Insider · CIK 0001067621
Phillip Goldstein
chairofficerdirectorownerother
Files at PCF (HIGH INCOME SECURITIES FUND), SWZ (Total Return Securities Fund), SPE (SPECIAL OPPORTUNITIES FUND, INC.). First filing Jan 21, 2025, latest Mar 19, 2026.
Track record
Not enough history
Fewer than three past buys with six months of prices.
Median 6-month excess
-
after past buys, n = 0
Hit rate
-
past buys that beat the index over 6 months
Open-market trades
10 / 2
$580k bought, $218k sold
Where the trades landed
Last year at the 3 companies this insider has traded most, with each buy and sell on the bar it happened.
SWZ: Total Return Securities Fund
SWZOct 9, 2026 · close 5.78
Daily candles, adjusted for splits and dividends. Green arrows are insider buys, red are sells, sized by value. Click a marked bar to open the signal.Charts by TradingView Lightweight Charts™
PCF: HIGH INCOME SECURITIES FUND
PCFOct 9, 2026 · close 5.04
Daily candles, adjusted for splits and dividends. Green arrows are insider buys, red are sells, sized by value. Click a marked bar to open the signal.Charts by TradingView Lightweight Charts™
SPE: SPECIAL OPPORTUNITIES FUND, INC.
SPEOct 9, 2026 · close 12.57
Daily candles, adjusted for splits and dividends. Green arrows are insider buys, red are sells, sized by value. Click a marked bar to open the signal.Charts by TradingView Lightweight Charts™
Signals
This insider’s open-market buys and sells, scored.
| Score | Company | Value | Holdings | Price context | Filed |
|---|---|---|---|---|---|
| 50Moderate | PCFbuy HIGH INCOME SECURITIES FUND | $98k 17,905 shares | +76% | +4% from low-10% from high | |
| 48Moderate | Total Return Securities Fund | $60k 10,000 shares | +10% | +2% from low-7% from high | |
| 48Moderate | Total Return Securities Fund | $60k 10,000 shares | +11% | +2% from low-7% from high | |
| 46Moderate | Total Return Securities Fund | $30k 5,000 shares | +6% | +2% from low-7% from high | |
| 46Moderate | Total Return Securities Fund | $31k 5,000 shares | +6% | +5% from low-4% from high | |
| 55Moderate | Total Return Securities Fund | $61k 10,000 shares | +14% | +5% from low-5% from high | |
| 40Moderate | PCFbuy HIGH INCOME SECURITIES FUND | $106k 17,514 shares | +295% | +13% from low-3% from high | |
| 50Moderate | Total Return Securities Fund | $59k 10,000 shares | +16% | +3% from low-8% from high | |
| 31Weak | PCFbuy HIGH INCOME SECURITIES FUND | $35k 5,787 shares | +3937% | +11% from low-4% from high | |
| 29Weak | SPEbuy SPECIAL OPPORTUNITIES FUND, INC. | $41k 3,000 shares | +9% | - | |
| 47Moderate | PCFsell HIGH INCOME SECURITIES FUND | $180k 26,280 shares | -99% | - | |
| 31Weak | SWZsell Total Return Securities Fund | $38k 4,535 shares | -27% | - |
Transactions
Every row this insider has filed, newest first.
| Date | Company | Transaction | Shares | Price | Value | Holdings after | Filed |
|---|---|---|---|---|---|---|---|
| Mar 18, 2026 | SWZ Total Return Securities Fund | POpen-market purchase Common Stock | +10,000 | $5.98 | $60k | 113,234 | Mar 19, 2026 |
| Mar 18, 2026 | PCF HIGH INCOME SECURITIES FUND | POpen-market purchase Common Stock | +17,905 | $5.46 | $98k | 41,353 | Mar 19, 2026 |
| Mar 5, 2026 | SWZ Total Return Securities Fund | POpen-market purchase Common Stock | +10,000 | $5.99 | $60k | 103,234 | Mar 9, 2026 |
| Mar 2, 2026 | SPE SPECIAL OPPORTUNITIES FUND, INC. | LSmall acquisition 2.75% Convertible Preferred Stock, Series Cderivative | +100 | $25.09 | $2,509 | 6,198 | Mar 9, 2026 |
| Mar 4, 2026 | SPE SPECIAL OPPORTUNITIES FUND, INC. | LSmall acquisition 2.75% Convertible Preferred Stock, Series Cderivative | +100 | $25.09 | $2,509 | 6,298 | Mar 9, 2026 |
| Mar 5, 2026 | SPE SPECIAL OPPORTUNITIES FUND, INC. | POpen-market purchase 2.75% Convertible Preferred Stock, Series Cderivative | +3,952 | $25.09 | $99k | 10,250 | Mar 9, 2026 |
