Insider Trading History of Goldstein Phillip

The following table details the insider trading activities (stock purchases, stock sales, and stock option exercises) of Goldstein Phillip since 2015. This trader's CIK number is 1067621. At the time of last reporting, Goldstein Phillip was the Officer of Total Return Securities Fund. (stock ticker symbol SWZ). Also see all insider trading activities at Total Return Securities Fund.

Note that in the past GOLDSTEIN PHILLIP also reported insider trading activities as an insider of the following companies:

Yearly summary of insider trading at Dividend Capital Realty Income Allocation Fund (DCA) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2016	DCA	19,387	$88,900	0	$0	0	$0

Yearly summary of insider trading at Emergent Capital, Inc. (EMG) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2015	EMG	74,813	$316,545	0	$0	76,804	$441,623

Yearly summary of insider trading at Herzfeld Caribbean Basin Fund Inc (CUBA) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2020	CUBA	5,365	$19,045	186,791	$598,987	0	$0

Yearly summary of insider trading at Brookfield Dtla Fund Office Trust Investor Inc. (DTLA PR) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2018	DTLA PR	1,155	$28,635	0	$0	0	$0

Yearly summary of insider trading at High Income Securities Fund (PCF) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2025	PCF	0	$0	26,280	$179,935	0	$0
2024	PCF	0	$0	234,600	$1,614,651	249,773	$1,618,529
2023	PCF	34,300	$218,703	0	$0	0	$0
2021	PCF	0	$0	163,577	$1,620,592	373,647	$3,104,043
2020	PCF	0	$0	149,219	$1,269,088	0	$0
2019	PCF	150,000	$1,387,500	220,107	$2,035,905	0	$0

Yearly summary of insider trading at Mexico Equity & Income Fund Inc (MXE) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2021	MXE	0	$0	0	$0	10,001	$89,008
2017	MXE	3,100	$34,015	0	$0	0	$0
2016	MXE	6,000	$67,440	0	$0	0	$0
2015	MXE	5,000	$54,749	0	$0	0	$0

Yearly summary of insider trading at Total Return Securities Fund (SWZ) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2025	SWZ	0	$0	4,535	$38,320	80,976	$491,524
2021	SWZ	0	$0	98,964	$951,717	0	$0
2020	SWZ	41,485	$337,005	0	$0	0	$0
2019	SWZ	73,225	$595,533	0	$0	0	$0

Yearly summary of insider trading at Mvc Capital, Inc. (MVC) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2019	MVC	517	$4,704	0	$0	0	$0
2018	MVC	0	$0	559,795	$5,278,703	0	$0
2017	MVC	0	$0	29,853	$293,076	0	$0

Yearly summary of insider trading at Special Opportunities Fund, Inc. (SPE) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2025	SPE	3,000	$41,400	0	$0	0	$0
2023	SPE	1,363	$16,035	0	$0	0	$0
2023	SPE	13,643	$151,511	0	$0	0	$0
2022	SPE	2,000	$29,510	0	$0	0	$0
2021	SPE	0	$0	100,872	$1,547,043	5,475	$0
2020	SPE	22,836	$268,944	0	$0	0	$0
2019	SPE	15,203	$189,458	0	$0	0	$0
2018	SPE	22,816	$317,475	0	$0	0	$0
2017	SPE	1,596	$24,769	0	$0	0	$0
2016	SPE	8,606	$112,729	0	$0	0	$0
2015	SPE	21,500	$315,389	0	$0	0	$0

Yearly summary of insider trading at Keating Capital Inc (XRDC) by Goldstein Phillip

		Insider Buying		Insider Sales		Option Exercises
Year	Symbol	Shares	Value	Shares	Value	Shares	Value
2017	XRDC	28,479	$61,799	28,479	$61,799	0	$0

Insider trading activities at 10 companies by Goldstein Phillip:

