person · Reporting owner

GOLDSTEIN PHILLIP

Disclosed activity across 30 companies

Tapewire entity: 21048
SEC CIK: 0001067621

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ADAMS NATURAL RESOURCES FUND, INC.PEO · Entity 5103	10% owner · See Explanation of Response	July 02, 2020	July 09, 2020
BNY MELLON MUNICIPAL INCOME, INC.DMF · Entity 11293	Director	June 12, 2024	June 21, 2024
Brookfield DTLA Fund Office Trust Investor Inc.DTLA PR · Entity 158776	Director	December 31, 2018	March 30, 2019
CROSSROADS CAPITAL, INC.XRDC · Entity 175375	Director · 10% owner	June 07, 2017	June 08, 2017
FIRST TRUST DIVIDEND & INCOME FUNDFAV · Entity 181564	10% owner	October 19, 2016	October 21, 2016
HIGH INCOME SECURITIES FUNDPCF · Entity 6747	Director · Affiliate of the Adviser	August 19, 2026	August 21, 2026
JPMORGAN CHINA REGION FUND, INC.JFC · Entity 171078	10% owner	September 15, 2017	September 19, 2017
KOREA EQUITY FUND INCKEF · Entity 175017	10% owner	June 20, 2017	June 22, 2017
Logan Ridge Finance Corp.LRFC · Entity 77418	10% owner	March 13, 2025	April 03, 2025
MEXICO EQUITY & INCOME FUND INCMXE · Entity 7114	Director	October 15, 2021	October 18, 2021
MFS INVESTMENT GRADE MUNICIPAL TRUSTCXH · Entity 12806	10% owner	February 24, 2026	February 26, 2026
Nuveen Global Equity Income FundJGV · Entity 181700	10% owner	September 28, 2016	September 30, 2016
Nuveen Long/Short Commodity Total Return FundCTF · Entity 180459	10% owner	December 08, 2016	December 12, 2016
PACHOLDER HIGH YIELD FUND INCPHF · Entity 12396	10% owner	July 07, 2017	July 11, 2017
SPECIAL OPPORTUNITIES FUND, INC.SPE · Entity 6548	Director · Chairman and Secretary · Affiliate of the Adviser	March 02, 2026	March 09, 2026
TG Venture Acquisition Corp.TGVC · Entity 108563	10% owner	August 14, 2023	September 20, 2023
TORTOISE ENERGY INDEPENDENCE FUND, INC.NDP · Entity 84717	10% owner	April 30, 2021	May 10, 2021
Total Return Securities FundSWZ · Entity 8820	Director · Secretary · Affiliate of the Adviser	October 01, 2026	October 13, 2026
WESTERN ASSET CORPORATE LOAN FUND INC.TLI · Entity 16378	10% owner	February 28, 2020	March 06, 2020
abrdn Emerging Markets ex-China Fund, Inc.CH · Entity 5686	10% owner	December 05, 2017	December 07, 2017

Disclosed balances

About these balances

Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.

ADAMS NATURAL RESOURCES FUND, INC.

Report date July 02, 2020 · Filed July 09, 2020

Jointly reported with Bulldog Investors, LLP, Dakos Andrew

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	31,246	Reported balance Holding disclosure · report date 2020-07-02 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 31,246 F1: Andrew Dakos and Phillip Goldstein are the members of Bulldog Investors, LLC. Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock as disclosed in a Schedule 13D, filed on behalf of the Reporting Persons and certain other stockholders of the Issuer on July 7, 2020. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The securities reported herein do not include any securities held by any group member other than the Reporting Persons, as such shares are being reported in a separate Form 3 filing. F2: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. F3: Shares are held by Phillip Goldstein and/or his spouse.

Filing footnotes · ownership attribution and instrument terms

F1: Andrew Dakos and Phillip Goldstein are the members of Bulldog Investors, LLC. Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock as disclosed in a Schedule 13D, filed on behalf of the Reporting Persons and certain other stockholders of the Issuer on July 7, 2020. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The securities reported herein do not include any securities held by any group member other than the Reporting Persons, as such shares are being reported in a separate Form 3 filing.

F2: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose.

F3: Shares are held by Phillip Goldstein and/or his spouse.

BNY MELLON MUNICIPAL INCOME, INC.

Report date June 12, 2024 · Filed June 21, 2024

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, Par Value $.001 Per ShareSEC Table I · non-derivative	Direct	58,110	Reported balance Holding disclosure · report date 2024-06-12 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 58,110

Brookfield DTLA Fund Office Trust Investor Inc.

Report date December 31, 2018 · Filed March 30, 2019

Security / award	Ownership account	Disclosed shares / units	Disclosure context
7.625% Series A Cumulative Redeemable Preferred StockSEC Table I · non-derivative	Direct	0	Reported balance After 2018-06-06 transaction · row 1 1 source row Row 1 · 2018-06-06 · Gift · Disposed 682 · Balance 0

CROSSROADS CAPITAL, INC.

