 | IFT | Buy | 9,246 | 6.36 | 58,758 |
| 2014-06-24 | IFT | Buy | 3,931 | 6.35 | 24,961 |
| 2014-06-19 | IFT | Buy | 5,000 | 6.35 | 31,745 |
| 2014-06-18 | IFT | Buy | 7,369 | 6.36 | 46,837 |
| 2014-06-16 | IFT | Buy | 1,296 | 6.38 | 8,274 |
| 2014-06-12 | IFT | Buy | 4,295 | 6.29 | 27,015 |
| 2014-06-13 | IFT | Buy | 8,158 | 6.38 | 52,088 |
| 2014-06-11 | IFT | Buy | 10,705 | 6.39 | 68,372 |
| 2014-03-28 | IFT | Buy | 27,428 | 5.81 | 159,466 |
| 2014-03-31 | IFT | Buy | 28,000 | 5.75 | 161,000 |
Table 8. Insider trading of Herzfeld Caribbean Basin Fund Inc (CUBA) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2020-04-09 | CUBA | Sale | 5,177 | 3.65 | 18,890 |
| 2020-04-08 | CUBA | Sale | 5,000 | 3.50 | 17,500 |
| 2020-04-07 | CUBA | Sale | 25,000 | 3.36 | 83,950 |
| 2020-04-06 | CUBA | Sale | 18,714 | 3.14 | 58,687 |
| 2020-04-17 | CUBA | Sale | 1,589 | 3.55 | 5,640 |
| 2020-03-19 | CUBA | Sale | 30,000 | 2.82 | 84,540 |
| 2020-03-20 | CUBA | Sale | 5,000 | 3.00 | 15,000 |
| 2020-03-18 | CUBA | Sale | 608 | 3.25 | 1,976 |
| 2020-03-17 | CUBA | Sale | 3,630 | 3.63 | 13,176 |
| 2020-04-01 | CUBA | Sale | 11,700 | 3.44 | 40,248 |
| 2020-03-30 | CUBA | Sale | 2,316 | 3.50 | 8,106 |
| 2020-03-27 | CUBA | Sale | 410 | 3.46 | 1,419 |
| 2020-03-26 | CUBA | Sale | 12,645 | 3.56 | 44,990 |
| 2020-03-25 | CUBA | Sale | 30,002 | 3.32 | 99,516 |
| 2020-03-24 | CUBA | Sale | 35,000 | 3.01 | 105,349 |
| 2020-03-31 | CUBA | Buy | 5,365 | 3.55 | 19,045 |
Table 9. Insider trading of Brookfield Dtla Fund Office Trust Investor Inc. (DTLA PR) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2018-06-08 | DTLA PR | Buy | 1,155 | 24.79 | 28,635 |
Table 10. Insider trading of Asa Gold & Precious Metals Ltd (ASA) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2013-06-20 | ASA | Buy | 1,500 | 12.90 | 19,350 |
| 2009-12-17 | ASA US | Buy | 300 | 75.00 | 22,500 |
Table 11. Insider trading of High Income Securities Fund (PCF) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2025-02-24 | PCF | Sale | 19,296 | 6.84 | 132,081 |
| 2025-02-25 | PCF | Sale | 6,984 | 6.85 | 47,854 |
| 2024-08-16 | PCF | Option Ex | 249,773 | 6.48 | 1,618,529 |
| 2024-06-28 | PCF | Sale | 90,000 | 6.93 | 623,700 |
| 2024-06-27 | PCF | Sale | 54,600 | 6.90 | 376,521 |
| 2024-06-26 | PCF | Sale | 90,000 | 6.83 | 614,430 |
| 2023-04-21 | PCF | Buy | 10,000 | 6.37 | 63,700 |
| 2023-04-10 | PCF | Buy | 10,000 | 6.39 | 63,900 |
| 2023-04-06 | PCF | Buy | 9,510 | 6.41 | 60,959 |
| 2023-03-17 | PCF | Buy | 4,000 | 6.28 | 25,120 |