1. Dividend Capital Realty Income Allocation Fund (DCA)

2. Emergent Capital, Inc. (EMG)

3. Herzfeld Caribbean Basin Fund Inc (CUBA)

4. Brookfield Dtla Fund Office Trust Investor Inc. (DTLA PR)

5. High Income Securities Fund (PCF)

6. Mexico Equity & Income Fund Inc (MXE)

7. Total Return Securities Fund (SWZ)

8. Mvc Capital, Inc. (MVC)

9. Special Opportunities Fund, Inc. (SPE)

10. Keating Capital Inc (XRDC)

Table 1. Insider trading of Dividend Capital Realty Income Allocation Fund (DCA) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2016-09-13	DCA	Buy	1,261	4.54	5,724
2016-09-14	DCA	Buy	976	4.51	4,406
2016-09-09	DCA	Buy	1,093	4.59	5,022
2016-09-08	DCA	Buy	3,045	4.66	14,180
2016-09-06	DCA	Buy	1,698	4.67	7,936
2016-08-12	DCA	Buy	453	4.61	2,087
2016-08-15	DCA	Buy	547	4.61	2,523
2016-08-10	DCA	Buy	380	4.57	1,736
2016-08-11	DCA	Buy	127	4.60	583
2016-08-08	DCA	Buy	951	4.56	4,333
2016-08-09	DCA	Buy	975	4.57	4,453
2016-08-05	DCA	Buy	1,301	4.55	5,924
2016-08-04	DCA	Buy	973	4.57	4,446
2016-08-01	DCA	Buy	531	4.59	2,439
2016-07-20	DCA	Buy	530	4.60	2,440
2016-07-15	DCA	Buy	627	4.56	2,859
2016-07-14	DCA	Buy	667	4.56	3,041
2016-07-13	DCA	Buy	1,194	4.55	5,435
2016-07-11	DCA	Buy	1,305	4.54	5,928
2016-07-12	DCA	Buy	653	4.56	2,977
2016-05-25	DCA	Buy	100	4.28	428

Table 2. Insider trading of Emergent Capital, Inc. (EMG) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2015-12-04	EMG	Buy	726	3.96	2,874
2015-12-07	EMG	Buy	50,000	3.85	192,500
2015-11-12	EMG	Buy	5,000	4.42	22,100
2015-11-11	EMG	Buy	5,000	4.42	22,100
2015-08-25	IFT	Buy	2,359	5.26	12,408
2015-08-26	IFT	Buy	2,641	5.26	13,891
2015-08-21	IFT	Buy	3,000	5.60	16,800
2015-08-06	IFT	Buy	113	5.55	627
2015-08-07	IFT	Buy	5,974	5.57	33,245
2015-06-24	IFT	Option Ex	76,804	5.75	441,623

Table 3. Insider trading of Herzfeld Caribbean Basin Fund Inc (CUBA) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2020-04-09	CUBA	Sale	5,177	3.65	18,890
2020-04-08	CUBA	Sale	5,000	3.50	17,500
2020-04-07	CUBA	Sale	25,000	3.36	83,950
2020-04-06	CUBA	Sale	18,714	3.14	58,687
2020-04-17	CUBA	Sale	1,589	3.55	5,640
2020-03-19	CUBA	Sale	30,000	2.82	84,540
2020-03-20	CUBA	Sale	5,000	3.00	15,000
2020-03-18	CUBA	Sale	608	3.25	1,976
2020-03-17	CUBA	Sale	3,630	3.63	13,176
2020-04-01	CUBA	Sale	11,700	3.44	40,248
2020-03-30	CUBA	Sale	2,316	3.50	8,106
2020-03-27	CUBA	Sale	410	3.46	1,419
2020-03-26	CUBA	Sale	12,645	3.56	44,990
2020-03-25	CUBA	Sale	30,002	3.32	99,516
2020-03-24	CUBA	Sale	35,000	3.01	105,349
2020-03-31	CUBA	Buy	5,365	3.55	19,045

Table 4. Insider trading of Brookfield Dtla Fund Office Trust Investor Inc. (DTLA PR) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2018-06-08	DTLA PR	Buy	1,155	24.79	28,635

