SPE

SPECIAL OPPORTUNITIES FUND, INC.CIK 897802 ☆ Sign in to watch Congress trades

Open-mkt buys · 90d

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0 trades · 0 insiders

Open-mkt sales · 90d

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0 trades · 0 insiders

Net · 90d

Insiders on file

AI insights for SPE PRO

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AI insights for SPE

Insider sentiment score with a plain-English explanation, conviction score on every buy, and how the stock performed 30 and 90 days after past insider buys.

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Daily buy vs sell · 90 days

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Insiders

Insider	Role	Trades	Bought	Sold	Last trade
Dakos Andrew	President and CEO	46	$187.7K	$160.4K	2026-06-03
GOLDSTEIN PHILLIP	Chairman and Secretary	129	$3.05M	$1.84M	2026-03-05
WALDEN CHARLES C	Director	17	$126.7K	$56.2K	2023-12-29
HELLERMAN GERALD	Director	58	$605.3K	$0	2022-04-06
Das Rajeev P	Vice President and Treasurer	4	$37.4K	$0	2022-04-05
Lunder Marc	Director	10	$103.7K	$0	2022-01-27
HARRIS BEN H	Director	15	$146.1K	$96.4K	2021-05-11
Samuels Steven	Other	5	$15.8K	$50.1K	2015-01-30
CHADWICK JAMES M	Director	1	$12.0K	$0	2012-10-11