Report date June 07, 2017 · Filed June 08, 2017

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	826,327	Last balance in matching sequence After 2017-06-07 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2017-06-07 · Sale · Disposed 28,479 · Balance 797,848 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of the shares. Mr. Goldstein is an owner of Bulldog Investors, LLC and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Goldstein also is a principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Row 2 · 2017-06-07 · Purchase · Acquired 28,479 · Balance 826,327 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of the shares. Mr. Goldstein is an owner of Bulldog Investors, LLC and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Goldstein also is a principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients.

Filing footnotes · ownership attribution and instrument terms

F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of the shares. Mr. Goldstein is an owner of Bulldog Investors, LLC and disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Mr. Goldstein also is a principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients.

FIRST TRUST DIVIDEND & INCOME FUND

Report date October 19, 2016 · Filed October 21, 2016

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	1,951,679	Last balance in matching sequence After 2016-10-20 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2016-10-19 · Purchase · Acquired 10,900 · Balance 1,951,379 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2016-10-20 · Purchase · Acquired 300 · Balance 1,951,679 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

HIGH INCOME SECURITIES FUND

Report date August 19, 2026 · Filed August 21, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	72,860	Ending reported balance After 2026-08-20 transaction · row 3 3 source rows · reconciled sequence Row 1 · 2026-08-19 · Purchase · Acquired 10,000 · Balance 57,860 Row 2 · 2026-08-19 · Purchase · Acquired 10,000 · Balance 67,860 Row 3 · 2026-08-20 · Purchase · Acquired 5,000 · Balance 72,860

JPMORGAN CHINA REGION FUND, INC.

Report date September 15, 2017 · Filed September 19, 2017

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	845,368	Reported balance After 2017-09-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-09-15 · Purchase · Acquired 22,517 · Balance 845,368 F1: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

KOREA EQUITY FUND INC

Report date June 20, 2017 · Filed June 22, 2017

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	1,726,574	Last balance in matching sequence After 2017-06-21 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2017-06-20 · Purchase · Acquired 25,000 · Balance 1,706,374 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2017-06-21 · Purchase · Acquired 20,200 · Balance 1,726,574 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

Logan Ridge Finance Corp.

Report date March 13, 2025 · Filed April 03, 2025

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	2,500	Reported balance Holding disclosure · report date 2025-03-13 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 2,500

MEXICO EQUITY & INCOME FUND INC

Report date October 15, 2021 · Filed October 18, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	10,002	Reported balance After 2021-10-15 transaction · row 1 1 source row Row 1 · 2021-10-15 · Exercise / conversion · Acquired 10,001 · Balance 10,002 F1: Non-transferable rights were issued to stockholders of record as of August 27, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.

Filing footnotes · ownership attribution and instrument terms

F1: Non-transferable rights were issued to stockholders of record as of August 27, 2021 in connection with a rights offering by the Issuer at the rate of one right for each share of common stock owned. Each right entitled its holder to purchase one share of common stock and fully-subscribed holders were entitled to oversubscribe for additional shares if available. Purchases made pursuant to the rights offering are reflected in this filing.

MFS INVESTMENT GRADE MUNICIPAL TRUST

Report date February 24, 2026 · Filed February 26, 2026

Jointly reported with Bulldog Investors, LLP, Dakos Andrew

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	18,268	Reported balance After 2026-02-24 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2026-02-24 · Purchase · Acquired 1,372 · Balance 18,268 F1: Shares are held by Phillip Goldstein. Bulldog Investors, LLP and Andrew Dakos disclaim beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP

Filing footnotes · ownership attribution and instrument terms

F1: Shares are held by Phillip Goldstein. Bulldog Investors, LLP and Andrew Dakos disclaim beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP

Nuveen Global Equity Income Fund

Report date September 28, 2016 · Filed September 30, 2016

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	2,194,974	Reported balance After 2016-09-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2016-09-28 · Purchase · Acquired 18,049 · Balance 2,194,974 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

Nuveen Long/Short Commodity Total Return Fund

Report date December 08, 2016 · Filed December 12, 2016

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	1,179,781	Reported balance After 2016-12-08 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2016-12-08 · Purchase · Acquired 1,267 · Balance 1,179,781 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

PACHOLDER HIGH YIELD FUND INC

Report date July 07, 2017 · Filed July 11, 2017

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	1,408,152	Reported balance After 2017-07-07 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-07-07 · Purchase · Acquired 15,500 · Balance 1,408,152 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

SPECIAL OPPORTUNITIES FUND, INC.

Report date March 02, 2026 · Filed March 09, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
2.75% Convertible Preferred Stock, Series CSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	6,198	Reported balance After 2026-03-02 transaction · row 2 Instrument identity requires review; Table II rows are not merged. 1 source row Row 2 · 2026-03-02 · Other · Acquired 100 · Balance 6,198 F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held.
2.75% Convertible Preferred Stock, Series CSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	6,298	Reported balance After 2026-03-04 transaction · row 3 Instrument identity requires review; Table II rows are not merged. 1 source row Row 3 · 2026-03-04 · Other · Acquired 100 · Balance 6,298 F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held.
2.75% Convertible Preferred Stock, Series CSEC Table II · derivative / convertible security · Conversion / exercise price $0.00	Direct	10,250	Reported balance After 2026-03-05 transaction · row 4 Instrument identity requires review; Table II rows are not merged. 1 source row Row 4 · 2026-03-05 · Purchase · Acquired 3,952 · Balance 10,250 F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held.
Common StockSEC Table I · non-derivative	Direct	34,822	Reported balance Holding disclosure · report date 2026-03-02 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 34,822

Filing footnotes · ownership attribution and instrument terms

F1: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held.

