28 Dec 2023 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 1,363 $11.78 $16,056

28 Dec 2023

31,822 5 Apr 2023 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 7,400 $10.85 $80,290

5 Apr 2023

31,459 29 Mar 2023 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,243 $10.82 $24,269

29 Mar 2023

24,059 3 Feb 2023 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,000 $11.85 $23,700

3 Feb 2023

21,816 30 Jan 2023 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,000 $11.63 $23,260

30 Jan 2023

19,816 7 Feb 2022 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,000 $14.76 $29,520

7 Feb 2022

21,350 16 Dec 2021 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Sale 2,542 $15.55 $39,528

16 Dec 2021

19,350 24 Jun 2021 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Option 5,475 $15.18 $83,111

24 Jun 2021

21,892 4 Jun 2021 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Sale 98,330 $15.33 $1,507,399

4 Jun 2021

16,417 21 Jul 2020 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 10,000 $11.83 $118,300

21 Jul 2020

123,721 15 Jul 2020 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 12,836 $11.74 $150,695

15 Jul 2020

3,862 19 Mar 2019 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 4,000 $13.36 $53,440

19 Mar 2019

107,291 28 Jan 2019 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 3,100 $12.68 $39,308

28 Jan 2019

103,291 15 Jan 2019 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 3,100 $12.49 $38,719

15 Jan 2019

100,191 27 Dec 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 6,000 $11.32 $67,920

27 Dec 2018

92,088 19 Dec 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 5,003 $11.61 $58,085

19 Dec 2018

97,091 2 Jul 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,407 $14.95 $35,985

2 Jul 2018

86,088 28 Jun 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 93 $14.95 $1,390

28 Jun 2018

83,681 24 May 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 3,000 $15.00 $45,000

24 May 2018

83,588 11 May 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 186 $15.03 $2,796

11 May 2018

80,588 13 Apr 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 3,000 $14.89 $44,670

13 Apr 2018

80,402 27 Mar 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,500 $14.70 $36,750

27 Mar 2018

77,402 22 Mar 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 3,630 $14.58 $52,925

22 Mar 2018

74,902 27 Feb 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 1,000 $14.92 $14,920

27 Feb 2018

71,272 2 Feb 2018 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 1,000 $15.14 $15,140

2 Feb 2018

70,272 3 Aug 2017 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 1,596 $15.52 $24,770

3 Aug 2017

69,272 1 Jun 2016 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 1,661 $13.50 $22,424

1 Jun 2016

82,500 1 Apr 2016 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 4,000 $13.06 $52,240

1 Apr 2016

4,213 2 Mar 2016 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 200 $12.50 $2,500

2 Mar 2016

80,839 5 Jan 2016 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,745 $12.96 $35,575

5 Jan 2016

80,884 2 Dec 2015 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 8,000 $14.44 $115,520

2 Dec 2015

77,894 2 Nov 2015 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 5,000 $14.55 $72,750

2 Nov 2015

69,894 29 Jan 2015 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 8,500 $14.94 $126,990

29 Jan 2015

6,000 24 Dec 2014 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,699 $15.19 $40,998

24 Dec 2014

61,894 22 Dec 2014 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 13,301 $15.20 $202,175

22 Dec 2014

3,000 31 Aug 2012 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 2,896 $15.22 $44,077

31 Aug 2012

32,958 6 Jul 2012 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 10,561 $14.94 $157,781

6 Jul 2012

30,062 25 Jun 2012 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 5,000 $15.01 $75,050

25 Jun 2012

19,501 25 Aug 2011 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 3,151 $14.42 $45,437

25 Aug 2011

14,501 8 Aug 2011 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 5,000 $14.26 $71,300

8 Aug 2011

11,350 6 Aug 2010 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 5,000 $13.28 $66,400

