Goldstein Phillip - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	8	1	51	1	1	2	4	10	13	5
P	%wins				88	80	72	80	84	77	80

Filing Date	T Date	Ticker	Issuer	Inc	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
1/2/24 15:53	12/28/23	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.d	16	11.78	0	1	4	32	D
4/25/23 17:00	4/21/23	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	64	6.37	0	10	4	244	D
4/12/23 15:30	4/10/23	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	64	6.39	0	10	4	234	D
4/10/23 12:26	4/6/23	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	61	6.41	0	10	4	224	D
4/7/23 08:37	4/5/23	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	80	10.85	0	7	31	31	D
3/31/23 17:00	3/29/23	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	24	10.82	0	2	10	24	D
3/21/23 17:01	3/17/23	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	25	6.28	0	4	2	215	D
3/15/23 17:02	3/13/23	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	5	6.36	0	1	0	211	D
2/7/23 17:00	2/3/23	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	24	11.85	0	2	10	22	D
2/1/23 17:00	1/30/23	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	23	11.63	0	2	11	20	D
2/9/22 17:00	2/7/22	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.d	30	14.76	0	2	10	21	D
8/18/20 17:26	7/21/20	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.am	118	11.83	0	10	10	115	D
8/18/20 13:39	7/15/20	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.a	75	11.74	0	6	7	105	M
7/23/20 11:51	7/21/20	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	118	11.83	0	10	9	128	D
7/16/20 17:00	7/15/20	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	151	11.74	0	13	12	118	M
5/4/20 16:58	4/30/20	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	4	7.37	0	1	0	116	D
4/27/20 13:47	4/23/20	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	37	7.35	0	5	5	115	D
4/6/20 10:27	3/31/20	CUBA	Herzfeld Caribbean Basin Fund Inc		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	T		P	19	3.55	0	5	2	259	D
3/2/20 13:33	2/27/20	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.m	78	7.86	0	10		0	D
2/26/20 12:35	2/24/20	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.m	210	8.39	0	25	33	100	D
1/8/20 17:07	1/6/20	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	9	8.33	0	1	1	75	D
12/23/19 16:09	12/19/19	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	21	8.20	0	3	4	74	D
12/19/19 15:50	12/17/19	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.m	331	8.15	0	41	131	72	D
12/3/19 15:37	11/29/19	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.m	243	8.10	0	30	999%	31	D
3/28/19 14:13	3/26/19	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	5	9.10	0	1	2	23	D
3/27/19 15:31	3/25/19	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	1,388	9.25	0	150	999%	150	M
3/20/19 15:16	3/19/19	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	53	13.36	0	4	4	111	D
1/29/19 17:58	1/28/19	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.d	39	12.68	0	3	3	107	D
1/16/19 17:30	1/15/19	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.d	39	12.49	0	3	3	104	D
1/4/19 17:30	12/19/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.dm	58	11.61	0	5	5	101	D
12/31/18 17:31	12/27/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	68	11.32	0	6	7	96	D
10/3/18 16:19	6/8/18	DTLAP	Brookfield Dtla Fund Office Trust Investor Inc.	MD	RlEst	REIT	Real Estate Investment Trusts	Goldstein Phillip	NJ	D		P	29	24.79	0	1	1	202	I
7/3/18 13:22	7/2/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	36	14.95	0	2	3	90	D
7/2/18 07:46	6/28/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	1	14.95	0	0	0	87	D
5/25/18 11:45	5/24/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	45	15.00	0	3	4	87	D