F2: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.

TG Venture Acquisition Corp.

Report date August 14, 2023 · Filed September 20, 2023

Jointly reported with Bulldog Investors, LLP, Dakos Andrew

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Class A Common StockSEC Table I · non-derivative	IndirectBy voting/management authority	0	Reported balance Holding disclosure · report date 2023-08-14 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 0 F1: Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP. This Form 3 is being filed solely due to the redemptions of 10,106,304 shares of Class A Common Stock by shareholders other than the Reporting Persons, as announced by the Issuer on Form 10-Q on August 14, 2023 (the "Redemptions"). After the Redemptions, the Reporting Persons' beneficial ownership was above 10%; however, the Reporting Persons have no pecuniary interest in such shares, which are held by a client of Bulldog Investors, LLP and a registered investment company for which Messrs. Dakos and Goldstein serve on the Investment Committee. Thus, the amount of Shares reported in Column 2 in Table 1 is zero. The Reporting Persons have not acquired Class A Common Stock or any other equity securities of the Issuer since exceeding the 10% threshold due to the Redemptions.

Filing footnotes · ownership attribution and instrument terms

F1: Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP. This Form 3 is being filed solely due to the redemptions of 10,106,304 shares of Class A Common Stock by shareholders other than the Reporting Persons, as announced by the Issuer on Form 10-Q on August 14, 2023 (the "Redemptions"). After the Redemptions, the Reporting Persons' beneficial ownership was above 10%; however, the Reporting Persons have no pecuniary interest in such shares, which are held by a client of Bulldog Investors, LLP and a registered investment company for which Messrs. Dakos and Goldstein serve on the Investment Committee. Thus, the amount of Shares reported in Column 2 in Table 1 is zero. The Reporting Persons have not acquired Class A Common Stock or any other equity securities of the Issuer since exceeding the 10% threshold due to the Redemptions.

TORTOISE ENERGY INDEPENDENCE FUND, INC.

Report date April 30, 2021 · Filed May 10, 2021

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	0	Reported balance Holding disclosure · report date 2021-04-30 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 0

Total Return Securities Fund

Report date October 01, 2026 · Filed October 13, 2026

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	124,229	Ending reported balance After 2026-10-08 transaction · row 2 2 source rows · reconciled sequence Row 1 · 2026-10-01 · Other · Acquired 15 · Balance 119,229 Row 2 · 2026-10-08 · Purchase · Acquired 5,000 · Balance 124,229

WESTERN ASSET CORPORATE LOAN FUND INC.

Report date February 28, 2020 · Filed March 06, 2020

Jointly reported with Bulldog Investors, LLP, Dakos Andrew

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	19,889	Reported balance After 2020-02-28 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2020-02-28 · Purchase · Acquired 586 · Balance 19,889 F1: Shares are held by Phillip Goldstein

Filing footnotes · ownership attribution and instrument terms

F1: Shares are held by Phillip Goldstein

abrdn Emerging Markets ex-China Fund, Inc.

Report date December 05, 2017 · Filed December 07, 2017

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,875	Reported balance After 2017-12-05 transaction · row 2 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 2 · 2017-12-05 · Sale · Disposed 877 · Balance 1,875 F2: Shares are held by Steven Samuels.
Common StockSEC Table I · non-derivative	Direct	21,107	Reported balance After 2017-12-05 transaction · row 3 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 3 · 2017-12-05 · Sale · Disposed 1,713 · Balance 21,107 F3: Shares are held by Phillip Goldstein.
Common StockSEC Table I · non-derivative	IndirectBy Clients	917,955	Reported balance Holding disclosure · report date 2017-12-05 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 917,955 F1: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F2: Shares are held by Steven Samuels.

F3: Shares are held by Phillip Goldstein.

Past disclosures · reporting ended (10)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

ADVENT/CLAYMORE ENHANCED GROWTH & INCOME FUND

Report date May 17, 2017 · Filed May 18, 2017

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Section 16 reporting ended · disclosed 2017-05-18. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	927,037	Last balance in matching sequence After 2017-05-17 transaction · row 2 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 2 source rows Row 1 · 2017-05-17 · Sale · Disposed 65,998 · Balance 942,547 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2017-05-17 · Sale · Disposed 15,510 · Balance 927,037 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND

Report date April 17, 2019 · Filed April 22, 2019

Jointly reported with Bulldog Investors, LLP, Samuels Steven, Dakos Andrew

Section 16 reporting ended · disclosed 2019-04-22. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	1,086	Last balance in matching sequence After 2019-04-18 transaction · row 4 Source-order balances reconcile. Account continuity and personal attribution are not independently verified. 4 source rows Row 1 · 2019-04-01 · Other · Disposed 96,742 · Balance 537,379 F1: The shares of AKP are held by a former private investment fund client of Bulldog Investors. As of April 1, 2019 such fund is no longer a client of Bulldog Investors and as a result such shares will no longer be reported. F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 2 · 2019-04-17 · Sale · Disposed 39,111 · Balance 498,268 F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 3 · 2019-04-17 · Sale · Disposed 39,782 · Balance 458,486 F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Row 4 · 2019-04-18 · Sale · Disposed 457,400 · Balance 1,086 F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.
Common StockSEC Table I · non-derivative	Direct	6,375	Reported balance Holding disclosure · report date 2019-04-17 · row 5 Holding and transaction disclosures are not merged. 1 source row Row 5 · Balance 6,375 F3: Shares are held by Steven Samuels.
Common StockSEC Table I · non-derivative	Direct	500	Reported balance Holding disclosure · report date 2019-04-17 · row 6 Holding and transaction disclosures are not merged. 1 source row Row 6 · Balance 500 F4: Shares are held by Andrew Dakos.

Filing footnotes · ownership attribution and instrument terms

F1: The shares of AKP are held by a former private investment fund client of Bulldog Investors. As of April 1, 2019 such fund is no longer a client of Bulldog Investors and as a result such shares will no longer be reported.

F2: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

F3: Shares are held by Steven Samuels.

F4: Shares are held by Andrew Dakos.

FRANKLIN MUNICIPAL OPPORTUNITIES TRUST

Report date August 10, 2017 · Filed August 21, 2017

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Section 16 reporting ended · disclosed 2017-08-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Auction Rate Preferred Series B and CSEC Table I · non-derivative	IndirectBy Clients	0	Reported balance After 2017-08-10 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-08-10 · Other · Disposed 400 · Balance 0 F1: Shares of Series B and C auction rate preferred securities were disposed of pursuant to an issuer tender offer. F2: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F1: Shares of Series B and C auction rate preferred securities were disposed of pursuant to an issuer tender offer.

F2: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Herzfeld Credit Income Fund, Inc

Report date April 06, 2020 · Filed April 21, 2020

Section 16 reporting ended · disclosed 2020-04-21. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	203,931	Ending reported balance After 2020-04-17 transaction · row 5 5 source rows · reconciled sequence Row 1 · 2020-04-06 · Sale · Disposed 18,714 · Balance 240,697 Row 2 · 2020-04-07 · Sale · Disposed 25,000 · Balance 215,697 Row 3 · 2020-04-08 · Sale · Disposed 5,000 · Balance 210,697 Row 4 · 2020-04-09 · Sale · Disposed 5,177 · Balance 205,520 Row 5 · 2020-04-17 · Sale · Disposed 1,589 · Balance 203,931

MFS HIGH YIELD MUNICIPAL TRUST

Report date January 20, 2026 · Filed January 23, 2026 · Amendment

Jointly reported with Bulldog Investors, LLP, Dakos Andrew

Section 16 reporting ended · disclosed 2026-01-22. Current position is not established by this disclosure.

Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	24,878	Reported balance After 2026-01-20 transaction · row 1 Amendment: may correct only part of an earlier disclosure. 1 source row Row 1 · 2026-01-20 · Purchase · Acquired 678 · Balance 24,878 F2: This Amendment is filed solely to reflect in Column 4 of Table I, that the securities in the reported transaction were Acquired, not Disposed of. F1: Shares are held by Phillip Goldstein. Bulldog Investors, LLP and Andrew Dakos disclaim beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP

Filing footnotes · ownership attribution and instrument terms

F2: This Amendment is filed solely to reflect in Column 4 of Table I, that the securities in the reported transaction were Acquired, not Disposed of.

MVC CAPITAL, INC.

Report date December 23, 2020 · Filed December 23, 2020

Section 16 reporting ended · disclosed 2020-12-23. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common Stock, $0.01 par valueSEC Table I · non-derivative	Direct	0	Reported balance After 2020-12-23 transaction · row 1 1 source row Row 1 · 2020-12-23 · Disposition to issuer · Disposed 13,666 · Balance 0 F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger"). F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock.

Filing footnotes · ownership attribution and instrument terms

F1: MVC Capital, Inc. ("MVC"), Barings BDC, Inc., a Maryland corporation ("Barings BDC"), Mustang Acquisition Sub, Inc., a Delaware corporation and wholly-owned subsidiary of Barings BDC, ("Merger Sub") and Barings LLC, a Delaware limited liability company and investment adviser to Barings BDC ("Barings") entered into the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), pursuant to which the acquisition of MVC by Barings BDC was completed in two steps: (i) the first step being a merger of Merger Sub with and into MVC (the "First Step") with MVC surviving as a wholly owned subsidiary of Barings BDC ("First Step Surviving Company"), and (ii) the second step being a merger of the First Step Surviving Company with and into Barings BDC with Barings BDC as the surviving company (the "Second Step", and together with the First Step, the "Merger").

F2: At the effective time of the Merger, each share of issued and outstanding MVC common stock was canceled and exchanged for the right to receive (i) $0.39492 per share in cash, without interest, from Barings and (ii) 0.9790836 of a validly issued, fully paid and non-assessable share of Barings BDC common stock.

