GOLDSTEIN PHILLIP
Insider CIK 1067621 · TLI 10% owner · MVC Director · AKP 10% owner · AYN 10% owner · RIT 10% owner · ASA Director · NRO 10% owner · LCM 10% owner · HIL 10% owner · DCA 10% owner · JGV 10% owner · FAV 10% owner · BDCV Director, 10% owner · IFT Director, 10% owner · SVVC 10% owner · SZC 10% owner · CTF 10% owner · DTLA PR Director · CMU 10% owner · PCF Director, 10% owner · SWZ Secretary, Director · PHF 10% owner · CH 10% owner · CXH 10% owner · CMK 10% owner · IRL 10% owner · MXE Director · CUBA 10% owner · LBF 10% owner · JFC 10% owner · SPE Chairman and Secretary, Director · PMO 10% owner · KEF 10% owner
Trades across companies
| Ticker | Code | Trade | Filed | Shares | Price | Value | Owned after | |
|---|---|---|---|---|---|---|---|---|
| SWZ Total Return Securities Fu | P Buy | 2026-10-08 | 2026-10-13 | 5,000 | $5.73 | $28.6K | 124,229 | SEC↗ |
| SWZ Total Return Securities Fu | L Small acq | 2026-10-01 | 2026-10-13 | 15 | $5.71 | $86 | 119,229 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-20 | 2026-08-21 | 5,000 | $5.34 | $26.7K | 72,860 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-20 | 2026-08-21 | 5,000 | $5.34 | $26.7K | 72,860 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-19 | 2026-08-21 | 10,000 | $5.40 | $54.0K | 57,860 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-19 | 2026-08-21 | 10,000 | $5.37 | $53.7K | 67,860 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-19 | 2026-08-21 | 10,000 | $5.37 | $53.7K | 67,860 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-19 | 2026-08-21 | 10,000 | $5.40 | $54.0K | 57,860 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-06 | 2026-08-10 | 819 | $5.30 | $4.3K | 47,860 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-08-06 | 2026-08-10 | 819 | $5.30 | $4.3K | 47,860 | SEC↗ |
| SWZ Total Return Securities Fu | P Buy | 2026-07-06 | 2026-07-08 | 5,980 | $5.95 | $35.6K | 119,214 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-04-08 | 2026-04-09 | 600 | $5.53 | $3.3K | 47,041 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-04-07 | 2026-04-09 | 5,088 | $5.45 | $27.7K | 46,441 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-03-18 | 2026-03-19 | 17,905 | $5.46 | $97.8K | 41,353 | SEC↗ |
| SWZ Total Return Securities Fu | P Buy | 2026-03-18 | 2026-03-19 | 10,000 | $5.98 | $59.8K | 113,234 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2026-03-05 | 2026-03-09 | 3,952 | $25.09 | $99.2K | 10,250 | SEC↗ |
| SWZ Total Return Securities Fu | P Buy | 2026-03-05 | 2026-03-09 | 10,000 | $5.99 | $59.9K | 103,234 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | L Small acq deriv | 2026-03-04 | 2026-03-09 | 100 | $25.09 | $2.5K | 6,298 | SEC↗ |
| SWZ Total Return Securities Fu | P Buy | 2026-03-03 | 2026-03-05 | 5,000 | $6.01 | $30.1K | 93,234 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | L Small acq deriv | 2026-03-02 | 2026-03-09 | 100 | $25.09 | $2.5K | 6,198 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2026-02-27 | 2026-03-02 | 5,821 | $25.09 | $146.0K | 6,098 | SEC↗ |
| SWZ Total Return Securities Fu | L Small acq | 2026-02-27 | 2026-03-05 | 68 | $6.16 | $419 | 88,234 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2026-02-26 | 2026-03-02 | 27 | $25.09 | $677 | 277 | SEC↗ |
| SWZ Total Return Securities Fu | L Small acq | 2026-02-26 | 2026-03-05 | 256 | $6.16 | $1.6K | 88,166 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2026-02-24 | 2026-02-25 | 30 | $25.09 | $753 | 250 | SEC↗ |
| CXH MFS INVESTMENT GRADE MUNIC | P Buy | 2026-02-24 | 2026-02-26 | 1,372 | $8.12 | $11.1K | 18,268 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2026-02-23 | 2026-02-25 | 100 | $25.05 | $2.5K | 220 | SEC↗ |
| SWZ Total Return Securities Fu | P Buy | 2026-02-23 | 2026-02-25 | 5,000 | $6.13 | $30.6K | 87,910 | SEC↗ |
| CXH MFS INVESTMENT GRADE MUNIC | P Buy | 2026-02-11 | 2026-02-13 | 3,989 | $8.10 | $32.3K | 16,896 | SEC↗ |
| SWZ Total Return Securities Fu | P Buy | 2026-02-06 | 2026-02-10 | 10,000 | $6.07 | $60.7K | 82,910 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-02-03 | 2026-02-04 | 10,000 | $6.05 | $60.5K | 23,448 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2026-02-02 | 2026-02-04 | 7,514 | $6.05 | $45.5K | 13,448 | SEC↗ |
