Insider trades › Phillip Goldstein
Phillip Goldstein
A corporate insider: an officer, director or owner of more than 10% of a company. Insiders report their trades to the SEC on Form 4The form insiders use to report each purchase or sale of their company's stock. It is due within two business days of the trade. · Last filing Aug 21, 2026
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Using 13F.ai, list Phillip Goldstein's open-market buys and sells across companies in the last two years, with the Form 4 links.
Using 13F.ai, how did the stocks Phillip Goldstein bought perform after the purchase compared with the S&P 500?
Using 13F.ai, are other insiders at the same companies buying or selling at the same time as Phillip Goldstein?
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Buying and selling by quarter
Dollars bought and sold on the open market over the last two years.
Bought Sold
By trade date, using the shares and price reported for each trade. Stock grants, option exercises and shares withheld for tax are left out.
Roles
The companies where this person reports as an insider, and their position at each, most recent first.
| PCF High Income Securities Fund | Director | Aug 21, 2026 |
| SWZ Total Return Securities Fund | Secretary, Director | Jul 8, 2026 |
| SPE Special Opportunities Fund, Inc | Chairman and Secretary, Director | Mar 9, 2026 |
| CXH MFS Investment Grade Municipal Trust | 10% owner | Jan 26, 2026 |
| CMU MFS High Yield Municipal Trust | 10% owner | Jan 23, 2026 |
| LRFC Logan Ridge Finance Corp. | 10% owner | Apr 3, 2025 |
Roles come from the filings themselves and can change over time.
Latest open-market trades
Purchases and sales at every company, most recent filing first.
| How the stock has done since the trade date, measured against the S&P 500 over the same days. It describes the stock, not the trader's actual gain or loss. | Filing | ||||||
|---|---|---|---|---|---|---|---|
| Aug 20, 2026 | PCF High Income Securities Fund | Buy | 5,000 | $5.34 | $26.7K | -6.8% | Form 4 ↗ |
| Aug 19, 2026 | PCF High Income Securities Fund | Buy | 10,000 | $5.40 | $54.0K | -6.5% | Form 4 ↗ |
| Aug 19, 2026 | PCF High Income Securities Fund | Buy | 10,000 | $5.37 | $53.7K | -6.5% | Form 4 ↗ |
| Aug 6, 2026 | PCF High Income Securities Fund | Buy | 819 | $5.30 | $4,341 | -6.4% | Form 4 ↗ |
| Jul 6, 2026 | SWZ Total Return Securities Fund | Buy | 5,980 | $5.95 | $35.6K | -2.1% | Form 4 ↗ |
| Apr 8, 2026 | PCF High Income Securities Fund | Buy | 600 | $5.53 | $3,318 | -22.8% | Form 4 ↗ |
| Apr 7, 2026 | PCF High Income Securities Fund | Buy | 5,088 | $5.45 | $27.7K | -25.0% | Form 4 ↗ |
| Mar 18, 2026 | PCF High Income Securities Fund | Buy | 17,905 | $5.46 | $97.8K | -24.1% | Form 4 ↗ |
| Mar 18, 2026 | SWZ Total Return Securities Fund | Buy | 10,000 | $5.98 | $59.8K | -15.9% | Form 4 ↗ |
| Mar 5, 2026 | SWZ Total Return Securities Fund | Buy | 10,000 | $5.99 | $59.9K | -12.9% | Form 4 ↗ |
| Mar 3, 2026 | SWZ Total Return Securities Fund | Buy | 5,000 | $6.01 | $30.1K | -13.2% | Form 4 ↗ |
| Feb 23, 2026 | SWZ Total Return Securities Fund | Buy | 5,000 | $6.13 | $30.6K | -15.3% | Form 4 ↗ |
| Feb 6, 2026 | SWZ Total Return Securities Fund | Buy | 10,000 | $6.07 | $60.7K | -13.0% | Form 4 ↗ |
| Feb 3, 2026 | PCF High Income Securities Fund | Buy | 10,000 | $6.05 | $60.5K | -28.2% | Form 4 ↗ |
| Feb 2, 2026 | PCF High Income Securities Fund | Buy | 7,514 | $6.05 | $45.5K | -27.5% | Form 4 ↗ |
| Jan 30, 2026 | SWZ Total Return Securities Fund | Buy | 10,000 | $5.92 | $59.2K | -10.2% | Form 4 ↗ |
| Jan 23, 2026 | CXH MFS Investment Grade Municipal Trust | Buy | 119 | $7.97 | $948 | -11.7% | Form 4 ↗ |
| Jan 22, 2026 | CXH MFS Investment Grade Municipal Trust | Sale | 5,000 | $7.97 | $39.9K | -11.1% | Form 4 ↗ |
| Jan 22, 2026 | CXH MFS Investment Grade Municipal Trust | Buy | 10,000 | $7.97 | $79.7K | -11.1% | Form 4 ↗ |
| Jan 20, 2026 | CMU MFS High Yield Municipal Trust | Buy | 678 | $3.50 | $2,373 | -13.0% | Form 4/A ↗ |
| Dec 18, 2025 | PCF High Income Securities Fund | Buy | 2,500 | $5.99 | $15.0K | -29.4% | Form 4 ↗ |
| Dec 17, 2025 | PCF High Income Securities Fund | Buy | 800 | $6.03 | $4,824 | -30.6% | Form 4 ↗ |
| Dec 16, 2025 | PCF High Income Securities Fund | Buy | 2,487 | $6.04 | $15.0K | -29.8% | Form 4 ↗ |
| Apr 4, 2025 | SPE Special Opportunities Fund, Inc | Buy | 3,000 | $13.80 | $41.4K | -61.6% | Form 4 ↗ |
| Feb 25, 2025 | PCF High Income Securities Fund | Sale | 6,984 | $6.85 | $47.8K | -55.6% | Form 4 ↗ |
| Feb 24, 2025 | PCF High Income Securities Fund | Sale | 10,000 | $6.84 | $68.4K | -54.4% | Form 4 ↗ |
| Feb 24, 2025 | PCF High Income Securities Fund | Sale | 9,296 | $6.85 | $63.7K | -54.4% | Form 4 ↗ |
| Jan 17, 2025 | SWZ Total Return Securities Fund | Sale | 4,535 | $8.45 | $38.3K | -57.0% | Form 4 ↗ |
Each row links to its Form 4. Since trade compares the stock’s move from the close on the trade date (or the next trading day) to its latest close with the S&P 500 over the same days, adjusted for splits and excluding dividends. It describes the stock, not what the trader made: we don’t know their purchase price, position size or later sales. A dash means the trade isn’t matched to a listed stock, or there is no closing price after it yet.
When several people report on the same filing, we list it under the first one named, so trades by someone usually listed second may be missing here. Information, not investment advice: see the disclaimer.