PHILLIP GOLDSTEIN

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abrdn Emerging Markets ex-China Fund, Inc.

Filing Date Source Excerpt
2006-03-02 Phillip Goldstein ISL: Director, ISL: Since 2005; Investment Adviser, 2 Director, Brantley 60 Heritage Drive Nominating and current term ends at Opportunity Capital Corporation; Pleasantville, NY 10570 Audit Committee the 2006 annual meeting Partners L.P. since Director, Mexico Date of Birth: 01/28/45 Member 1992 Equity and Income Fund
2007-03-02 Phillip Goldstein 60 Heritage Drive Pleasantville, NY 10570 Date of Birth: 01/28/45 ISL: Director, Nominating and Audit Committee Member ISL: Since 2005; current term ends at the 2007 annual meeting Investment Adviser, Opportunity Partners L.P. since 1992 2 Director, Brantley Capital Corporation Director, Mexico Equity and Income Fund

ASA Gold & Precious Metals Ltd

Filing Date Source Excerpt
2009-01-23 Self-employed investment advisor since 1992; principal of the general partner of six private investment partnerships in the Bulldog Investors group of funds.
2010-02-02 Self-employed investment advisor since 1992; principal of the general partner of six private investment partnerships in the Bulldog Investors group of funds.
2011-01-28 Investment advisor and principal of the general partner of six investment partnerships in the Bulldog Investors group of private funds since 1992; principal of Brooklyn Capital Management, the investment adviser for the Special Opportunities Fund since 2009.
2012-01-27 Principal of the general partner of six investment partnerships in the Bulldog Investors group of private funds since 1992; principal of Brooklyn Capital Management, the investment adviser for the Special Opportunities Fund since 2009
2013-01-24 Phillip Goldstein, 67, Director since 2008; Principal of the general partner of several investment partnerships in the Bulldog Investors group of private funds ("Bulldog Funds") from 1992-2012; Principal of Bulldog Holdings, LLC, the owner of the general partners of the Bulldog Funds, since 2012; Principal of Brooklyn Capital Management, LLC, a registered investment adviser for the Bulldog Funds and certain other accounts.

HIGH INCOME SECURITIES FUND

Filing Date Source Excerpt
2018-12-13 By order of the Board of Trustees, Phillip GoldsteinChairman of the Board December 13, 2018
2019-07-29 Phillip Goldstein** (74) - Chairman and Secretary; Member of Bulldog Investors, LLC; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of private funds. Compensation: $8,333.
2020-09-21 Phillip Goldstein** (75) Chairman and Secretary 1 Year; Since 2018 Member of Bulldog Investors, LLC since 2009; Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Compensation: $150,000
2021-11-02 Mr. Goldstein has been the Chairman of the Board and the Secretary of the Fund since 2018. Mr. Goldstein has over 30 years of investment management experience. He is currently a Partner in Bulldog Investors, LLP, an investment adviser registered with the SEC. He is also a principal of the former general partner of several private investment partnerships in the Bulldog Investors group of funds. Mr. Goldstein is also a director of three other closed-end funds, and one subsidiary of a large commercial real estate company. The Investment Committee currently consists of Messrs. Goldstein, Dakos and Das. The Board’s Investment Committee met 4 times during the year ended August 31, 2021. The Investment Search Committee was responsible for, among other things, exploring potential acquisitions of controlling stakes in operating companies and other investments that are not securities. Prior to its dissolution, the Investment Search Committee consisted of Messrs. Sell, Harris, Dakos and Goldstein. Mr. Sell was the Chairman of the Investment Search Committee. Each of Messrs. Dakos and Goldstein receives compensation for his service as both a Trustee and an officer. Each Trustee receives an annual retainer equal to $25,000 for serving as a Trustee and attending the quarterly meetings of the Board, paid quarterly in advance. In addition, the members of the Investment Committee are compensated by the Fund for their positions on the Investment Committee in the amount of $100,000 each for Phillip Goldstein and Andrew Dakos, and $50,000 for Rajeev Das on an annual basis paid monthly in advance. The table below details the amount of compensation the Fund’s Trustees received from the Fund during the year ended August 31, 2021. Phillip Goldstein 2018 $150,000.
2022-10-28 Mr. Goldstein has been the Chairman of the Board and the Secretary of the Fund since 2018. Mr. Goldstein has over 30 years of investment management experience. He is currently a Partner in Bulldog Investors, LLP, an investment adviser registered with the SEC. He is also a principal of the former general partner of several private investment partnerships in the Bulldog Investors group of funds. The Investment Committee currently consists of Messrs. Goldstein, Dakos and Das. Each Trustee (including Interested Trustees) receives an annual retainer of $40,000. Officers (except CCO) receive $30,000. Members of the Investment Committee are compensated $150,000 each for Goldstein and Dakos, and $75,000 for Das annually. Mr. Goldstein received $198,333 in total compensation for the year ended August 31, 2022.
2023-11-17 Phillip Goldstein (78) - Chairman and Secretary - Partner of Bulldog Investors, LLP since 2009; Partner of Ryan Heritage, LLP since 2019; a Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Compensation: $220,000. Investment Committee member.
2024-09-13 Phillip Goldstein is a co-founder of Bulldog.  Mr. Goldstein co-founded Bulldog’s predecessor firm in 1993 and is a Principal of Bulldog and its lead investment strategist. Mr. Goldstein is also a Principal of Ryan Heritage, LLP, an SEC-registered investment adviser. Widely acclaimed as one of the foremost experts in closed-end fund investing and in using activist techniques to enhance investment returns, he has appeared on and been interviewed by numerous business shows and publications, including CNBC, Forbes and Fortune Magazine. Mr. Goldstein plays a key role in implementing the firm’s activist strategies and, in this capacity, has served as a director of a number of closed-end funds in which Bulldog clients maintain a strategic position. He is currently a director of the Mexico Equity and Income Fund Inc., Special Opportunities Fund, Inc., Brookfield DTLA Fund Office Trust Investor Inc., Swiss Helvetia Fund, Inc., and BNY Mellon Municipal Income, Inc., and is a trustee of the Fund.
2024-12-16 Phillip Goldstein (79) - Chairman and Secretary - Partner of the Adviser since 2009; Partner of Ryan Heritage, LLP since 2019; a Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Includes compensation for service as a Trustee, a member of the Investment Committee and an officer prior to November 8, 2024. As of November 8, 2024, Mr. Goldstein will no longer receive this compensation from the Fund.