| 2023-03-13 | PCF | Buy | 790 | 6.36 | 5,024 |
| 2021-11-01 | PCF | Option Ex | 209,944 | 8.36 | 1,755,131 |
| 2021-08-17 | PCF | Sale | 28,000 | 9.98 | 279,440 |
| 2021-08-13 | PCF | Sale | 19,401 | 9.92 | 192,477 |
| 2021-08-16 | PCF | Sale | 10,909 | 9.94 | 108,446 |
| 2021-08-11 | PCF | Sale | 27,718 | 9.89 | 274,131 |
| 2021-08-09 | PCF | Sale | 18,847 | 9.89 | 186,491 |
| 2021-08-10 | PCF | Sale | 7,659 | 9.89 | 75,747 |
| 2021-08-05 | PCF | Sale | 14,563 | 9.87 | 143,663 |
| 2021-08-06 | PCF | Sale | 13,138 | 9.89 | 129,974 |
| 2021-08-03 | PCF | Sale | 12,468 | 9.86 | 122,984 |
| 2021-08-04 | PCF | Sale | 10,874 | 9.86 | 107,239 |
| 2021-02-02 | [PCF] | Option Ex | 163,703 | 8.24 | 1,348,912 |
| 2020-12-24 | PCF | Sale | 6,990 | 8.54 | 59,694 |
| 2020-12-23 | PCF | Sale | 6,710 | 8.54 | 57,303 |
| 2020-12-18 | PCF | Sale | 5,000 | 9.03 | 45,130 |
| 2020-12-16 | PCF | Sale | 10,000 | 8.82 | 88,250 |
| 2020-12-15 | PCF | Sale | 10,000 | 8.68 | 86,800 |
| 2020-12-08 | PCF | Sale | 5,000 | 8.66 | 43,300 |
| 2020-12-04 | PCF | Sale | 12,255 | 8.58 | 105,147 |
| 2020-12-01 | PCF | Sale | 254 | 8.40 | 2,133 |
| 2020-12-02 | PCF | Sale | 4,746 | 8.40 | 39,866 |
| 2020-12-03 | PCF | Sale | 7,700 | 8.46 | 65,180 |
| 2020-10-21 | PCF | Sale | 1,188 | 8.15 | 9,682 |
| 2020-10-12 | PCF | Sale | 3,432 | 8.42 | 28,897 |
| 2020-10-08 | PCF | Sale | 10,000 | 8.30 | 83,050 |
| 2020-10-09 | PCF | Sale | 6,296 | 8.35 | 52,540 |
| 2020-10-01 | PCF | Sale | 8,301 | 8.32 | 69,105 |
| 2020-10-05 | PCF | Sale | 5,000 | 8.23 | 41,150 |
| 2020-09-23 | PCF | Sale | 2,403 | 8.34 | 20,041 |
| 2020-09-22 | PCF | Sale | 15 | 8.44 | 126 |
| 2020-09-21 | PCF | Sale | 438 | 8.50 | 3,723 |
| 2020-09-16 | PCF | Sale | 11,992 | 8.46 | 101,452 |
| 2020-09-14 | PCF | Sale | 5,000 | 8.40 | 42,020 |
| 2020-09-15 | PCF | Sale | 26,499 | 8.47 | 224,499 |
| 2019-10-16 | PCF | Sale | 107 | 8.46 | 905 |
| 2019-03-25 | PCF | Buy | 150,000 | 9.25 | 1,387,500 |
| 2019-03-25 | PCF | Sale | 220,000 | 9.25 | 2,035,000 |
Table 12. Insider trading of Mexico Equity & Income Fund Inc (MXE) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2021-10-15 | MXE | Option Ex | 10,001 | 8.90 | 89,008 |
| 2017-06-02 | MXE | Buy | 3,000 | 10.97 | 32,910 |
| 2017-05-03 | MXE | Buy | 100 | 11.05 | 1,105 |
| 2016-05-04 | MXE | Buy | 3,000 | 11.24 | 33,720 |
| 2016-05-04 | MXE | Buy | 3,000 | 11.24 | 33,720 |
| 2015-09-29 | MXE | Buy | 2,338 | 10.95 | 25,601 |
| 2015-09-28 | MXE | Buy | 2,662 | 10.95 | 29,148 |
| 2013-04-29 | MXE | Sale | 11,289 | 17.16 | 193,719 |