Trade history

Insider	Role	Code	Trade	Filed	Shares	Price	Value	Owned after
Dakos Andrew	President and CEO	S Sale	2026-06-03	2026-06-04	5,184	$14.11	$73.1K	0	SEC↗
Dakos Andrew	President and CEO	S Sale	2026-06-03	2026-06-04	133	$14.07	$1.9K	0	SEC↗
Dakos Andrew	President and CEO	S Sale deriv	2026-06-02	2026-06-04	200	$25.00	$5.0K	0	SEC↗
Dakos Andrew	President and CEO	S Sale	2026-06-02	2026-06-04	1,077	$14.02	$15.1K	5,184	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2026-03-05	2026-03-09	3,952	$25.09	$99.2K	10,250	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	L Small acq deriv	2026-03-04	2026-03-09	100	$25.09	$2.5K	6,298	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	L Small acq deriv	2026-03-02	2026-03-09	100	$25.09	$2.5K	6,198	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2026-02-27	2026-03-02	5,821	$25.09	$146.0K	6,098	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2026-02-26	2026-03-02	27	$25.09	$677	277	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2026-02-24	2026-02-25	30	$25.09	$753	250	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2026-02-23	2026-02-25	100	$25.05	$2.5K	220	SEC↗
Dakos Andrew	President	S Sale	2025-12-30	2025-12-31	4,098	$14.66	$60.1K	6,064	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale deriv	2025-08-22	2025-08-25	3,000	$25.10	$75.3K	120	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2025-04-04	2025-04-08	3,000	$13.80	$41.4K	34,822	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale deriv	2024-10-15	2024-10-16	618	$23.50	$14.5K	3,120	SEC↗
Dakos Andrew	President	S Sale	2024-09-20	2024-09-23	377	$13.74	$5.2K	4,880	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale deriv	2023-12-29	2024-01-02	3,008	$22.90	$68.9K	3,738	SEC↗
WALDEN CHARLES C	Director	P Buy deriv	2023-12-29	2024-01-02	10	$22.70	$227	3,010	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale deriv	2023-12-28	2024-01-02	2,623	$22.85	$59.9K	6,746	SEC↗
WALDEN CHARLES C	Director	P Buy deriv	2023-12-28	2024-01-02	1,000	$22.85	$22.9K	3,000	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-12-28	2024-01-02	44	$11.75	$517	30,503	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-12-28	2024-01-02	1,319	$11.78	$15.5K	31,822	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-04-06	2023-04-07	5,000	$10.85	$54.3K	31,459	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-04-05	2023-04-07	2,400	$10.85	$26.0K	26,459	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-03-30	2023-03-31	1,568	$10.85	$17.0K	24,059	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-03-29	2023-03-31	675	$10.74	$7.2K	22,491	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-02-03	2023-02-07	2,000	$11.85	$23.7K	21,816	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2023-01-30	2023-02-01	2,000	$11.63	$23.3K	19,816	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-04-06	2022-04-07	1,000	$14.73	$14.7K	42,484	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-04-06	2022-04-07	1,000	$14.66	$14.7K	43,584	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-04-06	2022-04-07	100	$14.65	$1.5K	42,584	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-04-06	2022-04-07	2,000	$14.77	$29.5K	41,484	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-04-06	2022-04-07	1,500	$14.94	$22.4K	39,484	SEC↗
Dakos Andrew	President	D To issuer	2022-04-05	2022-04-07	154	$15.69	$2.4K	782	SEC↗
Dakos Andrew	President	D To issuer	2022-04-05	2022-04-07	968	$15.69	$15.2K	5,257	SEC↗
Dakos Andrew	President	D To issuer	2022-04-05	2022-04-07	2,016	$15.69	$31.6K	10,162	SEC↗
HELLERMAN GERALD	Director	D To issuer	2022-04-05	2022-04-07	5,333	$15.69	$83.7K	37,984	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	D To issuer	2022-04-05	2022-04-07	3,534	$15.69	$55.4K	17,816	SEC↗
