Hellerman Gerald - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	3	1	40	1	2	1	1	1	7	2
P	%wins				88	73	60	65	55	63	67
S	%ret	1	1	1	2	4	4	3	-3	7	3
S	%wins				0	0	0	0	100	0	17

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
4/7/22 17:01	4/6/22	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	83	14.79	0	6	15	44	D
3/3/22 15:26	3/2/22	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	9	8.85	0	1	23	5	D
1/28/22 17:12	1/26/22	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P.m	24	14.60	0	2	4	43	D
1/24/22 17:06	1/21/22	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	6	8.28	0	1	2	32	D
11/3/21 17:01	11/2/21	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		M	159	8.36	0	19	163	31	D
9/21/21 17:02	9/20/21	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	37	15.17	0	2	6	42	D
9/20/21 09:29	9/17/21	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		S	-90	10.00	0	-9	-45	11	D
7/20/21 17:04	7/19/21	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	15	15.00	0	1	3	39	D
2/4/21 16:40	2/2/21	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		M	92	8.24	0	11	139	19	D
11/2/20 15:11	10/30/20	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	14	7.25	0	2	35	8	D
10/28/20 17:18	10/28/20	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	23	11.48	0	2	6	36	D
9/15/20 11:46	9/11/20	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	0	8.26	0	0	1	6	D
4/7/20 15:16	4/3/20	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	9	8.72	0	1	3	34	D
4/6/20 13:14	4/3/20	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	6	5.91	0	1	23	5	D
4/3/20 16:44	4/3/20	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	7	6.90	0	1	33	4	D
3/10/20 17:10	3/9/20	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO	P	13	12.54	0	1	3	32	D
3/2/20 16:04	2/27/20	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	8	8.00	0	1	49	3	D
10/24/19 13:22	10/23/19	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	15	8.48	0	2	70	4	D
10/10/19 11:05	10/8/19	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	9	8.88	0	1	1	68	D
10/9/19 14:53	10/8/19	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	8	8.46	0	1	67	3	D
10/9/19 14:46	10/8/19	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	8	7.93	0	1	96	2	D
10/4/19 15:35	10/3/19	PCF	High Income Securities Fund	MA	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	13	8.52	0	2	New	2	D
10/1/19 18:39	9/30/19	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	18	8.97	0	2	3	67	D
8/5/19 09:43	8/2/19	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P.a	8	8.00	0	1	999%	1	D
8/2/19 16:30	8/2/19	SWZ	Swiss Helvetia Fund, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	8	8.00	0	1	999%	1	D
7/29/19 17:01	7/25/19	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO	P	38	13.98	0	3	10	29	D
5/24/19 17:05	5/23/19	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO	P	20	13.31	0	2	6	27	D
10/11/18 18:00	10/11/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO	P	14	14.47	0	1	5	23	D
3/28/18 13:04	3/26/18	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	10	9.98	0	1	2	65	D
3/22/18 17:16	3/22/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO	P	15	14.82	0	1	5	22	D
3/16/18 14:31	3/14/18	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	10	10.00	0	1	2	64	D
2/7/18 12:31	2/5/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO	P	78	14.98	0	5	33	21	D
1/8/18 09:56	1/4/18	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO	P	30	15.10	0	2	17	14	D
11/2/16 14:22	11/1/16	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P	42	14.16	0	3	16	21	D	0	6	4	-1	-4	-2	0	-1	0	-2	1	7	12
3/29/16 13:55	3/28/16	EMG	Emergent Capital, Inc.	FL	Insur	LfIns	Life Insurance	Hellerman Gerald	FL	D		P	20	3.90	0	5	9	58	I	-34	-45	-22	1	-3	-3	-1	0	1	5	13	-13	-21
3/4/16 13:48	3/1/16	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P	12	12.45	0	1	5	21	I	-7	-10	-2	-5	5	6	4	2	0	2	3	7	18	21
1/4/16 14:57	1/4/16	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P	20	13.05	0	2	7	24	D	-9	-6	-6	3	0	1	3	1	-1	-3	-6	-1	4	10
8/25/15 17:12	8/25/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P	21	14.28	0	2	7	24	D	0	-10	-9	-10	-9	-9	-6	-7	1	1	3	2	-6	14
8/19/15 13:04	8/19/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P	15	14.85	0	1	5	22	D	6	-3	-2	-4	-1	-1	0	0	0	-5	-3	-4	-11	6
8/10/15 10:00	8/7/15	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P	15	15.02	0	1	5	21	D	6	0	-1	-4	-3	-2	-1	-2	0	0	-4	-3	-10	5
6/26/15 11:06	6/24/15	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Hellerman Gerald	FL	D		M.d	61	5.75	0	11	25	53	M
9/30/14 10:35	9/29/14	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	19	10.78	1	2	3	63	D	-8	-14	-19	-16	-15	-13	-6	-5	0	1	6	-5	-9	-20
9/19/14 10:04	9/18/14	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	14	11.55	1	1	2	61	D	-2	-8	-16	-7	-7	-10	-7	-3	-1	-3	-3	-12	-14	-17