| SWZ Total Return Securities Fu | P Buy | 2026-01-30 | 2026-02-03 | 10,000 | $5.92 | $59.2K | 72,910 | SEC↗ |
| CXH MFS INVESTMENT GRADE MUNIC | P Buy | 2026-01-23 | 2026-01-26 | 119 | $7.97 | $948 | 12,907 | SEC↗ |
| SWZ Total Return Securities Fu | D To issuer | 2026-01-23 | 2026-01-27 | 31,314 | $6.81 | $213.2K | 62,910 | SEC↗ |
| CXH MFS INVESTMENT GRADE MUNIC | S Sale | 2026-01-22 | 2026-01-26 | 5,000 | $7.97 | $39.9K | 12,788 | SEC↗ |
| CXH MFS INVESTMENT GRADE MUNIC | P Buy | 2026-01-22 | 2026-01-26 | 10,000 | $7.97 | $79.7K | 17,788 | SEC↗ |
| CMU MFS HIGH YIELD MUNICIPAL T | P Buy | 2026-01-20 | 2026-01-22 | 678 | $3.50 | $2.4K | 24,878 | SEC↗ |
| CMU MFS HIGH YIELD MUNICIPAL T | P Buy | 2026-01-20 | 2026-01-23 | 678 | $3.50 | $2.4K | 24,878 | SEC↗ |
| CXH MFS INVESTMENT GRADE MUNIC | L Small acq | 2026-01-02 | 2026-01-26 | 100 | $7.92 | $792 | 7,788 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2025-12-18 | 2025-12-18 | 2,500 | $5.99 | $15.0K | 5,934 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2025-12-17 | 2025-12-18 | 800 | $6.03 | $4.8K | 3,434 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2025-12-16 | 2025-12-18 | 2,487 | $6.04 | $15.0K | 2,634 | SEC↗ |
| SWZ Total Return Securities Fu | M Exercise | 2025-12-11 | 2025-12-12 | 80,976 | $6.07 | $491.5K | 93,224 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale deriv | 2025-08-22 | 2025-08-25 | 3,000 | $25.10 | $75.3K | 120 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2025-04-04 | 2025-04-08 | 3,000 | $13.80 | $41.4K | 34,822 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2025-02-25 | 2025-02-26 | 6,984 | $6.85 | $47.8K | 147 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2025-02-24 | 2025-02-26 | 9,296 | $6.85 | $63.7K | 7,131 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2025-02-24 | 2025-02-26 | 10,000 | $6.84 | $68.4K | 16,427 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2025-01-17 | 2025-01-21 | 4,535 | $8.45 | $38.3K | 12,248 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2024-12-12 | 2024-12-16 | 233,119 | $7.07 | $1.65M | 26,427 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale deriv | 2024-10-15 | 2024-10-16 | 618 | $23.50 | $14.5K | 3,120 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | M Exercise | 2024-08-16 | 2024-08-19 | 249,773 | $6.48 | $1.62M | 259,546 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-28 | 2024-07-01 | 60,000 | $6.93 | $415.8K | 39,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-28 | 2024-07-01 | 10,000 | $6.93 | $69.3K | 19,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-28 | 2024-07-01 | 10,000 | $6.94 | $69.4K | 9,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-28 | 2024-07-01 | 10,000 | $6.92 | $69.2K | 29,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-27 | 2024-06-28 | 24,600 | $6.92 | $170.2K | 129,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-27 | 2024-06-28 | 10,000 | $6.84 | $68.4K | 99,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-27 | 2024-06-28 | 10,000 | $6.91 | $69.1K | 109,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-27 | 2024-06-28 | 10,000 | $6.91 | $69.1K | 119,773 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-26 | 2024-06-28 | 40,000 | $6.81 | $272.4K | 174,373 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-26 | 2024-06-28 | 29,800 | $6.84 | $203.8K | 214,573 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-26 | 2024-06-28 | 200 | $6.85 | $1.4K | 214,373 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-26 | 2024-06-28 | 10,000 | $6.81 | $68.1K | 154,373 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-06-26 | 2024-06-28 | 10,000 | $6.83 | $68.3K | 164,373 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale deriv | 2023-12-29 | 2024-01-02 | 3,008 | $22.90 | $68.9K | 3,738 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale deriv | 2023-12-28 | 2024-01-02 | 2,623 | $22.85 | $59.9K | 6,746 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-12-28 | 2024-01-02 | 44 | $11.75 | $517 | 30,503 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-12-28 | 2024-01-02 | 1,319 | $11.78 | $15.5K | 31,822 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2023-04-21 | 2023-04-25 | 10,000 | $6.37 | $63.7K | 244,373 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2023-04-10 | 2023-04-12 | 10,000 | $6.39 | $63.9K | 234,373 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-04-06 | 2023-04-07 | 5,000 | $10.85 | $54.3K | 31,459 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2023-04-06 | 2023-04-10 | 9,510 | $6.41 | $61.0K | 224,373 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-04-05 | 2023-04-07 | 2,400 | $10.85 | $26.0K | 26,459 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-03-30 | 2023-03-31 | 1,568 | $10.85 | $17.0K | 24,059 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-03-29 | 2023-03-31 | 675 | $10.74 | $7.2K | 22,491 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2023-03-17 | 2023-03-21 | 4,000 | $6.28 | $25.1K | 214,863 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2023-03-13 | 2023-03-15 | 790 | $6.36 | $5.0K | 210,863 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-02-03 | 2023-02-07 | 2,000 | $11.85 | $23.7K | 21,816 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2023-01-30 | 2023-02-01 | 2,000 | $11.63 | $23.3K | 19,816 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer | 2022-04-05 | 2022-04-07 | 3,534 | $15.69 | $55.4K | 17,816 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-02-07 | 2022-02-09 | 2,000 | $14.76 | $29.5K | 21,350 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2022-01-27 | 2022-01-28 | 9,369 | $25.00 | $234.2K | 9,369 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale | 2021-12-16 | 2021-12-20 | 2,542 | $15.55 | $39.5K | 19,350 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | M Exercise | 2021-11-01 | 2021-11-03 | 209,944 | $8.36 | $1.76M | 210,073 | SEC↗ |
| MXE MEXICO EQUITY & INCOME FUN | M Exercise | 2021-10-15 | 2021-10-18 | 10,001 | $8.90 | $89.0K | 10,002 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-17 | 2021-08-18 | 13,000 | $10.00 | $130.0K | 15,129 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-17 | 2021-08-18 | 10,000 | $9.97 | $99.7K | 5,129 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-17 | 2021-08-18 | 5,000 | $9.97 | $49.9K | 129 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-16 | 2021-08-17 | 5,000 | $9.93 | $49.6K | 33,129 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-16 | 2021-08-17 | 909 | $9.95 | $9.0K | 38,129 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-16 | 2021-08-17 | 5,000 | $9.94 | $49.7K | 28,129 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-13 | 2021-08-17 | 5,000 | $9.92 | $49.6K | 53,439 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-13 | 2021-08-17 | 14,401 | $9.92 | $142.9K | 39,038 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-11 | 2021-08-13 | 10,000 | $9.89 | $98.9K | 58,439 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-11 | 2021-08-13 | 17,718 | $9.89 | $175.2K | 68,439 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-10 | 2021-08-11 | 7,659 | $9.89 | $75.7K | 86,157 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-09 | 2021-08-11 | 5,743 | $9.90 | $56.9K | 103,816 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-09 | 2021-08-11 | 5,000 | $9.89 | $49.5K | 93,816 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-09 | 2021-08-11 | 5,000 | $9.90 | $49.5K | 98,816 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-09 | 2021-08-11 | 3,104 | $9.89 | $30.7K | 109,559 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-06 | 2021-08-09 | 6,870 | $9.89 | $67.9K | 118,931 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-06 | 2021-08-09 | 3,135 | $9.89 | $31.0K | 115,796 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-06 | 2021-08-09 | 3,133 | $9.90 | $31.0K | 112,663 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-05 | 2021-08-09 | 12,758 | $9.87 | $125.9K | 125,801 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-05 | 2021-08-09 | 1,805 | $9.86 | $17.8K | 138,559 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-04 | 2021-08-05 | 1,142 | $9.86 | $11.3K | 146,977 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-04 | 2021-08-05 | 501 | $9.87 | $4.9K | 146,476 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-04 | 2021-08-05 | 1,112 | $9.88 | $11.0K | 145,364 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-04 | 2021-08-05 | 5,000 | $9.85 | $49.3K | 140,364 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-04 | 2021-08-05 | 3,119 | $9.85 | $30.7K | 148,119 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-03 | 2021-08-05 | 5,000 | $9.86 | $49.3K | 157,065 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-03 | 2021-08-05 | 5,827 | $9.87 | $57.5K | 151,238 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-08-03 | 2021-08-05 | 1,641 | $9.86 | $16.2K | 162,065 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-07-02 | 2021-07-06 | 1,212 | $9.79 | $11.9K | 16,783 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | M Exercise deriv | 2021-06-24 | 2021-06-24 | 2,800 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | M Exercise | 2021-06-24 | 2021-06-24 | 5,475 | — | $0 | 21,892 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2021-06-07 | 2021-06-08 | 2,800 | $30.05 | $84.1K | 2,800 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale | 2021-06-07 | 2021-06-08 | 10,000 | $15.43 | $154.3K | 16,417 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-04 | 2021-06-08 | 67,059 | $9.48 | $635.7K | 27,894 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-04 | 2021-06-08 | 9,899 | $9.70 | $96.0K | 17,995 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale | 2021-06-04 | 2021-06-08 | 88,330 | $15.32 | $1.35M | 26,417 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-03 | 2021-06-04 | 1,800 | $9.67 | $17.4K | 94,953 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-03 | 2021-06-04 | 194 | $9.68 | $1.9K | 96,753 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-02 | 2021-06-03 | 1,796 | $9.73 | $17.5K | 103,862 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-02 | 2021-06-03 | 3,874 | $9.71 | $37.6K | 99,988 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-02 | 2021-06-03 | 3,041 | $9.72 | $29.6K | 96,947 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-01 | 2021-06-03 | 100 | $9.73 | $973 | 110,800 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-01 | 2021-06-03 | 5,000 | $9.69 | $48.5K | 105,658 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-01 | 2021-06-03 | 4,847 | $9.72 | $47.1K | 110,900 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2021-06-01 | 2021-06-03 | 142 | $9.75 | $1.4K | 110,658 | SEC↗ |
| IRL NEW IRELAND FUND INC | S Sale | 2021-04-05 | 2021-08-05 | 25,088 | $12.50 | $313.6K | 394,374 | SEC↗ |
| [PCF] HIGH INCOME SECURITIES FUN | M Exercise | 2021-02-02 | 2021-02-04 | 163,703 | $8.24 | $1.35M | 163,706 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-24 | 2020-12-28 | 6,990 | $8.54 | $59.7K | 3 | SEC↗ |
| MVC MVC CAPITAL, INC. | D To issuer | 2020-12-23 | 2020-12-23 | 13,666 | — | $0 | 0 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-23 | 2020-12-28 | 6,710 | $8.54 | $57.3K | 6,993 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-18 | 2020-12-22 | 4,800 | $9.02 | $43.3K | 14,681 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-18 | 2020-12-22 | 200 | $9.03 | $1.8K | 14,481 | SEC↗ |
| PCF | S Sale | 2020-12-16 | 2020-12-17 | 5,000 | $8.82 | $44.1K | 19,481 | SEC↗ |
| PCF | S Sale | 2020-12-16 | 2020-12-17 | 5,000 | $8.83 | $44.1K | 24,481 | SEC↗ |
| PCF | S Sale | 2020-12-15 | 2020-12-17 | 5,000 | $8.66 | $43.3K | 34,481 | SEC↗ |
| PCF | S Sale | 2020-12-15 | 2020-12-17 | 5,000 | $8.70 | $43.5K | 29,481 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-08 | 2020-12-10 | 5,000 | $8.66 | $43.3K | 39,481 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-08 | 2020-12-28 | 368 | $8.68 | $3.2K | 38,703 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-04 | 2020-12-08 | 5,000 | $8.52 | $42.6K | 44,481 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-04 | 2020-12-08 | 5,000 | $8.60 | $43.0K | 49,481 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-04 | 2020-12-08 | 2,255 | $8.62 | $19.4K | 54,481 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-03 | 2020-12-03 | 5,000 | $8.45 | $42.3K | 59,436 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-03 | 2020-12-03 | 2,700 | $8.48 | $22.9K | 56,736 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-02 | 2020-12-03 | 4,746 | $8.40 | $39.9K | 64,436 | SEC↗ |