Table 5. Insider trading of High Income Securities Fund (PCF) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2025-02-24	PCF	Sale	19,296	6.84	132,081
2025-02-25	PCF	Sale	6,984	6.85	47,854
2024-08-16	PCF	Option Ex	249,773	6.48	1,618,529
2024-06-28	PCF	Sale	90,000	6.93	623,700
2024-06-27	PCF	Sale	54,600	6.90	376,521
2024-06-26	PCF	Sale	90,000	6.83	614,430
2023-04-21	PCF	Buy	10,000	6.37	63,700
2023-04-10	PCF	Buy	10,000	6.39	63,900
2023-04-06	PCF	Buy	9,510	6.41	60,959
2023-03-17	PCF	Buy	4,000	6.28	25,120
2023-03-13	PCF	Buy	790	6.36	5,024
2021-11-01	PCF	Option Ex	209,944	8.36	1,755,131
2021-08-17	PCF	Sale	28,000	9.98	279,440
2021-08-13	PCF	Sale	19,401	9.92	192,477
2021-08-16	PCF	Sale	10,909	9.94	108,446
2021-08-11	PCF	Sale	27,718	9.89	274,131
2021-08-09	PCF	Sale	18,847	9.89	186,491
2021-08-10	PCF	Sale	7,659	9.89	75,747
2021-08-06	PCF	Sale	13,138	9.89	129,974
2021-08-05	PCF	Sale	14,563	9.87	143,663
2021-08-04	PCF	Sale	10,874	9.86	107,239
2021-08-03	PCF	Sale	12,468	9.86	122,984
2021-02-02	[PCF]	Option Ex	163,703	8.24	1,348,912
2020-12-24	PCF	Sale	6,990	8.54	59,694
2020-12-23	PCF	Sale	6,710	8.54	57,303
2020-12-18	PCF	Sale	5,000	9.03	45,130
2020-12-15	PCF	Sale	10,000	8.68	86,800
2020-12-16	PCF	Sale	10,000	8.82	88,250
2020-12-08	PCF	Sale	5,000	8.66	43,300
2020-12-04	PCF	Sale	12,255	8.58	105,147
2020-12-01	PCF	Sale	254	8.40	2,133
2020-12-02	PCF	Sale	4,746	8.40	39,866
2020-12-03	PCF	Sale	7,700	8.46	65,180
2020-10-21	PCF	Sale	1,188	8.15	9,682
2020-10-09	PCF	Sale	6,296	8.35	52,540
2020-10-08	PCF	Sale	10,000	8.30	83,050
2020-10-12	PCF	Sale	3,432	8.42	28,897
2020-10-01	PCF	Sale	8,301	8.32	69,105
2020-10-05	PCF	Sale	5,000	8.23	41,150
2020-09-21	PCF	Sale	438	8.50	3,723
2020-09-22	PCF	Sale	15	8.44	126
2020-09-23	PCF	Sale	2,403	8.34	20,041
2020-09-16	PCF	Sale	11,992	8.46	101,452
2020-09-14	PCF	Sale	5,000	8.40	42,020
2020-09-15	PCF	Sale	26,499	8.47	224,499
2019-10-16	PCF	Sale	107	8.46	905
2019-03-25	PCF	Buy	150,000	9.25	1,387,500
2019-03-25	PCF	Sale	220,000	9.25	2,035,000

Table 6. Insider trading of Mexico Equity & Income Fund Inc (MXE) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2021-10-15	MXE	Option Ex	10,001	8.90	89,008
2017-06-02	MXE	Buy	3,000	10.97	32,910
2017-05-03	MXE	Buy	100	11.05	1,105
2016-05-04	MXE	Buy	3,000	11.24	33,720
2016-05-04	MXE	Buy	3,000	11.24	33,720
2015-09-29	MXE	Buy	2,338	10.95	25,601
2015-09-28	MXE	Buy	2,662	10.95	29,148

Table 7. Insider trading of Total Return Securities Fund (SWZ) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2025-12-11	SWZ	Option Ex	80,976	6.07	491,524
2025-01-17	SWZ	Sale	4,535	8.45	38,320
2021-07-02	SWZ	Sale	1,212	9.79	11,865
2021-06-04	SWZ	Sale	76,958	9.59	737,796
2021-06-03	SWZ	Sale	1,994	9.68	19,291
2021-06-02	SWZ	Sale	8,711	9.72	84,670
2021-06-01	SWZ	Sale	10,089	9.72	98,095
2020-04-30	SWZ	Buy	500	7.37	3,685
2020-04-23	SWZ	Buy	5,000	7.35	36,750
2020-02-27	SWZ	Buy	5,000	7.99	39,950
2020-02-28	SWZ	Buy	4,899	7.73	37,869
2020-02-25	SWZ	Buy	14,987	8.36	125,246
2020-02-24	SWZ	Buy	10,013	8.44	84,459
2020-01-06	SWZ	Buy	1,086	8.33	9,046
2019-12-19	SWZ	Buy	2,611	8.20	21,410
2019-12-17	SWZ	Buy	40,000	8.15	326,000
2019-12-18	SWZ	Buy	614	8.15	5,004
2019-12-02	SWZ	Buy	28,209	8.10	228,577
2019-11-29	SWZ	Buy	1,791	8.12	14,542