| Feb 26, 2026 | SWZ Total Return Securities Fund | LSmall acquisition Common Stock | +256 | $6.16 | $1,577 | 88,166 | Mar 5, 2026 |
| Feb 27, 2026 | SWZ Total Return Securities Fund | LSmall acquisition Common Stock | +68 | $6.16 | $419 | 88,234 | Mar 5, 2026 |
| Mar 3, 2026 | SWZ Total Return Securities Fund | POpen-market purchase Common Stock | +5,000 | $6.01 | $30k | 93,234 | Mar 5, 2026 |
| Feb 26, 2026 | SPE SPECIAL OPPORTUNITIES FUND, INC. | POpen-market purchase 2.75% Convertible Preferred Stock, Series Cderivative | +27 | $25.09 | $677 | 277 | Mar 2, 2026 |
| Feb 27, 2026 | SPE SPECIAL OPPORTUNITIES FUND, INC. | POpen-market purchase 2.75% Convertible Preferred Stock, Series Cderivative | +5,821 | $25.09 | $146k | 6,098 | Mar 2, 2026 |
| Feb 23, 2026 | SWZ Total Return Securities Fund | POpen-market purchase Common Stock | +5,000 | $6.13 | $31k | 87,910 | Feb 25, 2026 |
| Feb 23, 2026 | SPE SPECIAL OPPORTUNITIES FUND, INC. | POpen-market purchase 2.75% Convertible Preferred Stock, Series Cderivative | +100 | $25.05 | $2,505 | 220 | Feb 25, 2026 |
| Feb 24, 2026 | SPE SPECIAL OPPORTUNITIES FUND, INC. | POpen-market purchase 2.75% Convertible Preferred Stock, Series Cderivative | +30 | $25.09 | $753 | 250 | Feb 25, 2026 |
| Feb 6, 2026 | SWZ Total Return Securities Fund | POpen-market purchase Common Stock | +10,000 | $6.07 | $61k | 82,910 | Feb 10, 2026 |
| Feb 2, 2026 | PCF HIGH INCOME SECURITIES FUND | POpen-market purchase Common Stock | +7,514 | $6.05 | $45k | 13,448 | Feb 4, 2026 |
| Feb 3, 2026 | PCF HIGH INCOME SECURITIES FUND | POpen-market purchase Common Stock | +10,000 | $6.05 | $61k | 23,448 | Feb 4, 2026 |
| Jan 30, 2026 | SWZ Total Return Securities Fund | POpen-market purchase Common Stock | +10,000 | $5.92 | $59k | 72,910 | Feb 3, 2026 |
| Jan 23, 2026 | SWZ Total Return Securities Fund | DDisposition to issuer Common Stock | -31,314 | $6.81 | $213k | 62,910 | Jan 27, 2026 |
| Dec 16, 2025 | PCF HIGH INCOME SECURITIES FUND | POpen-market purchase Common Stock | +2,487 | $6.04 | $15k | 2,634 | Dec 18, 2025 |
| Dec 17, 2025 | PCF HIGH INCOME SECURITIES FUND | POpen-market purchase Common Stock | +800 | $6.03 | $4,824 | 3,434 | Dec 18, 2025 |
| Dec 18, 2025 | PCF HIGH INCOME SECURITIES FUND | POpen-market purchase Common Stock | +2,500 | $5.99 | $15k | 5,934 | Dec 18, 2025 |
| Dec 11, 2025 | SWZ Total Return Securities Fund | MOption exercise Common Stock | +80,976 | $6.07 | $492k | 93,224 | Dec 12, 2025 |
| Aug 22, 2025 | SPE SPECIAL OPPORTUNITIES FUND, INC. | SOpen-market sale 2.75% Convertible Preferred Stock, Series Cderivative | -3,000 | $25.10 | $75k | 120 | Aug 25, 2025 |
| Apr 4, 2025 | SPE SPECIAL OPPORTUNITIES FUND, INC. | POpen-market purchase Common Stock | +3,000 | $13.80 | $41k | 34,822 | Apr 8, 2025 |
| Feb 24, 2025 | PCF HIGH INCOME SECURITIES FUND | SOpen-market sale Common Stock | -10,000 | $6.84 | $68k | 16,427 | Feb 26, 2025 |
| Feb 24, 2025 | PCF HIGH INCOME SECURITIES FUND | SOpen-market sale Common Stock | -9,296 | $6.85 | $64k | 7,131 | Feb 26, 2025 |
| Feb 25, 2025 | PCF HIGH INCOME SECURITIES FUND | SOpen-market sale Common Stock | -6,984 | $6.85 | $48k | 147 | Feb 26, 2025 |
| Jan 17, 2025 | SWZ Total Return Securities Fund | SOpen-market sale Common Stock | -4,535 | $8.45 | $38k | 12,248 | Jan 21, 2025 |
| Dec 12, 2024 | PCF HIGH INCOME SECURITIES FUND | DDisposition to issuer Common Stock | -233,119 | $7.07 | $1.6M | 26,427 | Dec 16, 2024 |
| Oct 15, 2024 | SPE SPECIAL OPPORTUNITIES FUND, INC. | SOpen-market sale 2.75% Convertible Preferred Stock, Series Cderivative | -618 | $23.50 | $15k | 3,120 | Oct 16, 2024 |
Not investment advice. Scores and forward returns are decision support built from public SEC filings and past prices; they describe what happened after comparable filings, not what will happen after this one. Do your own research and size your risk.