WALDEN CHARLES C	Director	D To issuer	2022-04-05	2022-04-07	5,014	$15.69	$78.7K	25,271	SEC↗
Das Rajeev P	Vice President	D To issuer	2022-04-05	2022-04-08	513	$15.69	$8.0K	2,583	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2022-02-07	2022-02-09	2,000	$14.76	$29.5K	21,350	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-01-28	2022-01-28	68	$14.59	$992	42,786	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-01-28	2022-01-28	532	$14.50	$7.7K	43,318	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2022-01-27	2022-01-28	9,369	$25.00	$234.2K	9,369	SEC↗
WALDEN CHARLES C	Director	X Exercise deriv	2022-01-27	2022-01-28	2,000	$25.00	$50.0K	2,000	SEC↗
Lunder Marc	Director	X Exercise deriv	2022-01-27	2022-01-28	1,000	$25.00	$25.0K	1,000	SEC↗
Dakos Andrew	President	X Exercise deriv	2022-01-27	2022-01-28	200	$25.00	$5.0K	200	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-01-26	2022-01-28	785	$14.63	$11.5K	42,718	SEC↗
HELLERMAN GERALD	Director	P Buy	2022-01-26	2022-01-28	285	$14.72	$4.2K	41,933	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale	2021-12-16	2021-12-20	2,542	$15.55	$39.5K	19,350	SEC↗
HELLERMAN GERALD	Director	P Buy	2021-09-20	2021-09-21	824	$15.17	$12.5K	40,824	SEC↗
HELLERMAN GERALD	Director	P Buy	2021-09-20	2021-09-21	824	$15.17	$12.5K	40,000	SEC↗
HELLERMAN GERALD	Director	P Buy	2021-09-20	2021-09-21	824	$15.16	$12.5K	41,648	SEC↗
HELLERMAN GERALD	Director	P Buy	2021-07-19	2021-07-20	1,000	$15.00	$15.0K	39,175	SEC↗
Dakos Andrew	President	M Exercise deriv	2021-07-09	2021-07-14	156	—	$0	0	SEC↗
Dakos Andrew	President	M Exercise deriv	2021-07-09	2021-07-14	3,200	—	$0	0	SEC↗
Dakos Andrew	President	M Exercise deriv	2021-07-09	2021-07-14	966	—	$0	0	SEC↗
Dakos Andrew	President	M Exercise	2021-07-09	2021-07-14	303	—	$0	936	SEC↗
Dakos Andrew	President	M Exercise	2021-07-09	2021-07-14	6,257	—	$0	12,178	SEC↗
Dakos Andrew	President	M Exercise	2021-07-09	2021-07-14	1,889	—	$0	6,225	SEC↗
WALDEN CHARLES C	Director	M Exercise deriv	2021-06-24	2021-07-15	5,000	—	$0	0	SEC↗
WALDEN CHARLES C	Director	M Exercise	2021-06-24	2021-07-15	9,779	—	$0	30,285	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	M Exercise deriv	2021-06-24	2021-06-24	2,800	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	M Exercise	2021-06-24	2021-06-24	5,475	—	$0	21,892	SEC↗
Lunder Marc	Director	M Exercise deriv	2021-06-23	2021-06-29	700	—	$0	0	SEC↗
Lunder Marc	Director	M Exercise deriv	2021-06-23	2021-06-29	660	—	$0	0	SEC↗
Lunder Marc	Director	M Exercise	2021-06-23	2021-06-29	1,369	—	$0	4,869	SEC↗
Lunder Marc	Director	M Exercise	2021-06-23	2021-06-29	1,290	—	$0	4,590	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2021-06-07	2021-06-08	2,800	$30.05	$84.1K	2,800	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale	2021-06-07	2021-06-08	10,000	$15.43	$154.3K	16,417	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale	2021-06-04	2021-06-08	88,330	$15.32	$1.35M	26,417	SEC↗
HARRIS BEN H	Director	M Exercise deriv	2021-05-11	2021-05-12	400	—	$0	0	SEC↗
HARRIS BEN H	Director	M Exercise	2021-05-11	2021-05-12	771	—	$0	11,014	SEC↗
HARRIS BEN H	Director	M Exercise deriv	2021-05-05	2021-05-11	180	—	$0	0	SEC↗
HARRIS BEN H	Director	M Exercise	2021-05-05	2021-05-11	346	—	$0	3,061	SEC↗
HELLERMAN GERALD	Director	D To issuer deriv	2020-12-15	2020-12-17	350	$25.56	$8.9K	400	SEC↗
HELLERMAN GERALD	Director	D To issuer deriv	2020-12-15	2020-12-17	400	$25.53	$10.2K	0	SEC↗