MEXICO EQUITY & INCOME FUND INC

Filing Date Source Excerpt
2001-11-02 Phillip Goldstein Director of the Fund since 2000; 2000 56 406,844 4.73% ... The Fund pays each non-interested Director an annual fee of $5,000 plus $700 for each Directors' meeting and committee meeting attended in person and $100 for each meeting attended by means of a telephonic conference. ... The aggregate remuneration paid or accrued to Directors not affiliated with Acci Worldwide, or Advantage Advisers, Inc., the Fund's former U.S. adviser ("Advantage"), was approximately $30,854 during the fiscal year ended July 31, 2001, and, for that period, the aggregate amount of expenses reimbursed by the Fund for Directors' attendance at Directors' meetings was $1,631. The Fund pays each non-interested Director an annual fee of $5,000 plus $700 for each Directors' meeting and committee meeting attended in person and $100 for each meeting attended by means of a telephonic conference. The officers and interested Directors of the Fund received no compensation from the Fund. ... The following table provides information concerning the compensation paid or accrued during the year ended July 31, 2001, as well as the total compensation earned by each Director of the Fund by the Fund and other funds advised by the Investment Adviser or Advantage or their affiliates. The Fund has no bonus, profit sharing, pension or retirement plans.
Director Aggregate Compensation From Fund Total Compensation From Other Funds Name of Director Since for 2001 Advised by Acci Worldwide for 2001 Phillip Goldstein 2000 $9,650 $0 ...
2002-12-31 Phillip Goldstein (57) Director 2000 President, Kimball & Winthrop, Inc. (an investment advisory firm); Portfolio Manager and President, of the general partner of Opportunity Partners L.P.; Investment Manager for a limited number of clients; Advocate for shareholder rights; and Managing Member of the general partner of Full Value Partners L.P.
2003-10-03 Phillip Goldstein (58) Director 2000 President, Kimball & Winthrop, Inc. (an investment advisory firm);and general partner of Opportunity Partners L.P.; Investment Manager for a limited number of clients; Advocate for shareholder rights; and Managing Member of the general partner of Full Value Partners L.P.
2004-09-30 Phillip Goldstein (1945) ... Director ... The Nominating Committee of the Board of Directors are all of the non-interested Directors and are Messrs. Goodstein, Goldstein, Dakos, and Das ... The Fund’s Audit Committee is currently composed of all of the independent Directors, Messrs. Das, Goldstein and Dakos ... The Fund’s Pricing Committee members, consisting of all of the independent Directors of the Fund ... The following table provides information concerning the compensation paid during the year ended July 31, 2004, to each Director of the Fund ... Phillip Goldstein ... $8,100.
2005-10-18 Phillip Goldstein (1945) Director 2000 President, Kimball & Winthrop, Inc. (an investment advisory firm); and general partner of Opportunity Partners L.P. (an investment partnership)
2006-10-24 Phillip Goldstein (1945) is Director. He is a member of the Audit Committee, Pricing Committee, and Nominating Committee. He received $12,369.50 in compensation from the Fund.
2007-10-15 Phillip Goldstein (1945) ... Director ... The members of the Audit Committee are Messrs. Das, Dakos and Goldstein ... The Nominating Committee is comprised of Messrs. Goodstein, Goldstein, Dakos and Das ... The Fund's Pricing Committee members, consisting of Messrs. Goodstein, Goldstein, Dakos and Das ... The following table provides information concerning the compensation paid during the fiscal year ending July 31, 2007 to each Director of the Fund ... Phillip Goldstein ... $17,750
2008-10-20 Phillip Goldstein (1945) Director since 2000; Principal, Bulldog Investors; Director, Brantley Capital Corporation; ASA Ltd. The Nominating Committee is comprised of Messrs. Goodstein, Goldstein, Dakos and Das. The members of the Audit Committee are Messrs. Das, Dakos and Goldstein. Compensation: $21,250.
2009-10-22 Phillip Goldstein (1945) Director since 2000; Principal of the general partner of five investment partnerships in the Bulldog Investors group of funds; Audit Committee member; Nominating Committee member; Compensation $22,500.