5/15/18 10:03	5/11/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	3	15.03	0	0	0	84	D
4/17/18 10:51	4/13/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	45	14.89	0	3	4	84	D
3/29/18 11:23	3/27/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	37	14.70	0	3	3	81	D
3/26/18 11:49	3/22/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	53	14.58	0	4	5	78	D
3/1/18 14:50	2/27/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	15	14.92	0	1	1	75	D
1/22/18 17:20	6/2/17	MXE	Mexico Equity & Income Fund Inc		Fund	CEF	Closed-End Funds	Goldstein Phillip	WI	D		P.a	27	10.97	0	3	31	11	D
8/7/17 14:36	8/3/17	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.a	25	15.42	0	2	2	73	D
8/4/17 15:22	8/3/17	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	25	15.52	0	2	2	73	D
6/8/17 17:23	6/7/17	XRDC	Crossroads Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NJ	DT		P	62	2.17	0	28	4	826	I
6/6/17 11:18	6/2/17	MXE	Mexico Equity & Income Fund Inc		Fund	CEF	Closed-End Funds	Goldstein Phillip	WI	D		P	33	10.97	0	3	37	11	D
5/4/17 14:40	5/3/17	MXE	Mexico Equity & Income Fund Inc		Fund	CEF	Closed-End Funds	Goldstein Phillip	WI	D		P	1	11.05	0	0	1	8	D	-7	-3	3	19	7	-2	-2	0	-1	1
6/20/16 15:19	5/4/16	MXE	Mexico Equity & Income Fund Inc		Fund	CEF	Closed-End Funds	Goldstein Phillip	WI	D		P	34	11.24	0	3	60	8	D	-31	-13	-5	-5	-4	-4	-6	1	2	-1	4	-5	-11
6/3/16 17:00	6/1/16	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	22	13.50	0	2	2	87	D	-1	-5	2	7	1	0	1	0	1	1	2	10	4
4/5/16 12:54	4/1/16	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	52	13.06	0	4	5	85	I	-4	-7	1	-1	7	2	2	0	0	0	4	5	14	18
3/4/16 12:21	3/2/16	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	2	12.50	0	0	0	81	D	-7	-10	-2	-5	5	6	4	2	0	2	3	7	18	21
3/4/16 10:38	1/5/16	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.am	36	12.96	0	3	4	81	D	-7	-10	-2	-5	5	6	4	2	0	2	3	7	18	21
1/7/16 11:02	1/5/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	36	12.96	0	3	4	81	D	-8	-6	-6	-1	-2	1	0	-2	-1	-3	-4	1	6	14
12/8/15 11:40	12/4/15	EMG	Emergent Capital, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	195	3.85	1	51	1	4,479	M	-44	-41	-37	-33	-18	-11	-12	-12	3	1	11	7	3	-60
12/3/15 13:59	12/2/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	116	14.44	0	8	7	116	D	-4	-7	-7	1	-1	1	0	0	-1	-1	-1	-4	3	8
11/19/15 12:55	10/2/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.am	127	14.30	0	9	10	94	D	-5	-6	-7	-3	-1	-1	0	1	0	1	-4	-7	2	6
11/13/15 14:42	11/11/15	EMG	Emergent Capital, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	44	4.42	1	10	0	4,472	M	-30	-32	-28	-24	-9	-1	-13	-11	1	-2	-14	-6	-16	-43
11/4/15 11:49	11/2/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	73	14.55	0	5	5	99	D	-3	-4	-5	-4	0	1	0	0	0	-2	-2	-6	2	5
9/29/15 14:16	9/28/15	MXE	Mexico Equity & Income Fund Inc		Fund	CEF	Closed-End Funds	Goldstein Phillip	WI	D		P.m	55	10.95	0	5	New	5	D	-20	-34	-12	-10	-7	-3	-7	-2	0	3	9	3	9	0
8/27/15 17:06	8/26/15	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	14	5.26	0	3	0	4,462	D
8/27/15 08:49	8/25/15	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	12	5.26	0	2	0	4,460	D
8/24/15 10:50	8/21/15	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	17	5.60	0	3	0	4,457	D
8/10/15 16:15	8/6/15	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	34	5.57	0	6	0	4,454	D
2/2/15 16:19	1/29/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	127	14.94	0	9	94	18	D	16	3	-3	-1	-2	-3	-3	-2	1	1	2	4	2	-8
12/29/14 12:44	12/26/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	19	6.13	0	3	0	2,501	D
12/29/14 12:13	12/24/14	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	41	15.19	0	3	3	86	D	26	-3	0	1	0	-2	1	0	0	0	-1	2	0	-6