HELLERMAN GERALD	Director	P Buy	2020-10-28	2020-10-28	2,000	$11.48	$23.0K	35,684	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2020-07-22	2020-07-23	5,000	$11.80	$59.0K	123,721	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2020-07-22	2020-08-18	5,000	$11.80	$59.0K	113,747	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2020-07-21	2020-07-23	5,000	$11.85	$59.3K	118,721	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2020-07-21	2020-08-18	5,000	$11.85	$59.3K	108,747	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2020-07-15	2020-07-16	11,405	$11.74	$133.9K	113,721	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2020-07-15	2020-07-16	1,431	$11.74	$16.8K	3,862	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale	2020-07-15	2020-08-18	4,987	$11.74	$58.5K	103,747	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	S Sale	2020-07-15	2020-08-18	1,431	$11.74	$16.8K	1,000	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2020-07-15	2020-08-18	6,418	$11.74	$75.3K	108,734	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	D To issuer deriv	2020-06-19	2020-06-23	842	$25.05	$21.1K	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	D To issuer deriv	2020-06-19	2020-06-23	2,213	$25.05	$55.4K	0	SEC↗
Dakos Andrew	President	P Buy deriv	2020-06-08	2020-06-10	1,000	$25.25	$25.3K	3,200	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	D To issuer deriv	2020-06-08	2020-06-10	16,564	$25.28	$418.7K	12,213	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	D To issuer deriv	2020-06-08	2020-06-10	10,000	$25.28	$252.8K	2,213	SEC↗
HELLERMAN GERALD	Director	P Buy	2020-04-03	2020-04-07	10	$8.70	$87	32,694	SEC↗
HELLERMAN GERALD	Director	P Buy	2020-04-03	2020-04-07	140	$8.75	$1.2K	33,684	SEC↗
HELLERMAN GERALD	Director	P Buy	2020-04-03	2020-04-07	220	$8.73	$1.9K	33,544	SEC↗
HELLERMAN GERALD	Director	P Buy	2020-04-03	2020-04-07	630	$8.71	$5.5K	33,324	SEC↗
HELLERMAN GERALD	CCO	P Buy	2020-03-09	2020-03-10	238	$12.49	$3.0K	32,353	SEC↗
HELLERMAN GERALD	CCO	P Buy	2020-03-09	2020-03-10	762	$12.55	$9.6K	32,115	SEC↗
Dakos Andrew	President	P Buy deriv	2020-02-28	2020-03-03	1,000	$25.60	$25.6K	2,200	SEC↗
Dakos Andrew	President	P Buy deriv	2020-02-28	2020-03-03	1,000	$25.60	$25.6K	2,200	SEC↗
Dakos Andrew	President	P Buy	2020-02-28	2020-03-03	1,000	$13.25	$13.3K	5,921	SEC↗
Dakos Andrew	President	P Buy	2020-02-28	2020-03-03	1,000	$13.25	$13.3K	5,921	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2020-02-21	2020-02-25	2,613	$25.75	$67.3K	28,777	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2020-02-14	2020-02-18	100	$25.75	$2.6K	26,164	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2020-02-13	2020-02-18	900	$25.75	$23.2K	26,064	SEC↗
HELLERMAN GERALD	CCO	P Buy	2019-07-25	2019-07-29	2,700	$13.98	$37.7K	29,483	SEC↗
HELLERMAN GERALD	CCO	P Buy	2019-05-23	2019-05-24	1,500	$13.31	$20.0K	26,992	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2019-03-19	2019-03-20	4,000	$13.36	$53.4K	107,291	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2019-02-08	2019-02-12	165	$24.88	$4.1K	25,164	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2019-01-28	2019-01-29	100	$12.63	$1.3K	103,291	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2019-01-28	2019-01-29	3,000	$12.68	$38.0K	103,191	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2019-01-15	2019-01-16	3,000	$12.49	$37.5K	100,091	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2019-01-15	2019-01-16	100	$12.48	$1.2K	100,191	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2019-01-08	2019-01-10	3,000	$24.90	$74.7K	24,999	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2019-01-04	2019-01-08	2,500	$24.90	$62.3K	21,999	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2019-01-03	2019-01-04	3,000	$24.90	$74.7K	19,499	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2019-01-03	2019-01-08	3,000	$24.90	$74.7K	19,499	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2019-01-02	2019-01-04	3	$11.75	$35	97,091	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-12-27	2018-12-31	3,000	$11.29	$33.9K	89,088	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-12-27	2018-12-31	3,000	$11.34	$34.0K	92,088	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-12-19	2019-01-04	5,000	$11.61	$58.0K	97,088	SEC↗