| 2013-04-25 | MXE | Sale | 1,069 | 17.16 | 18,344 |
| 2013-04-19 | MXE | Sale | 23,692 | 17.00 | 402,787 |
| 2013-04-15 | MXE | Sale | 26,100 | 17.22 | 449,520 |
| 2013-04-12 | MXE | Sale | 9,600 | 17.42 | 167,241 |
| 2013-02-07 | MXE | Sale | 4,667 | 15.74 | 73,439 |
| 2013-02-05 | MXE | Sale | 400 | 15.87 | 6,347 |
| 2013-02-06 | MXE | Sale | 14,306 | 15.79 | 225,834 |
| 2013-02-01 | MXE | Sale | 11,275 | 15.83 | 178,438 |
| 2013-01-08 | MXE | Sale | 8,021 | 15.00 | 120,347 |
| 2005-11-23 | MXE | Buy | 5,000 | 21.15 | 105,750 |
Table 13. Insider trading of Aberdeen Emerging Markets Smaller Co Opportunities Fund, Inc. (ETF) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2007-05-11 | ETF | Sale | 2,200 | 20.75 | 45,650 |
| 2007-05-10 | ETF | Sale | 3,200 | 20.75 | 66,400 |
| 2007-05-09 | ETF | Sale | 9,700 | 20.75 | 201,275 |
| 2007-05-08 | ETF | Sale | 2,000 | 20.65 | 41,300 |
| 2007-05-07 | ETF | Sale | 700 | 20.80 | 14,560 |
| 2007-05-04 | ETF | Sale | 10,500 | 20.97 | 220,195 |
| 2007-05-03 | ETF | Sale | 5,900 | 21.00 | 123,900 |
| 2007-05-02 | ETF | Sale | 800 | 20.72 | 16,576 |
| 2007-04-27 | ETF | Sale | 800 | 21.75 | 17,400 |
| 2007-04-26 | ETF | Sale | 6,000 | 21.80 | 130,823 |
| 2007-04-25 | ETF | Sale | 5,000 | 21.50 | 107,500 |
| 2007-04-24 | ETF | Sale | 10,000 | 21.00 | 210,000 |
| 2007-01-24 | ETF | Sale | 200 | 18.75 | 3,750 |
| 2007-01-18 | ETF | Sale | 1,800 | 18.50 | 33,300 |
| 2006-12-27 | ETF | Buy | 140 | 17.81 | 2,493 |
| 2006-07-25 | ETF | Buy | 198 | 12.56 | 2,486 |
| 2006-03-03 | ETF | Sale | 8,000 | 13.25 | 106,000 |
| 2006-01-25 | ETF | Sale | 3,800 | 12.95 | 49,210 |
| 2006-01-31 | ETF | Sale | 800 | 12.90 | 10,320 |
| 2006-01-13 | ETF | Sale | 500 | 12.85 | 6,425 |
| 2006-01-12 | ETF | Sale | 2,800 | 12.85 | 35,980 |
| 2006-01-11 | ETF | Sale | 8,000 | 12.80 | 102,400 |
| 2005-12-27 | ETF | Buy | 103 | 11.98 | 1,233 |
| 2005-07-25 | ETF | Buy | 78 | 10.49 | 818 |
Table 14. Insider trading of Keating Capital Inc (XRDC) by Goldstein Phillip
| Trade Date | Symbol | Trade Type | Shares | Price ($) | Value ($) |
|---|
| 2017-06-07 | XRDC | Sale | 28,479 | 2.17 | 61,799 |
| 2017-06-07 | XRDC | Buy | 28,479 | 2.17 | 61,799 |
Insider trading activities including stock purchases, stock sales, and option exercises
listed in the above table cannot be completely guaranteed as to their accuracy.
For more information regarding the trades made by Goldstein Phillip
(Chairman and Secretary of Special Opportunities Fund, Inc. at the time of this reporting) see
the Securities and Exchange Commission (SEC) website.