| [PCF] HIGH INCOME SECURITIES FUN | S Sale | 2020-12-02 | 2020-12-28 | 410 | $8.40 | $3.4K | 64,026 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-12-01 | 2020-12-03 | 254 | $8.40 | $2.1K | 69,182 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-21 | 2020-10-23 | 1,188 | $8.15 | $9.7K | 69,436 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-12 | 2020-10-13 | 3,432 | $8.42 | $28.9K | 70,624 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-09 | 2020-10-13 | 296 | $8.35 | $2.5K | 74,056 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-09 | 2020-10-13 | 6,000 | $8.34 | $50.0K | 74,352 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-08 | 2020-10-13 | 5,000 | $8.30 | $41.5K | 80,352 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-08 | 2020-10-13 | 5,000 | $8.31 | $41.5K | 85,352 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-05 | 2020-10-05 | 5,000 | $8.23 | $41.1K | 90,352 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-01 | 2020-10-05 | 10 | $8.33 | $83 | 95,352 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-10-01 | 2020-10-05 | 8,291 | $8.32 | $69.0K | 95,362 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-23 | 2020-09-23 | 2,403 | $8.34 | $20.0K | 103,653 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-22 | 2020-09-23 | 15 | $8.44 | $127 | 106,056 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-21 | 2020-09-23 | 438 | $8.50 | $3.7K | 106,071 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-16 | 2020-09-17 | 2,469 | $8.47 | $20.9K | 108,815 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-16 | 2020-09-17 | 2,306 | $8.46 | $19.5K | 106,509 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-16 | 2020-09-17 | 7,217 | $8.45 | $61.0K | 111,284 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-15 | 2020-09-16 | 1,416 | $8.50 | $12.0K | 123,501 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-15 | 2020-09-16 | 10,000 | $8.45 | $84.5K | 135,000 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-15 | 2020-09-16 | 2,694 | $8.46 | $22.8K | 132,306 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-15 | 2020-09-16 | 5,000 | $8.47 | $42.4K | 118,501 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-15 | 2020-09-16 | 7,389 | $8.48 | $62.7K | 124,917 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2020-09-14 | 2020-09-16 | 5,000 | $8.40 | $42.0K | 145,000 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-07-22 | 2020-07-23 | 5,000 | $11.80 | $59.0K | 123,721 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-07-22 | 2020-08-18 | 5,000 | $11.80 | $59.0K | 113,747 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-07-21 | 2020-07-23 | 5,000 | $11.85 | $59.3K | 118,721 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-07-21 | 2020-08-18 | 5,000 | $11.85 | $59.3K | 108,747 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-07-15 | 2020-07-16 | 11,405 | $11.74 | $133.9K | 113,721 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-07-15 | 2020-07-16 | 1,431 | $11.74 | $16.8K | 3,862 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale | 2020-07-15 | 2020-08-18 | 4,987 | $11.74 | $58.5K | 103,747 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | S Sale | 2020-07-15 | 2020-08-18 | 1,431 | $11.74 | $16.8K | 1,000 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-07-15 | 2020-08-18 | 6,418 | $11.74 | $75.3K | 108,734 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer deriv | 2020-06-19 | 2020-06-23 | 842 | $25.05 | $21.1K | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer deriv | 2020-06-19 | 2020-06-23 | 2,213 | $25.05 | $55.4K | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer deriv | 2020-06-08 | 2020-06-10 | 16,564 | $25.28 | $418.7K | 12,213 