NEUBERGER REAL ESTATE SECURITIES INCOME FUND INC

Report date December 15, 2016 · Filed December 16, 2016

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Section 16 reporting ended · disclosed 2016-12-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	4,295,140	Reported balance After 2016-12-15 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2016-12-15 · Sale · Disposed 45,096 · Balance 4,295,140 F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

NEW IRELAND FUND INC

Report date April 05, 2021 · Filed August 05, 2021

Jointly reported with Bulldog Investors, LLP, Dakos Andrew

Section 16 reporting ended · disclosed 2021-08-05. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectHeld by Clients	394,374	Reported balance After 2021-04-05 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2021-04-05 · Sale · Disposed 25,088 · Balance 394,374 F1: Certain clients of Bulldog Investors, LLP are the beneficial owners of these shares. Bulldog Investors, LLP disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP

Filing footnotes · ownership attribution and instrument terms

F1: Certain clients of Bulldog Investors, LLP are the beneficial owners of these shares. Bulldog Investors, LLP disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos and Phillip Goldstein are the partners of Bulldog Investors, LLP

NXG NextGen Infrastructure Income Fund

Report date February 15, 2017 · Filed February 16, 2017

Jointly reported with Bulldog Investors, LLP, Dakos Andrew, Samuels Steven

Section 16 reporting ended · disclosed 2017-02-16. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	IndirectBy Clients	457,550	Reported balance Holding disclosure · report date 2017-02-15 · row 1 Holding and transaction disclosures are not merged. 1 source row Row 1 · Balance 457,550 F2: There have been no transactions required to be reported. F1: Certain private investment fund clients of Bulldog Investors, LLC are the beneficial owners of these shares. Bulldog Investors, LLC disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors, LLC. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, LLC, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein.

Filing footnotes · ownership attribution and instrument terms

F2: There have been no transactions required to be reported.

Virtus Total Return Fund

Report date March 22, 2017 · Filed March 27, 2017

Jointly reported with Bulldog Investors General Partnership, Opportunity Income Plus LP, MCM Opportunity Partners LP, FULL VALUE PARTNERS LP, Calapasas West Partners LP, OPPORTUNITY PARTNERS LP, MERCURY PARTNERS L P, STEADY GAIN PARTNERS LP, Full Value Special Situations Fund LP

Section 16 reporting ended · disclosed 2017-03-27. Current position is not established by this disclosure.

Security / award	Ownership account	Disclosed shares / units	Disclosure context
Common StockSEC Table I · non-derivative	Direct	1,553,860	Reported balance After 2017-03-22 transaction · row 1 Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes. 1 source row Row 1 · 2017-03-22 · Sale · Disposed 2,636,634 · Balance 1,553,860 F1: This Form 4 is filed jointly by Bulldog Investors General Partnership, Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, MCM Opportunity Partners, LP, Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons"). F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on March 23, 2017. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. Shares were tendered by the Reporting Persons in connection with the Issuer tender offer that commenced February 15, 2017 and expired March 15, 2017.

Filing footnotes · ownership attribution and instrument terms

F1: This Form 4 is filed jointly by Bulldog Investors General Partnership, Opportunity Partners, LP, Calapasas West Partners, LP, Full Value Special Situations Fund, LP, Full Value Partners, LP, Steady Gain Partners, LP, Mercury Partners, LP, MCM Opportunity Partners, LP, Opportunity Income Plus Fund, LP, and Phillip Goldstein (collectively, the "Reporting Persons").

F2: Each Reporting Person is a member of a Section 13(d) group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock, as disclosed in an amended Schedule 13D, filed on behalf of the Reporting Persons and certain other beneficial owners of the Issuer's stock on March 23, 2017. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock.

