LYTIR

Insider · SEC Form 4 · Director, Affiliate of the Adviser

Phillip Goldstein

Filed with the SEC as GOLDSTEIN PHILLIP; the order above is the one the filer's own signature uses.

In the 12 months to Nov 8, 2026, on the open market: bought $203K of PCF, SWZ. Filed a median of 2 business days after the trade.

Open-market purchases and sales this filer reported on SEC Form 4, by the day traded. Insiders have two business days to file. A sale marked 10b5-1 was made under a plan adopted in advance. How to read these

Insider purchases and sales, by month (last 12 months)Insider purchases: $203K in total; Insider sales: $0 in total.Jul: Insider purchases $36KAug: Insider purchases $139KOct: Insider purchases $29KDecJanFebMarAprMayJunJulAugSepOctNov
Insider purchases above the line: $203KInsider sales below: $0
Dollar value of open-market purchases and sales reported on SEC Form 4, by the month traded. Sales include pre-arranged 10b5-1 plan sales.
  1. SWZBought: Total Return Securities Fund Oct 8, 2026 5,000 shares filed Oct 13, 2026 124,229 shares held directly after, as filed filing $29K
  2. PCFBought: HIGH INCOME SECURITIES FUND Aug 20, 2026 5,000 shares filed Aug 21, 2026 72,860 shares held directly after, as filed filing $27K
  3. PCFBought: HIGH INCOME SECURITIES FUND Aug 19, 2026 20,000 shares filed Aug 21, 2026 2 transactions filing $108K
  4. PCFBought: HIGH INCOME SECURITIES FUND Aug 6, 2026 819 shares filed Aug 10, 2026 47,860 shares held directly after, as filed filing $4K
  5. SWZBought: Total Return Securities Fund Jul 6, 2026 5,980 shares filed Jul 8, 2026 119,214 shares held directly after, as filed filing $36K

Source: SEC Form 4 filings. Value is shares × the price reported on the filing; a filing whose price failed Lytir's check against the market price is left out, and a trade that related owners reported on separate forms is counted once. Filings can be late, amended or wrong at the source; see methodology.

Other Form 4 entries

Not counted above: entries this filer reported on Form 4 in the same 12 months that are not open-market purchases or sales. Each entry is one line of a filing.

  • SWZ: small acquisition (code L), 1 entry, Oct 1, 2026
Code L
A small acquisition the rules allow to be reported later.

Source: the same SEC Form 4 filings. The codes are the SEC's own transaction codes; the meanings above are a plain-words reading of the SEC's Form 4 instructions.