HELLERMAN GERALD	CCO	P Buy	2018-10-11	2018-10-11	1,000	$14.47	$14.5K	22,793	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-07-02	2018-07-03	2,407	$14.95	$36.0K	86,088	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-06-28	2018-07-02	93	$14.95	$1.4K	83,681	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-05-24	2018-05-25	3,000	$15.00	$45.0K	83,588	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-05-11	2018-05-15	186	$15.03	$2.8K	80,588	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-04-13	2018-04-17	3,000	$14.89	$44.7K	80,402	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-03-27	2018-03-29	2,500	$14.70	$36.8K	77,402	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-03-23	2018-03-26	3,000	$14.55	$43.6K	74,902	SEC↗
HELLERMAN GERALD	CCO	P Buy	2018-03-22	2018-03-22	1,000	$14.82	$14.8K	21,793	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-03-22	2018-03-26	630	$14.74	$9.3K	71,902	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-02-27	2018-03-01	1,000	$14.92	$14.9K	71,272	SEC↗
HELLERMAN GERALD	CCO	P Buy	2018-02-05	2018-02-07	5,200	$14.98	$77.9K	20,793	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2018-02-02	2018-02-06	1,000	$15.14	$15.1K	70,272	SEC↗
HELLERMAN GERALD	CCO	P Buy	2018-01-04	2018-01-08	2,000	$15.10	$30.2K	13,899	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2017-08-03	2017-08-04	1,596	$15.52	$24.8K	69,272	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2017-08-03	2017-08-07	1,596	$15.42	$24.6K	69,272	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	D To issuer	2017-08-01	2017-08-03	6	$15.41	$92	67,676	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2016-11-01	2016-11-02	3,000	$14.16	$42.5K	11,899	SEC↗
Dakos Andrew	President	D To issuer	2016-10-26	2016-10-31	139	$15.61	$2.2K	633	SEC↗
Dakos Andrew	President	D To issuer	2016-10-26	2016-10-31	1,079	$15.61	$16.8K	4,921	SEC↗
Dakos Andrew	President	D To issuer	2016-10-26	2016-10-31	951	$15.61	$14.8K	4,336	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	D To issuer	2016-10-26	2016-10-31	14,830	$15.61	$231.5K	67,670	SEC↗
HELLERMAN GERALD	CCO and CFO	D To issuer	2016-10-26	2016-10-31	2,321	$15.61	$36.2K	8,899	SEC↗
WALDEN CHARLES C	Director	D To issuer	2016-10-26	2016-10-31	4,494	$15.61	$70.2K	20,506	SEC↗
HARRIS BEN H	Director	X Exercise deriv	2016-09-08	2016-09-12	180	$25.00	$4.5K	580	SEC↗
HARRIS BEN H	Director	X Exercise deriv	2016-09-08	2016-09-12	400	$25.00	$10.0K	580	SEC↗
Dakos Andrew	President	X Exercise deriv	2016-09-08	2016-09-13	156	$25.00	$3.9K	156	SEC↗
Dakos Andrew	President	X Exercise deriv	2016-09-08	2016-09-13	1,200	$25.00	$30.0K	1,200	SEC↗
Dakos Andrew	President	X Exercise deriv	2016-09-08	2016-09-13	966	$25.00	$24.1K	966	SEC↗
HELLERMAN GERALD	CCO	X Exercise deriv	2016-08-26	2016-08-30	750	—	$0	0	SEC↗
HELLERMAN GERALD	CCO	X Exercise deriv	2016-08-26	2016-08-30	750	$25.00	$18.8K	750	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2016-08-26	2016-08-30	16,499	$25.00	$412.5K	16,499	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2016-08-26	2016-08-30	842	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2016-08-26	2016-08-30	16,499	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2016-08-26	2016-08-30	842	$25.00	$21.1K	842	SEC↗
HELLERMAN GERALD	CCO	X Exercise deriv	2016-08-26	2016-08-31	750	$25.00	$18.8K	750	SEC↗
HELLERMAN GERALD	CCO	X Exercise deriv	2016-08-26	2016-08-31	750	—	$0	0	SEC↗
HELLERMAN GERALD	CCO	X Exercise deriv	2016-08-26	2016-08-31	750	$25.00	$18.8K	750	SEC↗
HELLERMAN GERALD	CCO	X Exercise deriv	2016-08-26	2016-08-31	750	—	$0	0	SEC↗
Lunder Marc	Director	X Exercise deriv	2016-08-26	2016-08-31	1,360	$25.00	$34.0K	1,360	SEC↗
Lunder Marc	Director	X Exercise deriv	2016-08-26	2016-08-31	1,360	—	$0	0	SEC↗