Table 8. Insider trading of Mvc Capital, Inc. (MVC) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2019-03-26	MVC	Buy	517	9.10	4,704
2018-10-10	MVC	Sale	449,476	9.41	4,229,569
2018-10-05	MVC	Sale	65,957	9.43	621,974
2018-10-03	MVC	Sale	9,035	9.51	85,922
2018-10-04	MVC	Sale	970	9.50	9,215
2018-10-02	MVC	Sale	14,042	9.58	134,522
2018-10-01	MVC	Sale	4,813	9.61	46,252
2018-09-25	MVC	Sale	6,700	9.75	65,325
2018-09-21	MVC	Sale	5,291	9.75	51,587
2018-09-24	MVC	Sale	3,511	9.78	34,337
2017-06-13	MVC	Sale	27,469	9.82	269,718
2017-06-14	MVC	Sale	2,384	9.80	23,358

Table 9. Insider trading of Special Opportunities Fund, Inc. (SPE) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2025-04-04	SPE	Buy	3,000	13.80	41,400
2023-12-28	SPE	Buy	1,363	11.77	16,035
2023-04-06	SPE	Buy	5,000	10.85	54,250
2023-04-05	SPE	Buy	2,400	10.85	26,040
2023-03-29	SPE	Buy	675	10.74	7,249
2023-03-30	SPE	Buy	1,568	10.85	17,012
2023-02-03	SPE	Buy	2,000	11.85	23,700
2023-01-30	SPE	Buy	2,000	11.63	23,260
2022-02-07	SPE	Buy	2,000	14.76	29,510
2021-12-16	SPE	Sale	2,542	15.55	39,528
2021-06-24	SPE	Option Ex	5,475	.00	0
2021-06-07	SPE	Sale	10,000	15.43	154,300
2021-06-04	SPE	Sale	88,330	15.32	1,353,215
2020-07-21	SPE	Buy	5,000	11.85	59,250
2020-07-22	SPE	Buy	5,000	11.80	59,000
2020-07-15	SPE	Buy	12,836	11.74	150,694
2019-03-19	SPE	Buy	4,000	13.36	53,440
2019-01-28	SPE	Buy	3,100	12.65	39,230
2019-01-15	SPE	Buy	3,100	12.48	38,703
2018-12-19	SPE	Buy	5,000	11.61	58,050
2019-01-02	SPE	Buy	3	11.75	35
2018-12-27	SPE	Buy	6,000	11.31	67,890
2018-07-02	SPE	Buy	2,407	14.95	35,984
2018-06-28	SPE	Buy	93	14.95	1,390
2018-05-24	SPE	Buy	3,000	15.00	45,000
2018-05-11	SPE	Buy	186	15.03	2,795
2018-04-13	SPE	Buy	3,000	14.89	44,670
2018-03-27	SPE	Buy	2,500	14.70	36,750
2018-03-22	SPE	Buy	630	14.74	9,286
2018-03-23	SPE	Buy	3,000	14.55	43,650
2018-02-27	SPE	Buy	1,000	14.92	14,920
2018-02-02	SPE	Buy	1,000	15.14	15,140
2017-08-03	SPE	Buy	1,596	15.52	24,769
2016-06-01	SPE	Buy	908	13.50	12,258
2016-06-02	SPE	Buy	752	13.50	10,152
2016-06-03	SPE	Buy	1	13.50	13
2016-04-01	SPE	Buy	4,000	13.06	52,240
2016-03-02	SPE	Buy	100	12.47	1,247
2016-03-03	SPE	Buy	100	12.52	1,252
2016-01-06	SPE	Buy	2,500	12.95	32,375
2015-01-05	SPE	Buy	245	13.03	3,192
2015-12-02	SPE	Buy	8,000	14.46	115,640
2015-11-02	SPE	Buy	3,133	14.55	45,585
2015-11-03	SPE	Buy	1,867	14.55	27,164
2015-01-30	SPE	Buy	5,500	14.92	82,060
2015-01-29	SPE	Buy	3,000	14.98	44,940

Table 10. Insider trading of Keating Capital Inc (XRDC) by Goldstein Phillip

Trade Date	Symbol	Trade Type	Shares	Price ($)	Value ($)
2017-06-07	XRDC	Buy	28,479	2.17	61,799
2017-06-07	XRDC	Sale	28,479	2.17	61,799

Insider trading activities including stock purchases, stock sales, and option exercises listed in the above table cannot be completely guaranteed as to their accuracy. For more information regarding the trades made by Goldstein Phillip (Officer of Total Return Securities Fund at the time of this reporting) see the Securities and Exchange Commission (SEC) website.

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