2010-10-21 Phillip Goldstein Park 80 West, Plaza Two, 250 Pehle Avenue, Suite 708, Saddle Brook, NJ 07663 (65) Independent Director, Chairman 2011; since 2000 Principal of the general partner of several investment partnerships in the Bulldog Investors group of funds; principal of the investment adviser to Special Opportunities Fund, Inc. Director, ASA Ltd.; Chairman, Special Opportunities Fund, Inc.; Chairman, Brantley Capital Corporation The current members of the Audit Committee are Messrs. Das, Dakos and Goldstein, each of whom is an Independent Director. The current members of the Nominating Committee are Messrs. Dakos, Das, Goldstein and Goodstein.
2011-11-10 Phillip Goldstein ... (65) ... Independent Director, Chairman ... Principal of the general partner of several investment partnerships in the Bulldog Investors group of funds ... $24,250 ... The current members of the Audit Committee are Messrs. Das, Dakos and Goldstein ... The current members of the Nominating Committee are Messrs. Dakos, Das, Goldstein and Goodstein ... The current members of the Valuation Committee are Mr. Dakos, Mr. Das, Mr. Goldstein and Mr. Goodstein.
2012-10-24 Phillip Goldstein(4) (67) Independent Director, Chairman 2014; since 2000 Principal of Bulldog Holdings, LLC, which owns several entities serving as the general partner of eight private investment partnerships, since 1992; Principal of Brooklyn Capital Management, LLC, since 2009. The current members of the Audit Committee are Messrs. Das, Dakos and Goldstein, each of whom is an Independent Director. The current members of the Nominating Committee are Messrs. Dakos, Das, Goldstein and Goodstein. The Valuation Committee consists of the four Independent Directors, Messrs. Dakos, Das, Goldstein and Goodstein. Mr. Goldstein is Chairman of the Board. The table below details the amount of compensation the Fund’s Directors received from the Fund during the fiscal year ended July 31, 2012. Phillip Goldstein $25,000
2013-11-08 Phillip Goldstein(4) (68) Independent Director, Chairman 2014; since 2000 Member of Bulldog Investors, LLC, the investment adviser of Special Opportunities Fund, Inc. and the Bulldog Investors group of funds; Manager, Kimball & Winthrop, LLC, managing general partner of Bulldog Investors General Partnership, since 2012; Member, from 1992-2012, was a member of the general partners of several private funds of the Bulldog Investors group of funds; Member, since 2012, of Bulldog Holdings, LLC, the sole owner of the general partners. Chairman, Special Opportunities Fund, Inc.; Chairman, Brantley Capital Corporation; Director, Imperial Holdings, Inc.; Director, MVC Capital, Inc.; Director, ASA Ltd.; Director, Korea Equity and Income Fund, Inc. (until 2012). $30,000
2014-11-06 Phillip Goldstein(4) (69) Independent Director, Chairman 2014; since 2000 Member of Bulldog Investors, LLC, the investment adviser of Special Opportunities Fund, Inc. and the Bulldog Investors group of funds; Manager, Kimball & Winthrop, LLC, managing general partner of Bulldog Investors General Partnership, since 2012; From 1992-2012, was a member of the general partners of several private funds of the Bulldog Investors group of funds; Member, since 2012, of Bulldog Holdings, LLC, the sole owner of the general partners. Chairman, Imperial Holdings, Inc.; Director MVC Capital Inc.; Chairman Special Opportunities Fund, Inc. $35,000
2015-11-04 Phillip Goldstein(4) (70) Independent Director, Chairman 2017; since 2000 Since its inception in 2009, Mr. Goldstein has been a member of Bulldog Investors, LLC, the investment adviser of Special Opportunities Fund, Inc. and the Bulldog Investors group of funds. He is also a member of Kimball & Winthrop, LLC, the managing general partner of Bulldog Investors General Partnership, since 2012. From 1992-2012, Mr. Goldstein was a member of the general partners of several private funds in the Bulldog Investors group of funds and in 2012 became a member of Bulldog Holdings, LLC, which became the sole owner of such general partners. 1 Chairman, Emergent Capital, Inc. (f/k/a Imperial Holdings, Inc.); Director, MVC Capital Inc.; Chairman, Special Opportunities Fund, Inc.; Chairman, Brantley Capital Corporation (until 2013); Director, ASA Ltd. (until 2013); Director, Korea Equity and Income Fund, Inc. (until 2012).
2016-11-02 Phillip Goldstein Independent Director; Chairman 2017; since 2000 ... Chairman of the Fund will receive $5,000, the Audit Committee Chairman and Valuation Committee Chairman will receive $6,000, and the Nomination Committee Chairman will receive $2,000. ... Phillip Goldstein Independent Director 2000 $42,000 ... Chairman of the Board
