Goldstein Phillip's Form 4 filing
High Income Securities Fund (PCF) · filed Aug 5, 2021
- Accession no.
- 0001104659-21-100822
- Filed
- Aug 5, 2021
- Trade date
- Aug 3-4, 2021
- Filing delay
- 2 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 8 non-derivative transactions. Open-market sales total $230.2K. It was filed 2 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Goldstein PhillipCIK 0001067621 | Director |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Aug 3, 2021 | Common Stock | SSaleDisposed | −1,641 | $9.86 | −$16,180.26 | 162,065 | Direct | |
| Aug 3, 2021 | Common Stock | SSaleDisposed | −5,000 | $9.86 | −$49,300 | 157,065 | Direct | |
| Aug 3, 2021 | Common Stock | SSaleDisposed | −5,827 | $9.87 | −$57,512.49 | 151,238 | Direct | |
| Aug 4, 2021 | Common Stock | SSaleDisposed | −3,119 | $9.85 | −$30,722.15 | 148,119 | Direct | |
| Aug 4, 2021 | Common Stock | SSaleDisposed | −1,142 | $9.86 | −$11,260.12 | 146,977 | Direct | |
| Aug 4, 2021 | Common Stock | SSaleDisposed | −501 | $9.87 | −$4,944.87 | 146,476 | Direct | |
| Aug 4, 2021 | Common Stock | SSaleDisposed | −1,112 | $9.88 | −$10,986.56 | 145,364 | Direct | |
| Aug 4, 2021 | Common Stock | SSaleDisposed | −5,000 | $9.85 | −$49,250 | 140,364 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.