PHILLIP GOLDSTEIN
CIK 1067621 · Secretary · last filed 2026-04-09
"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
$16.62M
Companies
39
Total Filings
324
Lifetime Open-Market Net
$69.19M
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 | 47,041 | $5.58 | $262.5K | $10.55M | 51 | 2026-04-09 |
| SWZ | Secretary | 113,234 | $5.93 | $671.5K | $249.4K | 24 | 2026-03-19 |
| SPEpC | Chairman and Secretary | 34,822 | $24.85 | $865.3K | $238.5K | 14 | 2026-03-09 |
| CXH | 10%+ Owner | 12,788 | $7.63 | $97.6K | $122.4K | 1 | 2026-01-26 |
| CMU | 10%+ Owner | 24,878 | $3.36 | $83.6K | -$7.1K | 1 | 2026-01-22 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPErw) Delisted | Chairman and Secretary | 19,350 | — | — | -$39.5K | 1 | 2021-12-20 |
| MXE | Director | 10,002 | $13.42 | $134.2K | -$1.82M | 25 | 2021-10-18 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPEr) Delisted | Chairman and Secretary | 22,892 | — | — | -$563.9K | 33 | 2021-06-24 |
| MVC CAPITAL, INC. (MVCD) Delisted | Director | 0 | — | — | -$5.90M | 10 | 2020-12-23 |
| Herzfeld Credit Income Fund, Inc (CUBA) Delisted | 10%+ Owner | 240,697 | $2.52 | $606.6K | -$376.4K | 3 | 2020-04-21 |
| Brookfield DTLA Fund Office Trust Investor Inc. (DTLAp) Delisted | Director | 682 | $0.35 | $239 | $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 | $2.99 | $13.20M | -$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 |
| SPE | Chairman and Secretary | 85,960 | $13.61 | $1.17M | $1.03M | 17 | 2016-06-03 |
| 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 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPEp.CL) Delisted | Chairman and Secretary | 8,244 | — | — | $0 | 1 | 2014-02-03 |
| ASA | Director | 2,400 | $57.39 | $137.7K | $41.9K | 2 | 2013-06-21 |
| SPECIAL OPPORTUNITIES FUND, INC. (SPEp) Delisted | Chairman and Secretary | 33,075 | — | — | $44.1K | 4 | 2013-03-25 |
| 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
324 filingsForm 4 transactions across all companies, newest first.
| Filed | Symbol | Action | Net Shares | Net $ | Link |
|---|---|---|---|---|---|
| 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 | CXH | Mixed | +15,657 | $124.8K | EDGAR |
| 2026-01-22 | CMU | 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 |
| 2025-08-25 | SPEpC | Sell (S) | — | $0 | EDGAR |
| 2025-04-08 | SPEpC | Buy (P) | +3,000 | $41.4K | EDGAR |
| 2025-02-26 | PCF | Sell (S) | −26,280 | -$179.9K | EDGAR |
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.