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer deriv | 2020-06-08 | 2020-06-10 | 10,000 | $25.28 | $252.8K | 2,213 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-04-30 | 2020-05-04 | 500 | $7.37 | $3.7K | 115,747 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-04-23 | 2020-04-27 | 5,000 | $7.35 | $36.8K | 115,247 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-04-17 | 2020-04-21 | 1,589 | $3.55 | $5.6K | 203,931 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-04-09 | 2020-04-21 | 5,177 | $3.65 | $18.9K | 205,520 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-04-08 | 2020-04-21 | 5,000 | $3.50 | $17.5K | 210,697 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-04-07 | 2020-04-21 | 25,000 | $3.36 | $84.0K | 215,697 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-04-06 | 2020-04-21 | 18,714 | $3.14 | $58.8K | 240,697 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-04-01 | 2020-04-06 | 11,700 | $3.44 | $40.2K | 259,411 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | P Buy | 2020-03-31 | 2020-04-06 | 5,365 | $3.55 | $19.0K | 271,111 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-30 | 2020-04-06 | 2,316 | $3.50 | $8.1K | 276,476 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-27 | 2020-04-06 | 410 | $3.46 | $1.4K | 278,792 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-26 | 2020-04-06 | 12,645 | $3.56 | $45.0K | 279,202 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-25 | 2020-04-06 | 30,002 | $3.32 | $99.6K | 291,847 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-24 | 2020-04-06 | 35,000 | $3.01 | $105.3K | 321,849 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-20 | 2020-04-06 | 5,000 | $3.00 | $15.0K | 356,849 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-19 | 2020-04-06 | 5,000 | $2.82 | $14.1K | 361,849 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-19 | 2020-04-06 | 10,000 | $2.80 | $28.0K | 376,849 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-19 | 2020-04-06 | 5,000 | $2.80 | $14.0K | 386,849 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-19 | 2020-04-06 | 10,000 | $2.85 | $28.5K | 366,849 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-18 | 2020-04-06 | 608 | $3.25 | $2.0K | 391,849 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | S Sale | 2020-03-17 | 2020-04-06 | 3,630 | $3.63 | $13.2K | 392,457 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-28 | 2020-03-02 | 4,899 | $7.73 | $37.9K | 0 | SEC↗ |
| TLI WESTERN ASSET CORPORATE LO | P Buy | 2020-02-28 | 2020-03-06 | 586 | $9.79 | $5.7K | 19,889 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-27 | 2020-03-02 | 5,000 | $7.99 | $40.0K | 0 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-25 | 2020-02-26 | 5,000 | $8.33 | $41.6K | 95,361 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-25 | 2020-02-26 | 4,987 | $8.42 | $42.0K | 100,348 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-25 | 2020-02-26 | 5,000 | $8.32 | $41.6K | 90,361 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-24 | 2020-02-26 | 5,000 | $8.45 | $42.3K | 85,361 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-24 | 2020-02-26 | 5,013 | $8.42 | $42.2K | 80,361 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2020-02-21 | 2020-02-25 | 2,613 | $25.75 | $67.3K | 28,777 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2020-02-14 | 2020-02-18 | 100 | $25.75 | $2.6K | 26,164 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2020-02-13 | 2020-02-18 | 900 | $25.75 | $23.2K | 26,064 | SEC↗ |
| MXE MEXICO EQUITY & INCOME FUN | D To issuer | 2020-02-06 | 2020-02-07 | 5,583 | $12.02 | $67.1K | 0 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-01-06 | 2020-01-08 | 1,086 | $8.33 | $9.0K | 75,348 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-12-19 | 2019-12-23 | 2,611 | $8.20 | $21.4K | 74,262 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-12-18 | 2019-12-19 | 614 | $8.15 | $5.0K | 71,651 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-12-17 | 2019-12-19 | 40,000 | $8.15 | $326.0K | 71,037 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-12-02 | 2019-12-03 | 10,000 | $8.09 | $80.9K | 12,828 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-12-02 | 2019-12-03 | 8,209 | $8.12 | $66.7K | 31,037 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-12-02 | 2019-12-03 | 10,000 | $8.10 | $81.0K | 22,828 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-11-29 | 2019-12-03 | 1,791 | $8.12 | $14.5K | 2,828 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2019-10-16 | 2019-10-18 | 107 | $8.46 | $905 | 0 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | L Small acq | 2019-08-27 | 2019-08-29 | 4,200 | $6.15 | $25.8K | 396,087 | SEC↗ |