2017-11-01 Phillip Goldstein (72) Independent Director; Chairman 2017; since 2000 ... The current members of the Audit Committee are Messrs. Abraham, Das, Goldstein and Goodstein ... The current members of the Nominating Committee are Messrs. Abraham, Das, Goldstein and Goodstein ... The Valuation Committee consists of the four Independent Directors, Messrs. Abraham, Das, Goldstein and Goodstein ... Phillip Goldstein Independent Director 2000 $41,000 ... Chairman of the Board ...
2018-11-05 Phillip Goldstein (73) Independent Director; Chairman 2020; since 2000 Since its inception in 2009, Mr. Goldstein has been a member of Bulldog Investors, LLC, the investment adviser of Special Opportunities Fund, Inc. The current members of the Audit Committee are Messrs. Abraham, Das, Goldstein and Goodstein, each of whom is an Independent Director. The current members of the Nominating Committee are Messrs. Abraham, Das, Goldstein and Goodstein. The Valuation Committee consists of the four Independent Directors, Messrs. Abraham, Das, Goldstein and Goodstein. The table below details the amount of compensation the Fund’s Directors received from the Fund during the fiscal year ended July 31, 2018. Phillip Goldstein $41,500.
2019-11-05 Phillip Goldstein (74) - Independent Director; Chairman since 2000. Compensation: $41,000. Committees: Audit Committee, Nominating Committee, Valuation Committee.
2020-10-30 Phillip Goldstein (75) Independent Director; Chairman 2020; since 2000 ... The current members of the Audit Committee are Messrs. Abraham, Das, Goldstein and Goodstein ... The current members of the Nominating Committee are Messrs. Abraham, Das, Goldstein, Goodstein and Hellerman ... The Valuation Committee consists of Messrs. Abraham, Das, Goldstein and Goodstein ... Phillip Goldstein Independent Director 2000 $35,375
2021-11-17 Phillip Goldstein (76) Independent Director; Chairman since 2000. Compensation: $28,750. Chairman of the Board. Member of Audit Committee, Nominating Committee, Valuation Committee.
2022-11-16 Phillip Goldstein (77) Independent Director; Chairman 2023; since 2000 Partner in Bulldog Investors, LLP since 2009; Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Chairman, High Income Securities Fund; Chairman, Special Opportunities Fund, Inc.; Director, Brookfield DTLA Fund Office Trust Investor, Inc.; Director, Swiss Helvetia Fund, Inc.; Trustee, Crossroads Liquidating Trust (until 2020); Director, MVC Capital, Inc. (until 2020); Chairman, Emergent Capital, Inc. (until 2017). The current members of the Audit Committee are Messrs. Abraham, Das, Goldstein and Goodstein, each of whom is an Independent Director. The current members of the Nominating Committee are Messrs. Abraham, Das, Goldstein, Goodstein and Hellerman. The Valuation Committee consists of Messrs. Abraham, Das, Goldstein and Goodstein. The table below details the amount of compensation the Fund’s Directors received from the Fund during the fiscal year ended July 31, 2022. Phillip Goldstein Independent Director 2000 $32,500.
2023-11-03 Phillip Goldstein (78) Independent Director; Chairman 2023; since 2000 Partner of Bulldog Investors, LLP since 2009; Partner of Ryan Heritage, LLP since 2019; a Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Chairman, High Income Securities Fund; Chairman, Special Opportunities Fund, Inc.; Director, Brookfield DTLA Fund Office Trust Investor, Inc.; Director, Swiss Helvetia Fund, Inc.; Trustee, Crossroads Liquidating Trust (until 2020); Director, MVC Capital, Inc. (until 2020). The current members of the Audit Committee are Messrs. Abraham, Das, Goldstein, Goodstein and Hellerman, each of whom is an Independent Director. The current members of the Nominating Committee are Messrs. Abraham, Das, Goldstein, Goodstein and Hellerman. The Valuation Committee consists of Messrs. Abraham, Das, Goldstein, Goodstein and Hellerman. Beginning in December 2021, the Fund pays each of its Directors who is not a director, officer or employee of the Adviser, U.S. Bancorp Fund Services, LLC, the administrator to the Fund (the “Administrator”), or any affiliate thereof an annual fee of $30,000 plus $500 for each special telephonic meeting attended. As additional annual compensation, the Chairman of the Fund will receive $3,750. The table below details the amount of compensation the Fund’s Directors received from the Fund during the fiscal year ended July 31, 2023. Phillip Goldstein $33,750.
2024-11-08 Phillip Goldstein (79) - Independent Director; Chairman; Director since 2000; Compensation $33,750; Committees: Audit, Nominating, Valuation.