6 Aug 2010

6,350 23 Jul 2010 SPE Special Opportunities Fund Inc Phillip Goldstein

Chairman and Secretary

Buy 1,350 $12.92 $17,442

23 Jul 2010

1,350 21 Apr 2023 PCF High Income Securities Fund Phillip Goldstein

Director

Buy 10,000 $6.37 $63,700

21 Apr 2023

244,373 10 Apr 2023 PCF High Income Securities Fund Phillip Goldstein

Director

Buy 10,000 $6.39 $63,900

10 Apr 2023

234,373 6 Apr 2023 PCF High Income Securities Fund Phillip Goldstein

Director

Buy 9,510 $6.41 $60,959

6 Apr 2023

224,373 17 Mar 2023 PCF High Income Securities Fund Phillip Goldstein

Director

Buy 4,000 $6.28 $25,120

17 Mar 2023

214,863 13 Mar 2023 PCF High Income Securities Fund Phillip Goldstein

Director

Buy 790 $6.36 $5,024

13 Mar 2023

210,863 1 Nov 2021 PCF High Income Securities Fund Phillip Goldstein

Director

Option 209,944 $8.36 $1,755,132

1 Nov 2021

210,073 17 Aug 2021 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 28,000 $9.98 $279,440

17 Aug 2021

129 13 Aug 2021 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 30,310 $9.93 $300,978

13 Aug 2021

28,129 11 Aug 2021 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 27,718 $9.89 $274,131

11 Aug 2021

58,439 9 Aug 2021 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 26,506 $9.89 $262,144

9 Aug 2021

86,157 5 Aug 2021 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 27,701 $9.88 $273,686

5 Aug 2021

112,663 3 Aug 2021 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 23,342 $9.86 $230,152

3 Aug 2021

140,364 23 Dec 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 13,700 $8.54 $116,998

23 Dec 2020

3 18 Dec 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 5,000 $9.02 $45,100

18 Dec 2020

14,481 15 Dec 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 20,000 $8.75 $175,000

15 Dec 2020

19,481 8 Dec 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 5,000 $8.66 $43,300

8 Dec 2020

39,481 4 Dec 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 12,255 $8.57 $105,025

4 Dec 2020

44,481 1 Dec 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 12,700 $8.44 $107,188

1 Dec 2020

56,736 21 Oct 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 1,188 $8.15 $9,682

21 Oct 2020

69,436 8 Oct 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 19,728 $8.34 $164,532

8 Oct 2020

70,624 1 Oct 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 13,301 $8.29 $110,265

1 Oct 2020

90,352 21 Sep 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 2,856 $8.37 $23,905

21 Sep 2020

103,653 16 Sep 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 11,992 $8.46 $101,452

16 Sep 2020

106,509 14 Sep 2020 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 31,499 $8.46 $266,482

14 Sep 2020

118,501 16 Oct 2019 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 107 $8.46 $905

16 Oct 2019

0 25 Mar 2019 PCF High Income Securities Fund Phillip Goldstein

Director

Sale 220,000 $9.25 $2,035,000

25 Mar 2019

106 15 Oct 2021 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Option 10,001 $8.90 $89,009

15 Oct 2021

10,002 2 Jun 2017 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Buy 3,000 $10.97 $32,910

2 Jun 2017

11,100 3 May 2017 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Buy 100 $11.05 $1,105

3 May 2017

8,100 4 May 2016 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Buy 3,000 $11.24 $33,720

4 May 2016

8,000 28 Sep 2015 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Buy 5,000 $10.95 $54,750

28 Sep 2015

5,000 29 Apr 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 11,289 $17.16 $193,719

29 Apr 2013

0 25 Apr 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 1,069 $17.16 $18,344

25 Apr 2013

1,137 19 Apr 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 23,692 $17.00 $402,764

19 Apr 2013

1,245 15 Apr 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 26,100 $17.22 $449,442

15 Apr 2013

3,631 12 Apr 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 9,600 $17.42 $167,232

12 Apr 2013

6,260 7 Feb 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 4,667 $15.74 $73,459

7 Feb 2013

7,227 5 Feb 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 14,706 $15.79 $232,208

5 Feb 2013

26,194 1 Feb 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 11,275 $15.83 $178,483

1 Feb 2013

9,186 8 Jan 2013 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Sale 8,021 $15.00 $120,315

8 Jan 2013

0 23 Nov 2005 MXE Mexico Equity And Income Fund Inc Phillip Goldstein

Director

Buy 5,000 $21.15 $105,750

23 Nov 2005

5,000 2 Jul 2021 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Sale 1,212 $9.79 $11,865