| CUBA HERZFELD CARIBBEAN BASIN F | L Small acq | 2019-08-26 | 2019-08-29 | 800 | $6.15 | $4.9K | 391,887 | SEC↗ |
| MVC MVC CAPITAL, INC. | G Gift | 2019-07-12 | 2019-07-16 | 9,000 | — | $0 | 13,666 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | S Sale | 2019-04-18 | 2019-04-22 | 457,400 | $14.68 | $6.71M | 1,086 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | S Sale | 2019-04-17 | 2019-04-22 | 39,111 | $14.68 | $574.1K | 498,268 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | S Sale | 2019-04-17 | 2019-04-22 | 39,782 | $14.68 | $584.0K | 458,486 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | J Other | 2019-04-01 | 2019-04-22 | 96,742 | — | $0 | 537,379 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2019-03-26 | 2019-03-28 | 517 | $9.10 | $4.7K | 22,666 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2019-03-25 | 2019-03-27 | 150,000 | $9.25 | $1.39M | 150,000 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2019-03-25 | 2019-03-27 | 220,000 | $9.25 | $2.04M | 106 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2019-03-19 | 2019-03-20 | 6,241 | $9.25 | $57.7K | 0 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2019-03-19 | 2019-03-20 | 1,247,106 | $9.25 | $11.54M | 220,106 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2019-03-19 | 2019-03-20 | 1,247,106 | $9.25 | $11.54M | 220,106 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2019-03-19 | 2019-03-20 | 933 | $9.25 | $8.6K | 0 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2019-03-19 | 2019-03-20 | 3,123 | $9.25 | $28.9K | 0 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2019-03-19 | 2019-03-20 | 6,241 | $9.25 | $57.7K | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-03-19 | 2019-03-20 | 4,000 | $13.36 | $53.4K | 107,291 | SEC↗ |
| MXE MEXICO EQUITY & INCOME FUN | D To issuer | 2019-02-20 | 2019-02-21 | 3,036 | $11.58 | $35.2K | 5,583 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2019-02-08 | 2019-02-12 | 165 | $24.88 | $4.1K | 25,164 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-01-28 | 2019-01-29 | 100 | $12.63 | $1.3K | 103,291 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-01-28 | 2019-01-29 | 3,000 | $12.68 | $38.0K | 103,191 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-01-15 | 2019-01-16 | 3,000 | $12.49 | $37.5K | 100,091 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-01-15 | 2019-01-16 | 100 | $12.48 | $1.2K | 100,191 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2019-01-08 | 2019-01-10 | 3,000 | $24.90 | $74.7K | 24,999 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2019-01-04 | 2019-01-08 | 2,500 | $24.90 | $62.3K | 21,999 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2019-01-03 | 2019-01-04 | 3,000 | $24.90 | $74.7K | 19,499 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy deriv | 2019-01-03 | 2019-01-08 | 3,000 | $24.90 | $74.7K | 19,499 | SEC↗ |
| DTLA PR Brookfield DTLA Fund Offic | J Other | 2019-01-02 | 2019-01-04 | 200,936 | — | $0 | 0 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | J Other | 2019-01-02 | 2019-01-04 | 104,660 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-01-02 | 2019-01-04 | 3 | $11.75 | $35 | 97,091 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-12-27 | 2018-12-31 | 3,000 | $11.29 | $33.9K | 89,088 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-12-27 | 2018-12-31 | 3,000 | $11.34 | $34.0K | 92,088 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-12-19 | 2019-01-04 | 5,000 | $11.61 | $58.0K | 97,088 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | D