HELLERMAN GERALD
Insider CIK 1222911 · MVC Director · IFT Director · PCF Director · SWZ Director · SPE Chief Compliance Officer & CFO, Director
Trades across companies
| Ticker | Code | Trade | Filed | Shares | Price | Value | Owned after | |
|---|---|---|---|---|---|---|---|---|
| SWZ Total Return Securities Fu | D To issuer | 2026-01-23 | 2026-01-27 | 1,755 | $6.81 | $12.0K | 3,527 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | S Sale | 2025-04-02 | 2025-04-03 | 41 | $9.24 | $379 | 5,283 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2024-12-26 | 2024-12-30 | 259 | $6.47 | $1.7K | 37,000 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2024-12-19 | 2024-12-23 | 2,000 | $6.34 | $12.7K | 37,259 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2024-12-17 | 2024-12-18 | 2,525 | $6.50 | $16.4K | 35,259 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2024-12-17 | 2024-12-18 | 6,409 | $6.50 | $41.7K | 20,734 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2024-12-17 | 2024-12-18 | 12,000 | $6.60 | $79.2K | 32,734 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2024-12-16 | 2024-12-18 | 5,000 | $6.69 | $33.5K | 9,325 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2024-12-16 | 2024-12-18 | 5,000 | $6.63 | $33.1K | 14,325 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2024-12-12 | 2024-12-16 | 38,142 | $7.07 | $269.7K | 4,325 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | M Exercise | 2024-08-15 | 2024-08-19 | 2,441 | $6.48 | $15.8K | 42,467 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2024-06-04 | 2024-06-06 | 100 | $6.81 | $681 | 40,026 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-04-06 | 2022-04-07 | 1,000 | $14.73 | $14.7K | 42,484 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-04-06 | 2022-04-07 | 1,000 | $14.66 | $14.7K | 43,584 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-04-06 | 2022-04-07 | 100 | $14.65 | $1.5K | 42,584 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-04-06 | 2022-04-07 | 2,000 | $14.77 | $29.5K | 41,484 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-04-06 | 2022-04-07 | 1,500 | $14.94 | $22.4K | 39,484 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer | 2022-04-05 | 2022-04-07 | 5,333 | $15.69 | $83.7K | 37,984 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2022-03-02 | 2022-03-03 | 498 | $8.84 | $4.4K | 5,324 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2022-03-02 | 2022-03-03 | 235 | $8.85 | $2.1K | 4,826 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2022-03-02 | 2022-03-03 | 267 | $8.87 | $2.4K | 4,591 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-01-28 | 2022-01-28 | 68 | $14.59 | $992 | 42,786 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-01-28 | 2022-01-28 | 532 | $14.50 | $7.7K | 43,318 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-01-26 | 2022-01-28 | 785 | $14.63 | $11.5K | 42,718 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2022-01-26 | 2022-01-28 | 285 | $14.72 | $4.2K | 41,933 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2022-01-21 | 2022-01-24 | 700 | $8.28 | $5.8K | 32,035 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | M Exercise | 2021-11-02 | 2021-11-03 | 19,072 | $8.36 | $159.4K | 30,778 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2021-09-20 | 2021-09-21 | 824 | $15.17 | $12.5K | 40,824 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2021-09-20 | 2021-09-21 | 824 | $15.17 | $12.5K | 40,000 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2021-09-20 | 2021-09-21 | 824 | $15.16 | $12.5K | 41,648 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | S Sale | 2021-09-17 | 2021-09-20 | 9,000 | $10.00 | $90.0K | 11,012 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2021-07-19 | 2021-07-20 | 1,000 | $15.00 | $15.0K | 39,175 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | M Exercise | 2021-02-02 | 2021-02-04 | 11,183 | $8.24 | $92.1K | 19,234 | SEC↗ |