3/17/14 07:26	3/13/14	IFT	Imperial Holdings, Inc.	FL	Insur	LfIns	Life Insurance	Hellerman Gerald	FL	D		P	28	5.60	0	5	18	33	I
3/14/14 18:51	3/14/14	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	20	13.40	1	2	3	60	D	11	7	7	-4	-7	-9	-5	-3	2	3	-3	-7	-10	-25
2/27/14 14:48	2/26/14	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P.d	14	16.00	1	1	6	15	M	24	15	6	-2	-6	2	1	1	0	1	0	1	6	4
2/25/14 09:24	1/7/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P.a	19	12.15	1	2	3	59	D	28	21	21	8	9	4	3	1	-1	-2	-5	-12	-13	-30
1/7/14 16:13	12/26/13	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P.d	17	16.97	0	1	9	12	D	38	26	13	9	3	4	1	-3	0	0	-7	-6	-2	-3
8/22/13 12:51	8/21/13	PIF	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P.d	17	17.05	0	1	11	11	D
5/2/13 15:31	5/1/13	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	CCO,CFO	P.d	34	17.08	0	2	27	10	D	17	14	14	7	2	1	3	0	0	2	3	2	10	8
1/8/13 12:47	1/7/13	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	19	12.15	2	2	3	58	D	-10	6	-2	-2	2	5	3	1	1	0	1	5	8	15
6/29/12 15:23	6/27/12	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	DO	Chief Co	P.dm	15	15.11	0	1	16	7	I	18	-4	3	-6	-5	-3	-3	0	1	-1	1	5	6	21
6/14/12 12:53	6/13/12	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	13	12.53	1	1	2	57	D	0	0	6	-3	-4	-1	1	-1	2	4	4	3	-3	7
6/14/12 12:53	6/13/12	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		S	0	12.46	1	0	0	57	D	0	0	6	-3	-4	-1	1	-1	2	4	4	3	-3	7
1/19/12 21:00	1/17/12	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	12	12.00	1	1	2	56	D	8	-14	-6	8	1	3	2	0	1	3	1	5	7	4
7/28/11 16:07	7/27/11	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	16	15.61	0	1	25	5	I	26	19	4	1	2	-1	0	-1	0	-1	-7	-5	-2	-2
7/25/11 10:14	9/21/10	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P.a	13	13.40	0	1	16	7	I	26	22	5	3	3	1	1	1	0	-2	-8	-6	-4	-4
10/18/10 14:00	9/21/10	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P.a	13	13.40	0	1	15	8	I	61	3	6	9	6	2	1	0	1	1	2	6	9	4
10/6/10 13:54	7/21/10	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	13	13.40	0	1	New	1	I	44	-1	5	12	8	4	3	1	0	0	1	6	10	-1
7/22/10 14:47	7/21/10	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	13	12.99	0	1	19	6	I	10	3	-8	-4	-1	0	1	0	1	3	3	11	17	23
5/6/10 15:58	5/5/10	SPE	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P.m	17	13.28	0	1	31	5	I	14	12	-5	0	0	0	0	-1	-1	-1	-2	1	8	17
3/16/10 17:28	3/16/10	PIF	Special Opportunities Fund, Inc.	MD	Fund	CEF	Closed-End Funds	Hellerman Gerald	FL	D		P	54	13.55	0	4	New	4	I
3/31/09 14:07	3/30/09	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	8	7.82	1	1	2	51										13	20	12	12	20	85
3/17/09 13:08	3/13/09	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	16	8.13	1	2	4	50										13	12	16	4	16	75
10/14/08 09:49	10/9/08	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	22	11.21	3	2	4	47	D	9	-25	-9	0	-9	-12	-7	22	4	-5	-16	-16	-27	-27
6/12/08 13:52	6/12/08	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	5	14.90	1	0	1	44	D	29	-21	-12	2	-5	-2	-3	-2	0	0	-7	2	-23	-42
6/11/08 20:51	6/11/08	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	75	14.90	1	5	13	44	D	31	-21	-10	2	-6	-2	-3	-3	0	1	-8	0	-22	-42
2/6/08 16:25	2/6/08	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	103	14.76	2	7	22	39	D	30	-6	-9	-13	-12	-4	0	-6	2	5	-1	8	4	-28
9/17/07 16:04	9/14/07	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	30	17.00	2	2	6	31	D	65	35	10	-11	7	3	5	1	7	8	7	-5	-14	-14
6/18/07 21:00	6/15/07	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald		D		P	90	19.49	2	5	19	29	D	112	62	45	23	5	6	1	2	0	2	-8	-11	-16	-19
6/19/06 18:44	6/15/06	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	28	12.58	0	2	10	24										2	3	0	6	12	60
1/23/06 21:53	1/19/06	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P.m	20	11.19	0	2	9	21										0	10	13	9	17	39
1/12/06 11:42	1/11/06	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	12	10.80	0	1	6	19										0	4	15	13	18	44
7/18/05 15:26	7/15/05	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	44	10.32	0	4	32	18	D	25	9	13	10	8	6	4	1	1	6	9	13	8	27
1/11/05 18:41	1/10/05	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	27	9.10	0	3	29	14	D	12	10	-2	-1	0	2	1	1	0	2	1	2	11	21
1/5/05 17:24	1/3/05	MVC	Mvc Capital, Inc.		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	32	9.10	0	4	50	11	D	11	11	-6	-2	-1	0	0	0	1	1	2	3	10	23
6/21/04 18:57	6/21/04	MVC	Mevc Draper Fisher Jurvetson Fund I Inc		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	28	9.35	0	3	75	7	D	1	10	18	10	4	3	3	0	0	0	2	0	-1	9
2/17/04 12:07	2/12/04	MVC	Mevc Draper Fisher Jurvetson Fund I Inc		Fund	CEF	Closed-End Funds	Hellerman Gerald	NY	D		P	25	8.44	0	3	300	4	D	-8	3	6	7	3	2	3	3	-1	-3	-1	4	8	13

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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