F3: Each Reporting Person disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. Shares were tendered by the Reporting Persons in connection with the Issuer tender offer that commenced February 15, 2017 and expired March 15, 2017.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
March 19, 2020 Filed Apr 6, 2020 14:27 UTC	Herzfeld Credit Income Fund, Inc CUBA · Entity 7439	SaleCommon Stock	10,000	$2.80	$28,000.00	Disclosure SEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 376,849 Read SEC document
March 19, 2020 Filed Apr 6, 2020 14:27 UTC	Herzfeld Credit Income Fund, Inc CUBA · Entity 7439	SaleCommon Stock	5,000	$2.80	$14,005.00	Disclosure SEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 386,849 Read SEC document
March 18, 2020 Filed Apr 6, 2020 14:27 UTC	Herzfeld Credit Income Fund, Inc CUBA · Entity 7439	SaleCommon Stock	608	$3.25	$1,976.00	Disclosure SEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,849 Read SEC document
March 17, 2020 Filed Apr 6, 2020 14:27 UTC	Herzfeld Credit Income Fund, Inc CUBA · Entity 7439	SaleCommon Stock	3,630	$3.63	$13,176.90	Disclosure SEC source: 0001504304-20-000011 · primary_doc.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 392,457 Read SEC document
February 28, 2020 Filed Mar 2, 2020 18:33 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	4,899	$7.73	$37,869.27	Disclosure SEC source: 0001398344-20-004855 · fp0051457_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Read SEC document
February 28, 2020 Filed Mar 6, 2020 15:47 UTC	WESTERN ASSET CORPORATE LOAN FUND INC. TLI · Entity 16378	PurchaseCommon Stock	586	$9.79	$5,734.36	Disclosure SEC source: 0001398344-20-005511 · fp0051753_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,889 F1 · ownership.direct: Shares are held by Phillip Goldstein Read SEC document
February 27, 2020 Filed Mar 2, 2020 18:33 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	5,000	$7.99	$39,950.00	Disclosure SEC source: 0001398344-20-004855 · fp0051457_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Read SEC document
February 25, 2020 Filed Feb 26, 2020 17:35 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	4,987	$8.42	$41,990.54	Disclosure SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 5 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,348 Read SEC document
February 25, 2020 Filed Feb 26, 2020 17:35 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	5,000	$8.33	$41,650.00	Disclosure SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 95,361 Read SEC document
February 25, 2020 Filed Feb 26, 2020 17:35 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	5,000	$8.32	$41,600.00	Disclosure SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 90,361 Read SEC document
February 24, 2020 Filed Feb 26, 2020 17:35 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	5,000	$8.45	$42,250.00	Disclosure SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,361 Read SEC document
February 24, 2020 Filed Feb 26, 2020 17:35 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	5,013	$8.42	$42,209.46	Disclosure SEC source: 0001398344-20-004444 · fp0051282_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 80,361 Read SEC document
February 21, 2020 Filed Feb 25, 2020 18:49 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	Purchase3.50% Convertible Preferred Stock Series B · Derivative	2,613	$25.75 Strike: $0.00	$67,284.75	Disclosure SEC source: 0001104659-20-024662 · tm2010906d1_4.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 28,777 Underlying: Common Stock · 4,573 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.29 per share of common stock (which is a ratio of 1.7499 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021. Read SEC document
February 14, 2020 Filed Feb 18, 2020 16:50 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	Purchase3.50% Convertible Preferred Stock Series B · Derivative	100	$25.75 Strike: $0.00	$2,575.00	Disclosure SEC source: 0001104659-20-022326 · tm209289-1_4.xml · derivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,164 Underlying: Common Stock · 174 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.38 per share of common stock (which is a ratio of 1.7385 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021. Read SEC document
February 13, 2020 Filed Feb 18, 2020 16:50 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	Purchase3.50% Convertible Preferred Stock Series B · Derivative	900	$25.75 Strike: $0.00	$23,175.00	Disclosure SEC source: 0001104659-20-022326 · tm209289-1_4.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,064 Underlying: Common Stock · 1,565 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.38 per share of common stock (which is a ratio of 1.7385 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · derivative.expiration_date: If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021. Read SEC document
February 06, 2020 Filed Feb 7, 2020 22:03 UTC	MEXICO EQUITY & INCOME FUND INC MXE · Entity 7114	Disposition to issuerCommon Stock	5,583	$12.02	$67,107.66	Disclosure SEC source: 0001104659-20-012597 · tm207127d1_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The reported securities were purchased by the issuer in a cash tender offer. Read SEC document
January 06, 2020 Filed Jan 8, 2020 22:07 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	1,086	$8.33	$9,046.38	Disclosure SEC source: 0001398344-20-000445 · fp0049353_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 75,348 Read SEC document
December 19, 2019 Filed Dec 23, 2019 21:09 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	2,611	$8.20	$21,410.20	Disclosure SEC source: 0001398344-19-023007 · fp0048945_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 74,262 Read SEC document
December 18, 2019 Filed Dec 19, 2019 20:50 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	614	$8.15	$5,004.10	Disclosure SEC source: 0001398344-19-022778 · fp0048881_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,651 Read SEC document
December 17, 2019 Filed Dec 19, 2019 20:50 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	40,000	$8.15	$326,000.00	Disclosure SEC source: 0001398344-19-022778 · fp0048881_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 71,037 Read SEC document