12/24/14 12:47	12/22/14	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P.m	202	15.20	0	13	999%	15	D	25	-1	0	0	-1	-2	0	-3	0	1	0	1	2	-7
12/9/14 14:15	12/8/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	31	6.25	0	5	0	2,498	D
11/17/14 11:31	11/14/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	25	6.30	0	4	0	2,493	D
11/14/14 12:48	11/13/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	7	6.30	0	1	0	2,489	D
10/29/14 21:45	3/14/14	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.m	229	13.18	1	17	2	1,017	I	-1	-17	-12	-10	-2	3	2	0	0	0	-1	-14	-11	-22
10/2/14 12:00	10/1/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	35	6.36	0	5	0	2,488	I
9/29/14 12:48	9/25/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	6	6.36	0	1	0	2,483	I
9/23/14 08:53	9/19/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	159	6.38	0	25	1	2,482	M
9/10/14 16:05	9/9/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	5	6.36	0	1	0	2,457	I
9/8/14 11:50	9/4/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	57	6.59	0	9	0	2,456	D
9/2/14 11:34	8/29/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	9	6.59	0	1	0	2,447	D
8/11/14 15:58	8/8/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	136	6.51	0	21	1	2,446	M
8/7/14 10:47	8/5/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	4	6.52	0	1	0	2,425	D
6/26/14 13:41	6/25/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	62	6.17	0	10	0	2,424	D
6/25/14 13:46	6/23/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	84	6.37	0	13	1	2,414	M
6/23/14 10:32	6/19/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	32	6.35	0	5	0	2,401	I
6/19/14 13:35	6/18/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	47	6.36	0	7	0	2,396	M
6/18/14 10:23	6/16/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	8	6.40	0	1	0	2,389	I
6/16/14 15:17	6/12/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	79	6.35	0	12	1	2,387	M
6/12/14 13:57	6/11/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P	69	6.43	0	11	0	2,375	M
4/30/14 14:15	4/28/14	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	220	12.98	2	17	2	1,000	I	8	4	-6	-9	-5	-2	-2	-2	1	1	-1	-1	-12	-22
4/17/14 14:59	4/15/14	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	223	13.13	2	17	2	983	I	12	10	-2	-4	-4	-2	-1	1	0	0	-3	-3	-17	-24
4/15/14 16:09	4/11/14	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.m	215	13.14	2	16	2	966	I	8	9	-3	-3	-6	-6	-4	-2	1	2	-1	0	-16	-23
4/1/14 13:52	3/28/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Goldstein Phillip	FL	DT		P.m	321	5.78	0	55	2	2,357	M
9/17/13 12:41	9/13/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2,005	12.70	1	158	20	941	I	24	7	3	3	1	2	3	1	0	2	7	9	9	-6
9/13/13 15:32	9/11/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.m	218	12.69	1	17	2	783	I	26	4	0	1	-1	2	2	1	1	2	10	12	9	-2
8/22/13 11:22	8/21/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	82	12.30	1	7	1	766	I	22	1	-1	-3	-4	-4	-3	0	1	0	7	14	22	7
6/21/13 12:20	6/20/13	ASA	Asa Gold & Precious Metals Ltd		Fund	CEF	Closed-End Funds	Goldstein Phillip	CA	D		P	19	12.90	1	2	167	2	D	-51	-44	-40	-35	-17	-12	-8	-8	1	-5	8	11	-8	14
6/20/13 11:30	6/19/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	479	12.72	1	38	5	759	I	10	5	10	3	-2	-1	-1	0	-1	-2	1	3	7	2
6/17/13 14:11	6/14/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	477	12.65	1	38	6	721	I	9	6	11	-1	-3	-1	0	0	0	-1	1	2	11	2
6/13/13 15:40	6/12/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	43	12.65	1	3	1	684	I	5	6	11	-2	-1	-1	-1	-1	0	1	2	1	13	2
6/6/13 15:00	6/5/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	335	12.69	1	26	4	680	I	6	7	9	0	-2	-3	-2	0	1	0	0	1	15	7
