GOLDSTEIN PHILLIP — SEC Form 4 filings
SEC reporting owner CIK 1067621. 32 Form 4 filings on record with FilingPulse; latest filed 2026-08-21.
Transaction summary — filings shown
Covers all 32 filings on record, filed 2024-06-28 to 2026-08-21. Counts and totals are arithmetic on values as filed — descriptive data, not a recommendation.
- Open-market purchases (code P, non-derivative): 26 legs across 19 filings — 148,529 shares, $914,452 total (shares × price as filed).
- Open-market sales (code S, non-derivative): 18 legs across 5 filings — 270,415 shares, $1,872,693 total (shares × price as filed).
- Other reported legs (grants, option exercises, tax withholding, gifts, derivative-security transactions, …): 16.
- Largest priced transaction: sale of 60,000 shares @ $6.93 ($415,800) in HIGH INCOME SECURITIES FUND, filed 2024-07-01.
By issuer — same filings
Open-market purchase/sale legs on non-derivative securities, grouped by issuer. Role is as filed on the newest filing for that issuer. Dollar totals cover priced legs only (shares × price as filed). Ordered by priced transaction value, largest first.
| Issuer | Role (as filed) | Filings | Purchases (P) | Sales (S) | Other legs |
|---|---|---|---|---|---|
| HIGH INCOME SECURITIES FUND (PCF) | Director | 11 | 12 legs · 72,713 sh · $408,325 | 16 legs · 260,880 sh · $1,794,522 | 2 |
| Total Return Securities Fund (SWZ) | Secretary, Director | 10 | 7 legs · 55,980 sh · $335,881 | 1 leg · 4,535 sh · $38,321 | 4 |
| MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) | 10% owner | 3 | 4 legs · 15,480 sh · $124,100 | 1 leg · 5,000 sh · $39,850 | 1 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Chairman and Secretary, Director | 6 | 1 leg · 3,000 sh · $41,400 | — | 9 |
| MFS HIGH YIELD MUNICIPAL TRUST (CMU) | 10% owner | 2 | 2 legs · 1,356 sh · $4,746 | — | — |
Form 4 filings — GOLDSTEIN PHILLIP
| Filed | Form | Issuer | Reported transactions | Source |
|---|---|---|---|---|
| 2026-08-21 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 10,000 @ $5.40 · Purchase (P): 10,000 @ $5.37 · Purchase (P): 5,000 @ $5.34 | EDGAR |
| 2026-08-10 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 819 @ $5.30 | EDGAR |
| 2026-07-08 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 5,980 @ $5.95 | EDGAR |
| 2026-04-09 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 5,088 @ $5.45 · Purchase (P): 600 @ $5.53 | EDGAR |
| 2026-03-19 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 17,905 @ $5.46 | EDGAR |
| 2026-03-19 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 10,000 @ $5.98 | EDGAR |
| 2026-03-09 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Code (L): 100 (derivative) @ $25.09 · Code (L): 100 (derivative) @ $25.09 · Purchase (P): 3,952 (derivative) @ $25.09 | EDGAR |
| 2026-03-09 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 10,000 @ $5.99 | EDGAR |
| 2026-03-05 | 4 | Total Return Securities Fund (SWZ) | Code (L): 256 @ $6.16 · Code (L): 68 @ $6.16 · Purchase (P): 5,000 @ $6.01 | EDGAR |
| 2026-03-02 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Purchase (P): 27 (derivative) @ $25.09 · Purchase (P): 5,821 (derivative) @ $25.09 | EDGAR |
| 2026-02-26 | 4 | MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) jointly with Bulldog Investors, LLP, Dakos Andrew | Purchase (P): 1,372 @ $8.12 | EDGAR |
| 2026-02-25 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Purchase (P): 100 (derivative) @ $25.05 · Purchase (P): 30 (derivative) @ $25.09 | EDGAR |
| 2026-02-25 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 5,000 @ $6.13 | EDGAR |
| 2026-02-13 | 4 | MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) jointly with Bulldog Investors, LLP, Dakos Andrew | Purchase (P): 3,989 @ $8.10 | EDGAR |
| 2026-02-10 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 10,000 @ $6.07 | EDGAR |
| 2026-02-04 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 7,514 @ $6.05 · Purchase (P): 10,000 @ $6.05 | EDGAR |
| 2026-02-03 | 4 | Total Return Securities Fund (SWZ) | Purchase (P): 10,000 @ $5.92 | EDGAR |
| 2026-01-27 | 4 | Total Return Securities Fund (SWZ) | Disposition to issuer (D): 31,314 @ $6.81 | EDGAR |
| 2026-01-26 | 4 | MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) jointly with Bulldog Investors, LLP, Dakos Andrew | Code (L): 100 @ $7.92 · Purchase (P): 10,000 @ $7.97 · Sale (S): 5,000 @ $7.97 · Purchase (P): 119 @ $7.97 | EDGAR |
| 2026-01-23 | 4/A | MFS HIGH YIELD MUNICIPAL TRUST (CMU) jointly with Bulldog Investors, LLP, Dakos Andrew | Purchase (P): 678 @ $3.50 | EDGAR |
| 2026-01-22 | 4 | MFS HIGH YIELD MUNICIPAL TRUST (CMU) jointly with Bulldog Investors, LLP, Dakos Andrew | Purchase (P): 678 @ $3.50 | EDGAR |
| 2025-12-18 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Purchase (P): 2,487 @ $6.04 · Purchase (P): 800 @ $6.03 · Purchase (P): 2,500 @ $5.99 | EDGAR |
| 2025-12-12 | 4 | Total Return Securities Fund (SWZ) | Option exercise (M): 80,976 @ $6.07 | EDGAR |
| 2025-08-25 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Sale (S): 3,000 (derivative) @ $25.10 | EDGAR |
| 2025-04-08 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Purchase (P): 3,000 @ $13.80 | EDGAR |
| 2025-02-26 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Sale (S): 10,000 @ $6.84 · Sale (S): 9,296 @ $6.85 · Sale (S): 6,984 @ $6.85 | EDGAR |
| 2025-01-21 | 4 | SWISS HELVETIA FUND, INC. (SWZ) | Sale (S): 4,535 @ $8.45 | EDGAR |
| 2024-12-16 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Disposition to issuer (D): 233,119 @ $7.07 | EDGAR |
| 2024-10-16 | 4 | SPECIAL OPPORTUNITIES FUND, INC. (SPE) | Sale (S): 618 (derivative) @ $23.50 | EDGAR |
| 2024-08-19 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Option exercise (M): 249,773 @ $6.48 | EDGAR |
| 2024-07-01 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Sale (S): 60,000 @ $6.93 · Sale (S): 10,000 @ $6.92 · Sale (S): 10,000 @ $6.93 · Sale (S): 10,000 @ $6.94 | EDGAR |
| 2024-06-28 | 4 | HIGH INCOME SECURITIES FUND (PCF) | Sale (S): 29,800 @ $6.84 · Sale (S): 200 @ $6.84 · Sale (S): 40,000 @ $6.81 · Sale (S): 10,000 @ $6.83 · Sale (S): 10,000 @ $6.81 · Sale (S): 24,600 @ $6.92 · +3 more | EDGAR |
FilingPulse's Form 4 archive currently extends back to 2024-01-11 and is expanding backward through EDGAR history — earlier filings by this insider may not be indexed yet. Names and roles are shown as filed.
Need this as JSON?
GET https://api.filingpulse.io/v1/insider-trades?owner_cik=1067621 returns every filing on this page — normalized, with footnotes and derivative legs — and webhooks push new filings to you in seconds. API docs →