WALDEN CHARLES C	Director	X Exercise deriv	2016-08-26	2016-09-06	5,000	—	$0	0	SEC↗
WALDEN CHARLES C	Director	X Exercise deriv	2016-08-26	2016-09-06	5,000	$25.00	$125.0K	5,000	SEC↗
HARRIS BEN H	Director	X Exercise deriv	2016-08-26	2016-09-12	400	—	$0	0	SEC↗
HARRIS BEN H	Director	X Exercise deriv	2016-08-26	2016-09-12	180	—	$0	0	SEC↗
Dakos Andrew	President	X Exercise deriv	2016-08-26	2016-09-13	156	—	$0	0	SEC↗
Dakos Andrew	President	X Exercise deriv	2016-08-26	2016-09-13	966	—	$0	0	SEC↗
Dakos Andrew	President	X Exercise deriv	2016-08-26	2016-09-13	1,200	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-06-03	2016-06-03	1	$13.50	$14	82,500	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-06-02	2016-06-03	752	$13.50	$10.2K	82,499	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-06-01	2016-06-03	908	$13.50	$12.3K	81,747	SEC↗
WALDEN CHARLES C	Director	P Buy	2016-04-01	2016-04-04	4,449	$13.10	$58.3K	25,000	SEC↗
WALDEN CHARLES C	Director	S Sale	2016-04-01	2016-04-04	4,303	$13.06	$56.2K	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-04-01	2016-04-05	4,000	$13.06	$52.2K	4,213	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-03-03	2016-03-04	100	$12.52	$1.3K	80,839	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-03-02	2016-03-04	100	$12.47	$1.2K	80,739	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2016-03-01	2016-03-04	971	$12.45	$12.1K	9,388	SEC↗
Dakos Andrew	President	P Buy	2016-02-03	2016-02-04	2,000	$12.46	$24.9K	6,000	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-01-06	2016-01-07	2,500	$12.95	$32.4K	80,884	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-01-06	2016-03-04	2,500	$12.95	$32.4K	80,639	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2016-01-05	2016-03-04	245	$13.03	$3.2K	78,139	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2016-01-04	2016-01-04	1,500	$13.05	$19.6K	11,220	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	J Other	2015-12-08	2015-12-10	11,304	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	J Other	2015-12-08	2015-12-10	13,969	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	J Other	2015-12-08	2015-12-10	13,000	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-12-02	2015-12-03	3,000	$14.50	$43.5K	77,894	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-12-02	2015-12-03	5,000	$14.41	$72.0K	74,894	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-11-04	2015-11-19	3,200	$14.56	$46.6K	13,000	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-11-03	2015-11-04	1,867	$14.55	$27.2K	69,894	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-11-03	2015-11-19	800	$14.56	$11.6K	9,800	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-11-02	2015-11-04	3,133	$14.55	$45.6K	68,027	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-10-02	2015-11-19	1,900	$14.05	$26.7K	13,969	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-10-01	2015-11-19	3,000	$14.11	$42.3K	9,000	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2015-08-25	2015-08-25	1,500	$14.28	$21.4K	10,720	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2015-08-19	2015-08-19	1,000	$14.85	$14.8K	9,220	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2015-08-07	2015-08-10	1,000	$15.02	$15.0K	8,220	SEC↗
HARRIS BEN H	Director	P Buy	2015-06-08	2015-06-11	6,201	$15.54	$96.4K	6,201	SEC↗
HARRIS BEN H	Director	S Sale	2015-06-08	2015-06-11	6,201	$15.54	$96.4K	0	SEC↗
HARRIS BEN H	Director	P Buy	2015-06-03	2015-06-11	2,200	$15.54	$34.2K	6,757	SEC↗
HARRIS BEN H	Director	P Buy	2015-06-02	2015-06-11	1,000	$15.50	$15.5K	4,557	SEC↗
Dakos Andrew	President	P Buy	2015-02-02	2015-02-03	3,800	$14.95	$56.8K	3,800	SEC↗
