13F Pro

SEC Form 4 reporting owner

Goldstein Phillip

Goldstein Phillip has filed 27 Form 4 transactions reported between December 11, 2025 and August 20, 2026, as Director of HIGH INCOME SECURITIES FUND, Secretary, Director of Total Return Securities Fund and Chairman and Secretary of SPECIAL OPPORTUNITIES FUND, INC..

Name as filed: GOLDSTEIN PHILLIP

Open-market buys, 24 mo
$659K
16 lines
Open-market sales, 24 mo
None
reported
Companies
3
with Form 4 filings
Latest transaction
Aug 20, 2026
transaction date

Roles and reported holdings

  • PCFHIGH INCOME SECURITIES FUND
    Dec 16, 2025 – Aug 20, 2026

    Director

    Held directly72,860 sh as of Aug 20, 2026 · Form 4

    24 months: $324K bought

  • SWZTotal Return Securities Fund
    Dec 11, 2025 – Jul 6, 2026

    Secretary, Director

    Held directly119,214 sh as of Jul 6, 2026 · Form 4

    24 months: $336K bought

  • SPESPECIAL OPPORTUNITIES FUND, INC.
    Feb 23, 2026 – Mar 5, 2026

    Chairman and Secretary

    No common-stock holding reported on a purchase, sale, gift or withholding line.

    5 lines are priced far from SPE’s market price that day, so the filing may concern a different security. Left out of totals and holdings; see the filings.

Transaction history

All 27 reported transactions, newest first. Every row links to the Form 4 on SEC EDGAR.

DateCompanyTypeSharesValueFiling
Aug 20, 2026PCFDirectorOpen-market purchaseCode P · direct5,000$27K@ $5.34Form 4
Aug 19, 2026PCFDirectorOpen-market purchaseCode P · direct10,000$54K@ $5.40Form 4
Aug 6, 2026PCFDirectorOpen-market purchaseCode P · direct819$4K@ $5.30Form 4
Jul 6, 2026SWZSecretaryOpen-market purchaseCode P · direct5,980$36K@ $5.95Form 4
Mar 18, 2026SWZSecretaryOpen-market purchaseCode P · direct10,000$60K@ $5.98Form 4
Mar 18, 2026PCFDirectorOpen-market purchaseCode P · direct17,905$98K@ $5.46Form 4
Mar 5, 2026SPEChairman and SecretaryOpen-market purchaseCode P · directPrice far from market; may be another security3,952$99K@ $25.09Form 4
Mar 5, 2026SWZSecretaryOpen-market purchaseCode P · direct10,000$60K@ $5.99Form 4
Mar 4, 2026SPEChairman and SecretarySmall acquisitionCode L · direct100$3K@ $25.09Form 4
Mar 3, 2026SWZSecretaryOpen-market purchaseCode P · direct5,000$30K@ $6.01Form 4
Mar 2, 2026SPEChairman and SecretarySmall acquisitionCode L · direct100$3K@ $25.09Form 4
Feb 27, 2026SPEChairman and SecretaryOpen-market purchaseCode P · directPrice far from market; may be another security5,821$146K@ $25.09Form 4
Feb 27, 2026SWZSecretarySmall acquisitionCode L · direct68$419@ $6.16Form 4
Feb 26, 2026SPEChairman and SecretaryOpen-market purchaseCode P · directPrice far from market; may be another security27$677@ $25.09Form 4
Feb 26, 2026SWZSecretarySmall acquisitionCode L · direct256$2K@ $6.16Form 4
Feb 24, 2026SPEChairman and SecretaryOpen-market purchaseCode P · directPrice far from market; may be another security30$753@ $25.09Form 4
Feb 23, 2026SPEChairman and SecretaryOpen-market purchaseCode P · directPrice far from market; may be another security100$3K@ $25.05Form 4
Feb 23, 2026SWZDirectorOpen-market purchaseCode P · direct5,000$31K@ $6.13Form 4
Feb 6, 2026SWZDirectorOpen-market purchaseCode P · direct10,000$61K@ $6.07Form 4
Feb 3, 2026PCFDirectorOpen-market purchaseCode P · direct10,000$61K@ $6.05Form 4
Feb 2, 2026PCFDirectorOpen-market purchaseCode P · direct7,514$45K@ $6.05Form 4
Jan 30, 2026SWZDirectorOpen-market purchaseCode P · direct10,000$59K@ $5.92Form 4
Jan 23, 2026SWZDirectorDisposition to issuerCode D · direct31,314$213K@ $6.81Form 4
Dec 18, 2025PCFDirectorOpen-market purchaseCode P · direct2,500$15K@ $5.99Form 4
Dec 17, 2025PCFDirectorOpen-market purchaseCode P · direct800$5K@ $6.03Form 4
Dec 16, 2025PCFDirectorOpen-market purchaseCode P · direct2,487$15K@ $6.04Form 4
Dec 11, 2025SWZDirectorOption exerciseCode M · direct80,976$492K@ $6.07Form 4

How this page is built

Every row comes from a Form 4 filed with the SEC, which officers, directors and holders of more than 10% of a company’s stock must file within two business days of a trade. Transactions are grouped by the reporting owner’s name as filed (spacing, capitals and punctuation ignored); two different people filing under an identical name would appear together, and one person filing under two spellings appears on two pages.

Open-market totals count code P purchases and code S sales over the last 24 months. The same trade reported on more than one filing is counted once; when another owner (for example a fund and its general partner) reports the identical trade, they are listed beside it. Holdings are the shares owned after the latest purchase, sale, gift or tax-withholding line, shown separately for direct and indirect ownership; an indirect figure is one holding line, not a total across every trust or entity.

5 open-market lines are priced outside 0.67×–1.5× of the stock’s closing price that day. A gap that large usually means the filing reports a different security than the company it is filed under, so those lines are shown but left out of totals and holdings.

This page describes what was filed with the SEC; it is not investment advice or a recommendation to buy or sell any security.