To issuer | 2018-11-20 | 2018-11-23 | 1,782,348 | $7.86 | $14.01M | 104,660 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | D To issuer | 2018-11-20 | 2018-11-23 | 17,633 | $7.86 | $138.6K | 1,050 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | J Other | 2018-10-19 | 2018-10-23 | 598,378 | — | $0 | 1,887,008 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | J Other | 2018-10-19 | 2018-10-23 | 5,924 | — | $0 | 18,683 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-10-10 | 2018-10-12 | 449,476 | $9.41 | $4.23M | 0 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-10-08 | 2018-10-09 | 600 | $13.35 | $8.0K | 634,121 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-10-05 | 2018-10-09 | 13,348 | $13.41 | $179.0K | 633,521 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-10-05 | 2018-10-09 | 65,957 | $9.43 | $622.0K | 449,476 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-10-05 | 2018-10-10 | 65,957 | $9.43 | $622.0K | 449,476 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-10-04 | 2018-10-05 | 17,720 | $13.36 | $236.7K | 620,173 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-10-04 | 2018-10-05 | 970 | $9.50 | $9.2K | 515,433 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-10-03 | 2018-10-05 | 9,000 | $13.59 | $122.3K | 602,453 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-10-03 | 2018-10-05 | 9,035 | $9.51 | $85.9K | 516,403 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-10-02 | 2018-10-03 | 8,353 | $13.62 | $113.8K | 593,453 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-10-02 | 2018-10-03 | 14,042 | $9.58 | $134.5K | 525,438 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | J Other | 2018-10-01 | 2018-10-01 | 149,565 | — | $0 | 583,990 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-10-01 | 2018-10-03 | 1,110 | $13.61 | $15.1K | 585,100 | SEC↗ |
| DTLA PR Brookfield DTLA Fund Offic | J Other | 2018-10-01 | 2018-10-03 | 46,050 | — | $0 | 200,936 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-10-01 | 2018-10-03 | 4,813 | $9.61 | $46.3K | 539,480 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-09-28 | 2018-10-01 | 100 | $13.50 | $1.4K | 733,555 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-09-25 | 2018-09-26 | 2,200 | $13.45 | $29.6K | 733,455 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-09-25 | 2018-09-27 | 6,700 | $9.75 | $65.3K | 544,293 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-09-24 | 2018-09-25 | 3,511 | $9.78 | $34.3K | 550,993 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-09-24 | 2018-09-26 | 300 | $13.45 | $4.0K | 731,255 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2018-09-21 | 2018-09-25 | 5,291 | $9.75 | $51.6K | 554,504 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-08-30 | 2018-08-31 | 12,200 | $13.80 | $168.4K | 730,955 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-08-29 | 2018-08-31 | 6,408 | $13.80 | $88.4K | 718,755 | SEC↗ |
| AKP ALLIANCE CALIFORNIA MUNICI | P Buy | 2018-08-27 | 2018-08-29 | 8,200 | $13.76 | $112.8K | 712,347 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-07-02 | 2018-07-03 | 2,407 | $14.95 | $36.0K | 86,088 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-06-28 | 2018-07-02 | 93 | $14.95 | $1.4K | 83,681 | SEC↗ |
| DTLA PR Brookfield DTLA Fund Offic | P Buy | 2018-06-08 | 2018-10-03 | 1,155 | $24.79 | $28.6K | 246,986 | SEC↗ |
| PCF PUTNAM HIGH INCOME SECURIT | J Other | 2018-06-06 | 2018-06-07 | 90,422 | — | $0 | 1,467,199 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-05-24 | 2018-05-25 | 3,000 | $15.00 | $45.0K | 83,588 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-05-11 | 2018-05-15 | 186 | $15.03 | $2.8K | 80,588 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-04-13 | 2018-04-17 | 3,000 | $14.89 | $44.7K | 80,402 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-03-27 | 2018-03-29 | 2,500 | $14.70 | $36.8K | 77,402 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-03-23 | 2018-03-26 | 3,000 | $14.55 | $43.6K | 74,902 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-03-22 | 2018-03-26 | 630 | $14.74 | $9.3K | 71,902 | SEC↗ |