Dakos Andrew	President	P Buy	2015-02-02	2015-02-03	200	$14.94	$3.0K	4,000	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-01-30	2015-02-02	3,000	$14.92	$44.8K	6,000	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-01-30	2015-02-02	2,500	$14.92	$37.3K	12,069	SEC↗
Samuels Steven	Other	S Sale	2015-01-30	2015-02-02	500	$14.91	$7.5K	0	SEC↗
Samuels Steven	Other	S Sale	2015-01-30	2015-02-02	2,875	$14.84	$42.7K	500	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-01-29	2015-02-02	3,000	$14.98	$44.9K	64,894	SEC↗
WALDEN CHARLES C	Director	P Buy	2015-01-20	2015-01-21	2,000	$15.19	$30.4K	20,551	SEC↗
Das Rajeev P	Vice President and Treasurer	J Other	2015-01-16	2015-04-14	271	$15.39	$4.2K	3,096	SEC↗
Lunder Marc	Director	P Buy	2015-01-14	2015-01-15	3,100	$15.24	$47.2K	3,300	SEC↗
Lunder Marc	Director	P Buy	2015-01-07	2015-01-08	3,500	$15.27	$53.4K	3,500	SEC↗
Lunder Marc	Director	P Buy	2015-01-07	2015-01-08	200	$15.30	$3.1K	200	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2015-01-05	2016-01-07	245	$13.03	$3.2K	78,139	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2014-12-24	2014-12-29	2,699	$15.19	$41.0K	61,894	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2014-12-23	2014-12-24	2,000	$15.20	$30.4K	9,569	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2014-12-23	2014-12-24	3,000	$15.21	$45.6K	3,000	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2014-12-23	2014-12-24	3,000	$15.18	$45.5K	56,894	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2014-12-23	2014-12-24	2,301	$15.19	$35.0K	59,195	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2014-12-22	2014-12-24	3,000	$15.23	$45.7K	53,894	SEC↗
HELLERMAN GERALD	CCO and CFO	C Conversion deriv	2014-02-27	2014-02-27	225	—	$0	225	SEC↗
HELLERMAN GERALD	CCO and CFO	C Conversion deriv	2014-02-27	2014-02-27	500	—	$0	500	SEC↗
HELLERMAN GERALD	CCO and CFO	C Conversion	2014-02-27	2014-02-27	836	—	$0	7,220	SEC↗
HELLERMAN GERALD	CCO and CFO	C Conversion	2014-02-27	2014-02-27	1,858	—	$0	7,028	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2014-02-26	2014-02-27	900	$16.00	$14.4K	5,170	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion deriv	2014-02-25	2014-02-26	516	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion deriv	2014-02-25	2014-02-26	859	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion deriv	2014-02-25	2014-02-26	22	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion deriv	2014-02-25	2014-02-26	3,671	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion	2014-02-25	2014-02-26	1,917	—	$0	7,569	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion	2014-02-25	2014-02-26	13,641	—	$0	50,894	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion	2014-02-25	2014-02-26	81	—	$0	213	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	C Conversion	2014-02-25	2014-02-26	3,192	—	$0	11,304	SEC↗
Dakos Andrew	President	C Conversion deriv	2014-02-20	2015-01-07	1,154	—	$0	0	SEC↗
Dakos Andrew	President	C Conversion	2014-02-20	2015-01-07	4,287	—	$0	5,287	SEC↗
Dakos Andrew	President	C Conversion deriv	2014-02-20	2014-02-28	208	—	$0	0	SEC↗
Dakos Andrew	President	C Conversion deriv	2014-02-20	2014-02-28	1,154	—	$0	0	SEC↗
Dakos Andrew	President	C Conversion	2014-02-20	2014-02-28	3,827	—	$0	4,827	SEC↗
Dakos Andrew	President	C Conversion	2014-02-20	2014-02-28	772	—	$0	772	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	J Other	2014-01-24	2014-02-03	935	$16.90	$15.8K	8,112	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	J Other	2014-01-24	2014-02-03	652	$16.90	$11.0K	5,652	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	J Other	2014-01-24	2014-02-03	15	$16.90	$253	132	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	J Other	2014-01-24	2014-02-03	4,295	$16.90	$72.6K	37,253	SEC↗
Das Rajeev P	Vice President and Treasurer	J Other	2014-01-24	2014-02-18	325	$16.90	$5.5K	2,825	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2013-12-26	2014-01-07	1,000	$16.97	$17.0K	6,384	SEC↗