December 10, 2019 Filed Feb 14, 2020 18:09 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	GiftCommon Stock	6,000	Not disclosed	Not disclosed	Disclosure SEC source: 0001104659-20-021293 · tv538250_form5.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,316 F1 · kind: Bona fide gift of 6,000 shares to Reporting Person's grandchildren. F1 · shares: Bona fide gift of 6,000 shares to Reporting Person's grandchildren. F2 · price: Price is not applicable to acquisitions or dispositions resulting from bona fide gifts. F3 · balance_after: Reflects 1,025 shares previously transferred from an account in which Reporting Person has an Indirect interest to an account in which Reporting Person has a Direct interest. Read SEC document
December 02, 2019 Filed Dec 3, 2019 20:37 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	8,209	$8.12	$66,657.08	Disclosure SEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 4 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,037 Read SEC document
December 02, 2019 Filed Dec 3, 2019 20:37 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	10,000	$8.10	$81,000.00	Disclosure SEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,828 Read SEC document
December 02, 2019 Filed Dec 3, 2019 20:37 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	10,000	$8.09	$80,900.00	Disclosure SEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,828 Read SEC document
November 29, 2019 Filed Dec 3, 2019 20:37 UTC	Total Return Securities Fund SWZ · Entity 8820	PurchaseCommon Stock	1,791	$8.12	$14,542.92	Disclosure SEC source: 0001398344-19-021941 · fp0048316_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,828 F1 · balance_after: The Form 4 filed on behalf of Mr. Goldstein on November 23, 2018 incorrectly reported the number of shares disposed of pursuant to an issuer tender offer as 17,633 shares. The correct number of shares tendered is 17,646 shares, and the amount of shares in which he had a Direct beneficial interest subsequent to the tender offer is 1,037 shares. Read SEC document
October 16, 2019 Filed Oct 18, 2019 14:01 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	SaleCommon Stock	107	$8.46	$905.72	Disclosure SEC source: 0001398344-19-018089 · fp0046957_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 0 F1 · ownership.nature: Shares were owned by a private investment fund client of Bulldog Investors, LLC ("Bulldog Investors"). The Reporting Person is an owner of Bulldog Investors. The Reporting Person is also a Principal of the general partner of such private investment fund client of Bulldog Investors, and a limited partner in such fund. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
August 27, 2019 Filed Aug 29, 2019 17:55 UTC	Herzfeld Credit Income Fund, Inc CUBA · Entity 7439	OtherCommon Stock	4,200	$6.15	$25,830.00	Disclosure SEC source: 0001398344-19-015568 · fp0045459_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 396,087 Read SEC document
August 26, 2019 Filed Aug 29, 2019 17:55 UTC	Herzfeld Credit Income Fund, Inc CUBA · Entity 7439	OtherCommon Stock	800	$6.15	$4,920.00	Disclosure SEC source: 0001398344-19-015568 · fp0045459_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 391,887 Read SEC document
July 12, 2019 Filed Jul 16, 2019 15:58 UTC	MVC CAPITAL, INC. MVC · Entity 144341	GiftCommon Stock, .01 par value	9,000	$0.00	$0.00	Disclosure SEC source: 0001140361-19-013003 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,666 F1 · kind: This transaction involved a gift of 9,000 shares by the reporting person to a trust of which the reporting person is not a beneficiary. Read SEC document
April 18, 2019 Filed Apr 22, 2019 20:09 UTC	ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973	SaleCommon Stock	457,400	$14.68	$6,712,436.48	Disclosure SEC source: 0001398344-19-006839 · fp0041504_4.xml · nonDerivative · entry 4 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 1,086 F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
April 17, 2019 Filed Apr 22, 2019 20:09 UTC	ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973	SaleCommon Stock	39,782	$14.68	$584,095.24	Disclosure SEC source: 0001398344-19-006839 · fp0041504_4.xml · nonDerivative · entry 3 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 458,486 F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
April 17, 2019 Filed Apr 22, 2019 20:09 UTC	ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973	SaleCommon Stock	39,111	$14.68	$574,149.48	Disclosure SEC source: 0001398344-19-006839 · fp0041504_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 498,268 F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
April 01, 2019 Filed Apr 22, 2019 20:09 UTC	ALLIANCE CALIFORNIA MUNICIPAL INCOME FUND AKP · Entity 11973	OtherCommon Stock	96,742	$0.00	$0.00	Disclosure SEC source: 0001398344-19-006839 · fp0041504_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 537,379 F1 · kind: The shares of AKP are held by a former private investment fund client of Bulldog Investors. As of April 1, 2019 such fund is no longer a client of Bulldog Investors and as a result such shares will no longer be reported. F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
March 26, 2019 Filed Mar 28, 2019 14:13 UTC	MVC CAPITAL, INC. MVC · Entity 144341	PurchaseCommon Stock, .01 par value	517	$9.10	$4,704.70	Disclosure SEC source: 0000922423-19-000022 · form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,666 Read SEC document
March 25, 2019 Filed Mar 27, 2019 19:31 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	SaleCommon Stock	220,000	$9.25	$2,035,000.00	Disclosure SEC source: 0001398344-19-005663 · fp0040678_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 106 F1 · ownership.nature: Shares are owned by a private investment fund client of Bulldog Investors, LLC ("Bulldog Investors"). The Reporting Person is an owner of Bulldog Investors. The Reporting Person is also a Principal of the general partner of such private investment fund client of Bulldog Investors, and a limited partner in such fund. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
March 25, 2019 Filed Mar 27, 2019 19:31 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	PurchaseCommon Stock	150,000	$9.25	$1,387,500.00	Disclosure SEC source: 0001398344-19-005663 · fp0040678_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Read SEC document