2 Jul 2021

16,783 4 Jun 2021 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Sale 76,958 $9.50 $731,101

4 Jun 2021

17,995 3 Jun 2021 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Sale 1,994 $9.67 $19,282

3 Jun 2021

94,953 1 Jun 2021 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Sale 18,800 $9.71 $182,548

1 Jun 2021

96,947 30 Apr 2020 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 500 $7.37 $3,685

30 Apr 2020

115,747 23 Apr 2020 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 5,000 $7.35 $36,750

23 Apr 2020

115,247 27 Feb 2020 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 9,899 $7.86 $77,806

27 Feb 2020

0 24 Feb 2020 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 25,000 $8.39 $209,750

24 Feb 2020

100,348 6 Jan 2020 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 1,086 $8.33 $9,046

6 Jan 2020

75,348 19 Dec 2019 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 2,611 $8.20 $21,410

19 Dec 2019

74,262 17 Dec 2019 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 40,614 $8.15 $331,004

17 Dec 2019

71,651 29 Nov 2019 SWZ Swiss Helvetia Fund Inc Phillip Goldstein

Director

Buy 30,000 $8.10 $243,000

29 Nov 2019

31,037 17 Mar 2020 CUBA Herzfeld Caribbean Basin Fund Inc Phillip Goldstein

10% owner

Sale 131,311 $3.16 $414,943

17 Mar 2020

259,411 26 Mar 2019 MVCD MVC Capital Inc Phillip Goldstein Buy 517 $9.10 $4,705

26 Mar 2019

22,666 10 Oct 2018 MVCD MVC Capital Inc Phillip Goldstein Sale 449,476 $9.41 $4,229,569

10 Oct 2018

0 5 Oct 2018 MVCD MVC Capital Inc Phillip Goldstein Sale 65,957 $9.43 $621,975

5 Oct 2018

449,476 3 Oct 2018 MVCD MVC Capital Inc Phillip Goldstein Sale 10,005 $9.51 $95,148

3 Oct 2018

515,433 1 Oct 2018 MVCD MVC Capital Inc Phillip Goldstein Sale 18,855 $9.59 $180,819

1 Oct 2018

525,438 25 Sep 2018 MVCD MVC Capital Inc Phillip Goldstein Sale 6,700 $9.75 $65,325

25 Sep 2018

544,293 21 Sep 2018 MVCD MVC Capital Inc Phillip Goldstein Sale 8,802 $9.76 $85,908

21 Sep 2018

550,993 13 Jun 2017 MVCD MVC Capital Inc Phillip Goldstein Sale 29,853 $9.82 $293,156

13 Jun 2017

941,448 28 Apr 2014 MVCD MVC Capital Inc Phillip Goldstein Buy 16,980 $12.98 $220,400

28 Apr 2014

953,961 15 Apr 2014 MVCD MVC Capital Inc Phillip Goldstein Buy 16,980 $13.13 $222,947

15 Apr 2014

936,981 11 Apr 2014 MVCD MVC Capital Inc Phillip Goldstein Buy 16,389 $13.14 $215,351

11 Apr 2014

920,001 14 Mar 2014 MVCD MVC Capital Inc Phillip Goldstein Buy 17,340 $13.18 $228,541

14 Mar 2014

971,301 13 Sep 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 157,879 $12.70 $2,005,063

13 Sep 2013

903,612 11 Sep 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 17,182 $12.69 $218,040

11 Sep 2013

745,733 21 Aug 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 6,639 $12.30 $81,660

21 Aug 2013

728,551 19 Jun 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 37,671 $12.72 $479,175

19 Jun 2013

721,912 14 Jun 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 37,671 $12.65 $476,538

14 Jun 2013

684,241 12 Jun 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 3,420 $12.65 $43,263

12 Jun 2013

646,570 5 Jun 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 26,370 $12.69 $334,635

5 Jun 2013

643,150 31 May 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 37,671 $12.76 $480,682

31 May 2013

616,780 18 Apr 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 4,961 $12.60 $62,509