| MVC MVC CAPITAL, INC. | D To issuer | 2020-12-23 | 2020-12-23 | 68,000 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer deriv | 2020-12-15 | 2020-12-17 | 350 | $25.56 | $8.9K | 400 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer deriv | 2020-12-15 | 2020-12-17 | 400 | $25.53 | $10.2K | 0 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2020-10-30 | 2020-11-02 | 1,900 | $7.25 | $13.8K | 7,776 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2020-10-30 | 2020-11-02 | 100 | $7.24 | $724 | 5,876 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-10-28 | 2020-10-28 | 2,000 | $11.48 | $23.0K | 35,684 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2020-09-11 | 2020-09-15 | 50 | $8.26 | $413 | 5,776 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-04-03 | 2020-04-03 | 1,000 | $6.90 | $6.9K | 4,067 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2020-04-03 | 2020-04-06 | 1,000 | $5.91 | $5.9K | 5,432 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-04-03 | 2020-04-07 | 10 | $8.70 | $87 | 32,694 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-04-03 | 2020-04-07 | 140 | $8.75 | $1.2K | 33,684 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-04-03 | 2020-04-07 | 220 | $8.73 | $1.9K | 33,544 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-04-03 | 2020-04-07 | 630 | $8.71 | $5.5K | 33,324 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-03-09 | 2020-03-10 | 238 | $12.49 | $3.0K | 32,353 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2020-03-09 | 2020-03-10 | 762 | $12.55 | $9.6K | 32,115 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2020-02-27 | 2020-03-02 | 1,000 | $8.00 | $8.0K | 3,057 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2019-10-23 | 2019-10-24 | 1,750 | $8.48 | $14.8K | 4,250 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-10-08 | 2019-10-09 | 1,000 | $7.93 | $7.9K | 2,041 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2019-10-08 | 2019-10-09 | 1,000 | $8.46 | $8.5K | 2,500 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2019-10-08 | 2019-10-10 | 1,000 | $8.88 | $8.9K | 68,000 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | P Buy | 2019-10-03 | 2019-10-04 | 1,500 | $8.52 | $12.8K | 1,500 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2019-09-30 | 2019-10-01 | 1,649 | $8.97 | $14.8K | 66,649 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2019-09-30 | 2019-10-01 | 322 | $8.97 | $2.9K | 66,971 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2019-09-30 | 2019-10-01 | 29 | $8.95 | $260 | 67,000 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-08-02 | 2019-08-02 | 1,000 | $8.00 | $8.0K | 1,041 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | P Buy | 2019-08-02 | 2019-08-05 | 1,000 | $8.00 | $8.0K | 1,041 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-07-25 | 2019-07-29 | 2,700 | $13.98 | $37.7K | 29,483 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2019-05-23 | 2019-05-24 | 1,500 | $13.31 | $20.0K | 26,992 | SEC↗ |
| PCF HIGH INCOME SECURITIES FUN | D To issuer | 2019-03-19 | 2019-03-20 | 1,178 | $9.25 | $10.9K | 0 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | D To issuer | 2018-11-20 | 2018-11-23 | 691 | $7.86 | $5.4K | 41 | SEC↗ |
| SWZ SWISS HELVETIA FUND, INC. | J Other | 2018-10-19 | 2018-10-23 | 232 | — | $0 | 732 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-10-11 | 2018-10-11 | 1,000 | $14.47 | $14.5K | 22,793 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2018-03-26 | 2018-03-28 | 527 | $9.97 | $5.3K | 65,000 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2018-03-26 | 2018-03-28 | 473 | $9.99 | $4.7K | 64,473 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-03-22 | 2018-03-22 | 1,000 | $14.82 | $14.8K | 21,793 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2018-03-14 | 2018-03-16 | 1,000 | $10.00 | $10.0K | 64,000 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-02-05 | 2018-02-07 | 5,200 | $14.98 | $77.9K | 20,793 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2018-01-04 | 2018-01-08 | 2,000 | $15.10 | $30.2K | 13,899 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2016-11-01 | 2016-11-02 | 3,000 | $14.16 | $42.5K | 11,899 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | D To issuer | 2016-10-26 | 2016-10-31 | 2,321 | $15.61 | $36.2K | 8,899 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2016-08-26 | 2016-08-30 | 750 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2016-08-26 | 2016-08-30 | 750 | $25.00 | $18.8K | 750 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2016-08-26 | 2016-08-31 | 750 | $25.00 | $18.8K | 750 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2016-08-26 | 2016-08-31 | 750 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2016-08-26 | 2016-08-31 | 750 | $25.00 | $18.8K | 750 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2016-08-26 | 2016-08-31 | 750 | — | $0 | 0 | SEC↗ |