HELLERMAN GERALD	CCO and CFO	P Buy	2013-05-01	2013-05-02	2,000	$17.08	$34.2K	4,250	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2013-03-22	2013-03-25	662	$52.50	$34.8K	3,671	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy deriv	2013-02-25	2013-02-26	20	$52.30	$1.0K	3,009	SEC↗
Das Rajeev P	VP and Treasurer	P Buy	2012-12-26	2012-12-27	2,500	$14.97	$37.4K	2,500	SEC↗
CHADWICK JAMES M	Director	P Buy	2012-10-11	2012-10-11	750	$15.94	$12.0K	750	SEC↗
Samuels Steven	Other	P Buy	2012-09-17	2012-11-16	1,000	$15.77	$15.8K	3,360	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2012-08-31	2012-09-04	2,896	$15.22	$44.1K	32,958	SEC↗
Samuels Steven	Other	X Exercise deriv	2012-07-30	2012-11-16	165	—	$0	0	SEC↗
Samuels Steven	Other	X Exercise deriv	2012-07-30	2012-11-16	400	$50.00	$20.0K	400	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2012-07-30	2012-07-31	1,450	—	$0	2,989	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2012-07-30	2012-07-31	2,989	$50.00	$149.4K	2,989	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2012-07-30	2012-07-31	11	—	$0	22	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	X Exercise deriv	2012-07-30	2012-07-31	22	$50.00	$1.1K	22	SEC↗
WALDEN CHARLES C	Director	X Exercise deriv	2012-07-30	2012-07-31	413	$50.00	$20.6K	413	SEC↗
WALDEN CHARLES C	Director	X Exercise deriv	2012-07-30	2012-07-31	200	—	$0	413	SEC↗
WALDEN CHARLES C	Director	X Exercise deriv	2012-07-30	2012-07-31	1,654	$50.00	$82.7K	1,654	SEC↗
WALDEN CHARLES C	Director	X Exercise deriv	2012-07-30	2012-07-31	1,035	—	$0	1,654	SEC↗
Dakos Andrew	President	X Exercise deriv	2012-07-30	2012-08-01	208	$50.00	$10.4K	208	SEC↗
Dakos Andrew	President	X Exercise deriv	2012-07-30	2012-08-01	560	—	$0	0	SEC↗
Dakos Andrew	President	X Exercise deriv	2012-07-30	2012-08-01	1,154	$50.00	$57.7K	1,154	SEC↗
Dakos Andrew	President	X Exercise deriv	2012-07-30	2012-08-01	100	—	$0	0	SEC↗
HARRIS BEN H	Director	J Other deriv	2012-07-09	2012-07-11	207	$0.65	$135	207	SEC↗
HARRIS BEN H	Director	X Exercise deriv	2012-07-09	2012-07-11	207	$50.00	$10.3K	207	SEC↗
HARRIS BEN H	Director	X Exercise deriv	2012-07-09	2012-07-11	207	—	$0	0	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2012-07-06	2012-07-09	10,000	$14.94	$149.4K	29,501	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2012-07-06	2012-07-09	561	$14.89	$8.4K	30,062	SEC↗
Dakos Andrew	President	J Other deriv	2012-07-05	2012-07-06	100	$0.85	$85	100	SEC↗
Dakos Andrew	President	J Other deriv	2012-07-03	2012-07-06	60	$0.89	$53	60	SEC↗
Dakos Andrew	President	J Other deriv	2012-07-03	2012-07-06	400	$0.84	$336	500	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	X Exercise deriv	2012-06-29	2012-06-29	100	—	$0	0	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	X Exercise deriv	2012-06-29	2012-06-29	100	$50.00	$5.0K	100	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	P Buy	2012-06-29	2012-06-29	280	$15.15	$4.2K	750	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	P Buy	2012-06-29	2012-06-29	5	$15.11	$76	750	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	X Exercise deriv	2012-06-27	2012-06-29	225	$50.00	$11.3K	225	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	X Exercise deriv	2012-06-27	2012-06-29	225	—	$0	0	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	X Exercise deriv	2012-06-27	2012-06-29	500	—	$0	0	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	X Exercise deriv	2012-06-27	2012-06-29	500	$50.00	$25.0K	500	SEC↗
HELLERMAN GERALD	Chief Compliance Officer & C	P Buy	2012-06-27	2012-06-29	730	$15.10	$11.0K	4,270	SEC↗
GOLDSTEIN PHILLIP	Chairman and Secretary	P Buy	2012-06-25	2012-06-26	5,000	$15.01	$75.0K	19,501	SEC↗
WALDEN CHARLES C	Director	P Buy	2012-06-01	2012-06-05	1,000	$14.98	$15.0K	12,355	SEC↗