6/3/13 15:28	5/31/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	480	12.76	1	38	6	654	I	5	7	10	1	0	-3	-2	-2	1	0	-1	-1	15	5
4/22/13 11:23	4/18/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	63	12.60	1	5	1	616	I	4	2	5	6	-1	2	1	1	0	1	2	2	11	8
4/18/13 15:36	4/17/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	173	12.52	1	14	2	611	I	2	2	3	4	-2	0	-2	-1	1	3	4	3	11	10
4/17/13 14:11	4/15/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	320	12.59	1	25	4	598	I	3	2	3	5	0	0	-1	0	-1	2	4	2	12	7
9/4/12 16:37	8/31/12	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	44	15.22	0	3	10	33	D	15	3	-3	1	1	1	-1	0	0	1	4	3	14	20
7/9/12 13:26	7/6/12	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	158	14.94	0	11	54	30	D	19	-5	1	-7	-3	-4	-1	-2	1	1	2	7	10	23
6/26/12 09:50	6/25/12	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	DO	CB,Secre	P	75	15.01	0	5	34	20	D	16	-1	1	-7	-5	-1	-3	-2	0	1	0	4	6	20
8/26/11 14:18	8/25/11	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	45	14.42	0	3	28	15	D	11	11	-4	-6	-7	-3	0	0	1	2	-2	0	8	6
8/9/11 11:52	8/8/11	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	71	14.26	0	5	79	11	D	11	6	-7	-8	-8	-10	-9	-9	1	3	5	6	10	8
2/2/11 10:36	1/31/11	SPE	Special Opportunities Fund	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2	14.92	0	0	2	6	I	35	13	13	7	3	0	0	0	1	2	2	4	3	2
8/9/10 10:47	8/6/10	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	66	13.28	0	5	370	6	D	14	3	-1	1	1	2	0	-1	1	0	1	9	14	14
7/26/10 12:22	7/23/10	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	17	12.92	0	1	New	1	D	12	3	-3	-3	-1	2	1	1	1	2	1	10	17	22
12/21/09 13:28	12/17/09	ASAUS	Asa Ltd		Fund	CEF	Closed-End Funds	Goldstein Phillip	NJ	D		P	23	75.00	0	0	New	0	D
12/29/06 11:19	12/27/06	ISL	First Israel Fund Inc	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2	18.05	0	0	36	1	D	39	26	30	17	8	4	1	1	4	2	0	-2	9	43
12/29/06 11:07	12/27/06	ETF	Emerging Markets Telecommunications Fund Inc/new	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2	17.81	1	0	0	769	D	83	52	52	28	4	-6	-8	-1	1	0	1	5	17	51
7/27/06 19:37	7/25/06	ISL	First Israel Fund Inc	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2	15.45	0	0	72	0	D	32	10	-13	-6	2	-4	-2	3	-1	3	3	13	32	55
7/27/06 19:31	7/25/06	ETF	Emerging Markets Telecommunications Fund Inc/new	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	2	12.56	0	0	0	724	D	66	21	-3	-8	12	1	4	5	3	1	5	22	47	74
6/16/06 10:59	6/13/06	ETF	Emerging Markets Telecommunications Fund Inc/new	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P.a	111	10.73	0	10	1	724	a									0	-1	-1	13	49	82
6/16/06 10:22	6/13/06	ETF	Emerging Markets Telecommunications Fund Inc/new	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	111	10.73	0	10	1	732	A									0	-1	-1	13	49	82
12/29/05 17:07	12/27/05	ISL	First Israel Fund Inc	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	1	15.44	0	0	57	0	D	40	11	21	3	7	2	1	1	1	5	12	2	-4	25
12/29/05 16:46	12/27/05	ETF	Emerging Markets Telecommunications Fund Inc/new	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	1	11.98	0	0	0	737	D	64	21	19	7	6	1	3	0	0	6	11	8	2	54
12/5/05 17:59	11/23/05	MXE	Mexico Equity & Income Fund Inc		Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	106	21.15	0	5	999%	5	I	106	29	24	11	11	2	-1	4	1	2	11	15	15	70
7/27/05 17:02	7/25/05	ISL	First Israel Fund Inc	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	1	15.35	0	0	0	13	D	45	20	-2	-9	-2	7	2	1	2	3	13	5	27	10
7/27/05 16:53	7/25/05	ETF	Emerging Markets Telecommunications Fund Inc/new	MD	Fund	CEF	Closed-End Funds	Goldstein Phillip	NY	D		P	1	10.49	0	0	0	737	D	68	36	8	9	3	2	1	0	1	4	0	6	25	21

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

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