PHILLIP GOLDSTEIN
CIK 1067621 · Secretary · last filed 2026-08-21
"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.
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Disclosed Exposure
$14.26M
Companies
34
Total Filings
327
Lifetime Open-Market Net
$69.37M
Filer Profile
Reported Address
60 HERITAGE DRIVEPLEASANTVILLE, NY 10570
Related Filers
LLP Bulldog Investors — 498 joint filings, latest 2026-02-26
Andrew Dakos — 498 joint filings, latest 2026-02-26
Steven Samuels — 486 joint filings, latest 2019-12-06
MVC CAPITAL, INC. — 31 joint filings, latest 2020-12-23
Opportunity Income Plus LP — 15 joint filings, latest 2017-03-27
Full Value Offshore Fund, Ltd. — 14 joint filings, latest 2016-09-15
FULL VALUE PARTNERS LP — 5 joint filings, latest 2017-03-27
Bulldog Investors General Partnership — 1 joint filings, latest 2017-03-27
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses.
View filings on SEC EDGAR.
Holdings By Company
Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
| Symbol | Role | Shares | Price | Disclosed Exposure | Lifetime OM Net | Filings | Latest Filed |
|---|---|---|---|---|---|---|---|
| PCF | Director | 72,860 | $5.48 | $399.3K | $10.69M | 53 | 2026-08-21 |
| SWZ | Secretary | 119,214 | $5.92 | $705.7K | $285.0K | 25 | 2026-07-08 |
| SPE | Chairman and Secretary | 35,869 | $13.32 | $477.8K | $713.8K | 70 | 2026-03-09 |
| MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) Delisted | 10%+ Owner | 12,788 | $7.63 | $97.6K | $122.4K | 1 | 2026-01-26 |
| MFS HIGH YIELD MUNICIPAL TRUST (CMU) Delisted | 10%+ Owner | 24,878 | $3.36 | $83.6K | -$7.1K | 1 | 2026-01-22 |
| MXE | Director | 10,002 | $13.32 | $133.3K | -$1.82M | 25 | 2021-10-18 |
| MVC CAPITAL, INC. (MVCD) Delisted | Director | 0 | — | — | -$5.90M | 10 | 2020-12-23 |
| Herzfeld Credit Income Fund, Inc (CUBA) Delisted | 10%+ Owner | 310,177 | $2.52 | $781.6K | -$376.4K | 3 | 2020-04-21 |
| Brookfield DTLA Fund Office Trust Investor Inc. (DTLA) Delisted | Director | 682 | — | — | $28.6K | 2 | 2019-01-04 |
| ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND (AKP) Delisted | 10%+ Owner | 731,455 | — | — | $1.03M | 1 | 2018-08-31 |
| abrdn Emerging Markets ex-China Fund, Inc. (CH) Delisted | 10%+ Owner | 939,062 | — | — | -$81.3K | 1 | 2017-12-07 |
| MVC CAPITAL, INC. (MVC) Delisted | Director | 581,944 | — | — | -$293.1K | 2 | 2017-08-25 |
| JPMORGAN CHINA REGION FUND, INC. (JFC) Delisted | 10%+ Owner | 845,368 | — | — | $594.6K | 1 | 2017-06-13 |
| PACHOLDER HIGH YIELD FUND INC (PHF) Delisted | 10%+ Owner | 1,251,552 | — | — | $659.7K | 4 | 2017-06-08 |
| CROSSROADS CAPITAL, INC. (XRDC) Delisted | Director | 797,848 | — | — | $0 | 1 | 2017-06-08 |
| KOREA EQUITY FUND INC (KEF) Delisted | Director | 1,381,236 | — | — | $5.39M | 5 | 2017-06-07 |
