Goldstein Phillip's Form 4 filing
High Income Securities Fund (PCF) · filed Aug 17, 2021
- Accession no.
- 0001104659-21-107049
- Filed
- Aug 17, 2021
- Trade date
- Aug 13-16, 2021
- Filing delay
- 4 days
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions. Open-market sales total $300.9K. It was filed 4 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 13, 2021 | Common Stock | SSaleDisposed | −5,000 | $9.92 | −$49,600 | 53,439 | Direct | |
| Aug 13, 2021 | Common Stock | SSaleDisposed | −14,401 | $9.92 | −$142,857.92 | 39,038 | Direct | |
| Aug 16, 2021 | Common Stock | SSaleDisposed | −909 | $9.95 | −$9,044.55 | 38,129 | Direct | |
| Aug 16, 2021 | Common Stock | SSaleDisposed | −5,000 | $9.93 | −$49,650 | 33,129 | Direct | |
| Aug 16, 2021 | Common Stock | SSaleDisposed | −5,000 | $9.94 | −$49,700 | 28,129 | 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.