March 19, 2019 Filed Mar 20, 2019 16:52 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	Disposition to issuerCommon Stock	933	$9.25	$8,630.25	Disclosure SEC source: 0001398344-19-005250 · fp0040502_4.xml · nonDerivative · entry 4 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F5 · ownership.direct: Shares are held by Andrew Dakos. Read SEC document
March 19, 2019 Filed Mar 20, 2019 16:52 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	Disposition to issuerCommon Stock	3,123	$9.25	$28,887.75	Disclosure SEC source: 0001398344-19-005250 · fp0040502_4.xml · nonDerivative · entry 3 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F4 · ownership.direct: Shares are held by Steven Samuels. Read SEC document
March 19, 2019 Filed Mar 20, 2019 16:52 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	Disposition to issuerCommon Stock	6,241	$9.25	$57,729.25	Disclosure SEC source: 0001398344-19-005250 · fp0040502_4.xml · nonDerivative · entry 2 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F6 · balance_after: As reported on Mr. Goldstein's Form 5 filed February 14, 2019, 10,772 shares of the Fund were disposed of via a gift on December 26, 2018. F3 · ownership.direct: Shares are held by Phillip Goldstein. Read SEC document
March 19, 2019 Filed Mar 20, 2019 16:52 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	Disposition to issuerCommon Stock	1,247,106	$9.25	$11,535,730.50	Disclosure SEC source: 0001398344-19-005250 · fp0040502_4.xml · nonDerivative · entry 1 Bulldog Investors, LLC · CIK 0001504304 · 10% owner Samuels Steven · CIK 0001561169 · 10% owner GOLDSTEIN PHILLIP · CIK 0001067621 · 10% owner Dakos Andrew · CIK 0001341021 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 220,106 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. Bulldog Investors disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Andrew Dakos, Steven Samuels and Phillip Goldstein are the owners of Bulldog Investors. Each of Messrs. Dakos, Samuels and Goldstein also is a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such private fund clients. Each of Messrs. Dakos, Samuels and Goldstein disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
March 19, 2019 Filed Mar 20, 2019 15:00 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	Disposition to issuerCommon Stock	1,247,106	$9.25	$11,535,730.50	Disclosure SEC source: 0001398344-19-005230 · fp0040500_4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Clients Disclosed balance after: 220,106 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. F2 · ownership.nature: Certain private investment fund clients of Bulldog Investors, LLC ("Bulldog Investors") are the beneficial owners of these shares. The Reporting Person is an owner of Bulldog Investors. The Reporting Person is also a Principal of the general partner of certain of such private investment fund clients of Bulldog Investors, and a limited partner in certain of such funds. The Reporting Person disclaims beneficial interest in such shares except to the extent of any pecuniary interest therein. Read SEC document
March 19, 2019 Filed Mar 20, 2019 15:00 UTC	HIGH INCOME SECURITIES FUND PCF · Entity 6747	Disposition to issuerCommon Stock	6,241	$9.25	$57,729.25	Disclosure SEC source: 0001398344-19-005230 · fp0040500_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: Disposed of to High Income Securities Fund (the "Fund") pursuant to an issuer tender offer. Read SEC document
March 19, 2019 Filed Mar 20, 2019 19:16 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	PurchaseCommon Stock	4,000	$13.36	$53,440.00	Disclosure SEC source: 0001398344-19-005271 · fp0040507_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,291 Read SEC document
February 20, 2019 Filed Feb 21, 2019 22:30 UTC	MEXICO EQUITY & INCOME FUND INC MXE · Entity 7114	Disposition to issuerCommon Stock	3,036	$11.58	$35,156.88	Disclosure SEC source: 0001144204-19-009347 · tv514390_4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,583 F1 · kind: The reported securities were purchased by the issuer in a cash tender offer. F2 · balance_after: This amount includes 4 shares of MXE that were previously held in the Reporting Person's registered name at US Bancorp and were moved into a brokerage account in the name of the Reporting Person in August 2018. Read SEC document
February 08, 2019 Filed Feb 12, 2019 22:30 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	Purchase3.50% Convertible Preferred Stock Series B · Derivative	165	$24.88 Strike: $0.00	$4,105.20	Disclosure SEC source: 0001144204-19-006709 · tv513261_4.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,164 Underlying: Common Stock · 218 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021. Read SEC document
January 28, 2019 Filed Jan 29, 2019 22:58 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	PurchaseCommon Stock	100	$12.63	$1,263.00	Disclosure SEC source: 0001144204-19-003587 · tv511954_form4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,291 Read SEC document
January 28, 2019 Filed Jan 29, 2019 22:58 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	PurchaseCommon Stock	3,000	$12.68	$38,040.00	Disclosure SEC source: 0001144204-19-003587 · tv511954_form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 103,191 Read SEC document
January 15, 2019 Filed Jan 16, 2019 22:30 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	PurchaseCommon Stock	100	$12.48	$1,248.00	Disclosure SEC source: 0001144204-19-001877 · tv511133_form4.xml · nonDerivative · entry 2 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,191 Read SEC document
January 15, 2019 Filed Jan 16, 2019 22:30 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	PurchaseCommon Stock	3,000	$12.49	$37,470.00	Disclosure SEC source: 0001144204-19-001877 · tv511133_form4.xml · nonDerivative · entry 1 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,091 Read SEC document
January 08, 2019 Filed Jan 10, 2019 22:30 UTC	SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548	Purchase3.50% Convertible Preferred Stock Series B · Derivative	3,000	$24.90 Strike: $0.00	$74,700.00	Disclosure SEC source: 0001144204-19-001375 · tv510870_form4.xml · derivative · entry 3 GOLDSTEIN PHILLIP · CIK 0001067621 · Director · Chairman and Secretary 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,999 Underlying: Common Stock · 3,947 shares Expires not disclosed F2 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment. F3 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.