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Who

Phillip Goldstein

Secretary

Company insider

Files Form 4 as: Secretary, Total Return Securities Fund; Director and 10% owner and Other, High Income Securities Fund; Chairman and Secretary, Special Opportunities Fund; 10% owner, Mfs Investment Grade Municipal Trust; 10% owner, Mfs High Yield Municipal Trust; Director, Mexico Equity and Income Fund; Director, Mvc Capital; 10% owner, Herzfeld Credit Income Fund.

Every Form 4 they filed

In numbers

Trades disclosed
790
Buys
386
Sells
140
Bought
$41.6M
Sold
$24.4M
Companies
32
Companies where not an officer
30
First trade
5 Jan 2006
Last trade
8 Oct 2026
Last filed
13 Oct 2026

Companies traded

Where they are an officer
SWZ Total Return Securities FundDirector, Officer, Other · Funds, Shells & SPACs · last 8 Oct 202620 buys · 6 sells
SPE Special Opportunities FundDirector, Officer, Other · Funds, Shells & SPACs · last 5 Mar 202662 buys · 5 sells
Everywhere else they filed: board seats, 10% stakes, other companies
PCF High Income Securities FundDirector, 10% owner, Other · Funds, Shells & SPACs · last 20 Aug 202633 buys · 41 sells
Mfs Investment Grade Municipal Trust10% owner · last 23 Jan 20262 buys · 1 sell
Mfs High Yield Municipal Trust10% owner · last 20 Jan 20262 buys · 0 sells
MXE Mexico Equity and Income FundDirector · Funds, Shells & SPACs · last 15 Oct 20216 buys · 12 sells
Mvc CapitalDirector · last 23 Dec 202019 buys · 12 sells
HERZ Herzfeld Credit Income Fund10% owner · Funds, Shells & SPACs · last 17 Apr 20201 buy · 15 sells
Brookfield DTLA Fund Office Trust InvestorDirector · last 2 Jan 20191 buy · 0 sells
Alliance California Municipal Income Fund10% owner · last 4 Oct 20182 buys · 0 sells
AEF abrdn Emerging Markets ex-China Fund10% owner · Funds, Shells & SPACs · last 5 Dec 20170 buys · 1 sell
Jpmorgan China Region Fund10% owner · last 15 Sep 20175 buys · 0 sells
Korea Equity FundDirector, 10% owner · last 21 Jun 201713 buys · 0 sells
Crossroads CapitalDirector, 10% owner · last 7 Jun 20179 buys · 1 sell

Activity over time

1 Nov 2024 – 1 Oct 2026
205Nov 24May 25Nov 25Apr 26Oct 26

Buys above the line, sells below, each month.

Every trade

TradedCompanyWhatAmount
8 Oct 2026filed 13 Oct 2026SWZ Total Return Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$29K5,000 at $5.73filing
1 Oct 2026filed 13 Oct 2026SWZ Total Return Securities FundFunds, Shells & SPACsSEC FORM 4 Code L$8615 at $5.71filing
20 Aug 2026filed 21 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$27K5,000 at $5.34filing
20 Aug 2026filed 21 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$27K5,000 at $5.34filing
19 Aug 2026filed 21 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$54K10,000 at $5.40filing
19 Aug 2026filed 21 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$54K10,000 at $5.37filing
19 Aug 2026filed 21 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$54K10,000 at $5.40filing
19 Aug 2026filed 21 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$54K10,000 at $5.37filing
6 Aug 2026filed 10 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$4,341819 at $5.30filing
6 Aug 2026filed 10 Aug 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$4,341819 at $5.30filing
6 Jul 2026filed 8 Jul 2026SWZ Total Return Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$36K5,980 at $5.95filing
6 Jul 2026filed 8 Jul 2026SWZ Total Return Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$36K5,980 at $5.95filing
8 Apr 2026filed 9 Apr 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$3,318600 at $5.53filing
8 Apr 2026filed 9 Apr 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$3,318600 at $5.53filing
7 Apr 2026filed 9 Apr 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$28K5,088 at $5.45filing
7 Apr 2026filed 9 Apr 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$28K5,088 at $5.45filing
18 Mar 2026filed 19 Mar 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$98K17,905 at $5.46filing
18 Mar 2026filed 19 Mar 2026PCF High Income Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$98K17,905 at $5.46filing
18 Mar 2026filed 19 Mar 2026SWZ Total Return Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$60K10,000 at $5.98filing
18 Mar 2026filed 19 Mar 2026SWZ Total Return Securities FundFunds, Shells & SPACsSEC FORM 4 Bought$60K10,000 at $5.98filing

The newest 500 lines are listed; the numbers count every line.

News

No headline names them, or the companies they trade most, lately.

Sectors

Financials210
Not placed316

Buys in green, sells in red, by the company’s sector.

Related people

Moritz A. SellDirector · Director at Total Return Securities Fund, filing Form 4 there in the last year
Andrew DakosDirector · President and CEO at Total Return Securities Fund, filing Form 4 there in the last year
P Das RajeevSecretary · Secretary at Total Return Securities Fund, filing Form 4 there in the last year
Gerald HellermanDirector · Director at Total Return Securities Fund, filing Form 4 there in the last year
Blake NelsonCFO & Treasurer · Also traded NXG in the last 90 days
Jerry Swank VOfficer · Also traded NXG in the last 90 days
Saba Capital Management, L.P.10% owner · Also traded MXE in the last 90 days
Todd SunderlandOther role · Also traded NXG in the last 90 days