| EMG EMERGENT CAPITAL, INC. | A Award | 2016-06-02 | 2016-06-03 | 7,672 | — | $0 | 28,449 | SEC↗ |
| EMG EMERGENT CAPITAL, INC. | P Buy | 2016-03-28 | 2016-03-29 | 5,000 | $3.90 | $19.5K | 31,875 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2016-03-01 | 2016-03-04 | 971 | $12.45 | $12.1K | 9,388 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2016-01-04 | 2016-01-04 | 1,500 | $13.05 | $19.6K | 11,220 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2015-08-25 | 2015-08-25 | 1,500 | $14.28 | $21.4K | 10,720 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2015-08-19 | 2015-08-19 | 1,000 | $14.85 | $14.8K | 9,220 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2015-08-07 | 2015-08-10 | 1,000 | $15.02 | $15.0K | 8,220 | SEC↗ |
| IFT IMPERIAL HOLDINGS, INC. | M Exercise deriv | 2015-06-24 | 2015-06-26 | 5,284 | — | $0 | 0 | SEC↗ |
| IFT IMPERIAL HOLDINGS, INC. | M Exercise deriv | 2015-06-24 | 2015-06-26 | 5,375 | — | $0 | 0 | SEC↗ |
| IFT IMPERIAL HOLDINGS, INC. | M Exercise | 2015-06-24 | 2015-06-26 | 5,375 | $5.75 | $30.9K | 26,875 | SEC↗ |
| IFT IMPERIAL HOLDINGS, INC. | M Exercise | 2015-06-24 | 2015-06-26 | 5,284 | $5.75 | $30.4K | 20,777 | SEC↗ |
| IFT IMPERIAL HOLDINGS, INC. | A Award | 2015-05-28 | 2015-05-29 | 4,854 | — | $0 | 15,493 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2014-09-29 | 2014-09-30 | 1,750 | $10.78 | $18.9K | 63,000 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2014-09-18 | 2014-09-19 | 1,250 | $11.55 | $14.4K | 61,250 | SEC↗ |
| IFT Imperial Holdings, Inc. | A Award | 2014-06-05 | 2014-06-09 | 4,830 | — | $0 | 10,639 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2014-03-14 | 2014-03-14 | 1,500 | $13.40 | $20.1K | 60,000 | SEC↗ |
| IFT Imperial Holdings, Inc. | P Buy | 2014-03-13 | 2014-03-17 | 5,000 | $5.60 | $28.0K | 21,500 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | C Conversion deriv | 2014-02-27 | 2014-02-27 | 225 | — | $0 | 225 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | C Conversion deriv | 2014-02-27 | 2014-02-27 | 500 | — | $0 | 500 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | C Conversion | 2014-02-27 | 2014-02-27 | 836 | — | $0 | 7,220 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | C Conversion | 2014-02-27 | 2014-02-27 | 1,858 | — | $0 | 7,028 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2014-02-26 | 2014-02-27 | 900 | $16.00 | $14.4K | 5,170 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2013-12-26 | 2014-01-07 | 1,000 | $16.97 | $17.0K | 6,384 | SEC↗ |
| PIF SPECIAL OPPORTUNITIES FUND | P Buy | 2013-08-21 | 2013-08-22 | 1,000 | $17.05 | $17.1K | 5,250 | SEC↗ |
| IFT Imperial Holdings, Inc. | A Award | 2013-06-06 | 2013-06-07 | 2,881 | — | $0 | 5,809 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2013-05-01 | 2013-05-02 | 2,000 | $17.08 | $34.2K | 4,250 | SEC↗ |
| IFT Imperial Holdings, Inc. | A Award | 2013-04-01 | 2013-04-03 | 2,928 | — | $0 | 2,928 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2013-01-07 | 2014-02-25 | 1,537 | $12.15 | $18.7K | 58,500 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2013-01-07 | 2013-01-08 | 1,537 | $12.15 | $18.7K | 57,500 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2012-06-29 | 2012-06-29 | 100 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2012-06-29 | 2012-06-29 | 100 | $50.00 | $5.0K | 100 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2012-06-29 | 2012-06-29 | 280 | $15.15 | $4.2K | 750 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2012-06-29 | 2012-06-29 | 5 | $15.11 | $76 | 750 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2012-06-27 | 2012-06-29 | 225 | $50.00 | $11.3K | 225 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2012-06-27 | 2012-06-29 | 225 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2012-06-27 | 2012-06-29 | 500 | — | $0 | 0 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | X Exercise deriv | 2012-06-27 | 2012-06-29 | 500 | $50.00 | $25.0K | 500 | SEC↗ |
| SPE SPECIAL OPPORTUNITIES FUND | P Buy | 2012-06-27 | 2012-06-29 | 730 | $15.10 | $11.0K | 4,270 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2012-06-13 | 2012-06-14 | 1,000 | $12.53 | $12.5K | 56,964 | SEC↗ |
| MVC MVC CAPITAL, INC. | S Sale | 2012-06-13 | 2012-06-14 | 1 | $12.46 | $7 | 56,963 | SEC↗ |
| MVC MVC CAPITAL, INC. | P Buy | 2012-01-17 | 2012-01-19 | 1,000 | $12.00 | $12.0K | 55,964 | SEC↗ |