| NRO | 10%+ Owner | 4,413,719 | $2.81 | $12.40M | -$1.94M | 1 | 2016-12-15 |
| Nuveen Long/Short Commodity Total Return Fund (CTF) Delisted | 10%+ Owner | 1,146,100 | — | — | $677.7K | 2 | 2016-11-28 |
| FIRST TRUST DIVIDEND & INCOME FUND (FAV) Delisted | 10%+ Owner | 1,859,325 | — | — | $10.27M | 8 | 2016-09-26 |
| Nuveen Global Equity Income Fund (JGV) Delisted | 10%+ Owner | 2,124,782 | — | — | $11.01M | 9 | 2016-09-19 |
| Virtus Total Return Fund (DCA) Delisted | 10%+ Owner | 4,404,731 | — | — | $6.28M | 4 | 2016-09-12 |
| NXG NextGen Infrastructure Income Fund (SZC) Delisted | 10%+ Owner | 454,450 | $40.78 | $18.53M | $1.43M | 4 | 2016-08-29 |
| LMP REAL ESTATE INCOME FUND INC. (RIT) Delisted | 10%+ Owner | 2,378,630 | — | — | $18.39M | 15 | 2016-06-07 |
| EMERGENT CAPITAL, INC. (EMG) Delisted | Director | 2,265,292 | — | — | $239.6K | 4 | 2016-06-03 |
| DEUTSCHE GLOBAL HIGH INCOME FUND, INC. (LBF) Delisted | 10%+ Owner | 480,946 | — | — | -$476.5K | 1 | 2016-05-05 |
| ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND (LCM) Delisted | 10%+ Owner | 1,082,607 | — | — | -$160.4K | 2 | 2016-01-20 |
| MFS INTERMARKET INCOME TRUST I (CMK) Delisted | 10%+ Owner | 820,717 | — | — | $5.63M | 4 | 2015-09-08 |
| EMERGENT CAPITAL, INC. (IFT) Delisted | Director | 2,234,802 | — | — | $569.7K | 23 | 2015-08-27 |
| ALLIANCE NEW YORK MUNICIPAL INCOME FUND (AYN) Delisted | 10%+ Owner | 11,605 | — | — | $8.64M | 7 | 2015-07-22 |
| CROSSROADS CAPITAL, INC. (BDCV) Delisted | 10%+ Owner | 815,327 | — | — | $508.0K | 3 | 2015-07-09 |
| Firsthand Technology Value Fund, Inc. (SVVC) Delisted | 10%+ Owner | 604,857 | $0.23 | $142.1K | -$726.1K | 2 | 2015-04-22 |
| ASA | Director | 2,400 | $60.83 | $146.0K | $41.9K | 2 | 2013-06-21 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPEFR) Delisted | Chairman and Secretary | 29,501 | — | — | $232.8K | 2 | 2012-07-09 |
| SPECIAL OPPORTUNITIES FUND, INC. (PIF) Delisted | Director | 0 | — | — | -$2.29M | 1 | 2010-01-26 |
Recent Filings · Page 2 of 33
327 filingsInsider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 2026-02-25 | SPE | Buy (P) | — | $0 | EDGAR |
| 2026-02-25 | SWZ | Buy (P) | +5,000 | $30.6K | EDGAR |
| 2026-02-10 | SWZ | Buy (P) | +10,000 | $60.7K | EDGAR |
| 2026-02-04 | PCF | Buy (P) | +17,514 | $106.0K | EDGAR |
| 2026-02-03 | SWZ | Buy (P) | +10,000 | $59.2K | EDGAR |
| 2026-01-27 | SWZ | Disp (D) | −31,314 | -$213.2K | EDGAR |
| 2026-01-26 | MFS INVESTMENT GRADE MUNICIPAL TRUST (CXH) Delisted | Mixed | +15,657 | $124.8K | EDGAR |
| 2026-01-22 | MFS HIGH YIELD MUNICIPAL TRUST (CMU) Delisted | Buy (P) | −2,034 | -$7.1K | EDGAR |
| 2025-12-18 | PCF | Buy (P) | +5,787 | $34.8K | EDGAR |
| 2025-12-12 | SWZ | Exer (M) | +80,976 | $491.5K | EDGAR |
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.