18 Apr 2013

579,109 17 Apr 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 13,803 $12.52 $172,814

17 Apr 2013

574,148 15 Apr 2013 MVCD MVC Capital Inc Phillip Goldstein Buy 25,442 $12.59 $320,315

15 Apr 2013

560,345 26 Mar 2019 MVC MVC Capital Inc Phillip Goldstein Buy 517 $9.10 $4,705

26 Mar 2019

22,666 10 Oct 2018 MVC MVC Capital Inc Phillip Goldstein Sale 449,476 $9.41 $4,229,569

10 Oct 2018

0 5 Oct 2018 MVC MVC Capital Inc Phillip Goldstein Sale 65,957 $9.43 $621,975

5 Oct 2018

449,476 3 Oct 2018 MVC MVC Capital Inc Phillip Goldstein Sale 10,005 $9.51 $95,148

3 Oct 2018

515,433 1 Oct 2018 MVC MVC Capital Inc Phillip Goldstein Sale 18,855 $9.59 $180,819

1 Oct 2018

525,438 25 Sep 2018 MVC MVC Capital Inc Phillip Goldstein Sale 6,700 $9.75 $65,325

25 Sep 2018

544,293 21 Sep 2018 MVC MVC Capital Inc Phillip Goldstein Sale 8,802 $9.76 $85,908

21 Sep 2018

550,993 13 Jun 2017 MVC MVC Capital Inc Phillip Goldstein Sale 29,853 $9.82 $293,156

13 Jun 2017

941,448 28 Apr 2014 MVC MVC Capital Inc Phillip Goldstein Buy 16,980 $12.98 $220,400

28 Apr 2014

953,961 15 Apr 2014 MVC MVC Capital Inc Phillip Goldstein Buy 16,980 $13.13 $222,947

15 Apr 2014

936,981 11 Apr 2014 MVC MVC Capital Inc Phillip Goldstein Buy 16,389 $13.14 $215,351

11 Apr 2014

920,001 14 Mar 2014 MVC MVC Capital Inc Phillip Goldstein Buy 17,340 $13.18 $228,541

14 Mar 2014

971,301 14 Mar 2014 MVC MVC Capital Inc Phillip Goldstein Buy 17,340 $13.18 $228,541

14 Mar 2014

971,301 13 Sep 2013 MVC MVC Capital Inc Phillip Goldstein Buy 157,879 $12.70 $2,005,063

13 Sep 2013

903,612 11 Sep 2013 MVC MVC Capital Inc Phillip Goldstein Buy 17,182 $12.69 $218,040

11 Sep 2013

745,733 21 Aug 2013 MVC MVC Capital Inc Phillip Goldstein Buy 6,639 $12.30 $81,660

21 Aug 2013

728,551 19 Jun 2013 MVC MVC Capital Inc Phillip Goldstein Buy 37,671 $12.72 $479,175

19 Jun 2013

721,912 14 Jun 2013 MVC MVC Capital Inc Phillip Goldstein Buy 37,671 $12.65 $476,538

14 Jun 2013

684,241 12 Jun 2013 MVC MVC Capital Inc Phillip Goldstein Buy 3,420 $12.65 $43,263

12 Jun 2013

646,570 5 Jun 2013 MVC MVC Capital Inc Phillip Goldstein Buy 26,370 $12.69 $334,635

5 Jun 2013

643,150 31 May 2013 MVC MVC Capital Inc Phillip Goldstein Buy 37,671 $12.76 $480,682

31 May 2013

616,780 18 Apr 2013 MVC MVC Capital Inc Phillip Goldstein Buy 4,961 $12.60 $62,509

18 Apr 2013

579,109 17 Apr 2013 MVC MVC Capital Inc Phillip Goldstein Buy 13,803 $12.52 $172,814

17 Apr 2013

574,148 15 Apr 2013 MVC MVC Capital Inc Phillip Goldstein Buy 25,442 $12.59 $320,315

15 Apr 2013

560,345 20 Jun 2013 ASA ASA Gold and Precious Metals Ltd Phillip Goldstein

Director

Buy 1,500 $12.90 $19,350

20 Jun 2013

2,400