SPECIAL OPPORTUNITIES FUND, INC.

Filing Date Source Excerpt
2009-11-19 Phillip Goldstein* (64) ... Interested Director ... Chairman and Secretary as of October 18, 2009 ... Estimated Aggregate Compensation From the Fund: $11,647
2010-08-10 Phillip Goldstein*** (65) Chairman and Secretary as of October 2009. Interested Director*** $11,647 compensation. Principal of the Adviser.
2011-10-27 Phillip Goldstein*** (66) Chairman and Secretary as of October 2009. Principal of the Adviser, since 2009; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of funds, since 1992. Compensation: $6,250**
2012-10-30 The Chairman of the Board, Mr. Goldstein, is an Interested Director and is the Secretary of the Fund and is a principal of the Adviser. Directors who are “interested persons” of the Adviser will not receive any compensation for their services as Directors. The table below details the amount of compensation the Fund's Directors received from the Fund during the fiscal year ended December 31, 2011. Phillip Goldstein None.
2014-02-18 Phillip Goldstein is Chairman and Secretary as of October 2009... Interested Director because of affiliation with the Adviser... No compensation received as Director.
2014-11-26 Phillip Goldstein*** (69) Chairman and Secretary as of October 2009. Member of the Adviser since 2009; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of private funds. Directors who are “interested persons” of the Adviser will not receive any compensation for their services as Directors.
2015-10-30 Phillip Goldstein*** (70) - Chairman and Secretary as of October 2009. Member of the Adviser since 2009; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of private funds. Compensation: None.
2016-10-31 Phillip Goldstein*** (71) Chairman and Secretary as of October 2009. Member of the Adviser since 2009; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of private funds. Directors who are “interested persons” of the Adviser will not receive any compensation for their services as Directors.
2017-10-31 Phillip Goldstein*** (72) Chairman and Secretary as of October 2009. Member of the Adviser since 2009; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of private funds. Aggregate Compensation: None.
2018-10-31 Phillip Goldstein*** (73) Chairman and Secretary as of October 2009. Member of the Adviser since 2009; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of private funds. Directors who are “interested persons” of the Adviser will not receive any compensation for their services as Directors.
2019-10-31 Phillip Goldstein*** (74) Chairman and Secretary as of October 2009. Member of the Adviser since 2009; Principal of the general partner of several private investment partnerships in the Bulldog Investors group of private funds. None compensation from the Fund.
2020-10-30 Phillip Goldstein*** (75) Chairman and Secretary as of October 2009. Member of the Adviser since 2009; Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Aggregate Compensation: None.
2021-11-09 Phillip Goldstein*** (76) Chairman and Secretary as of October 2009. Partner of the Adviser since 2009; Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Directors who are “interested persons” of the Adviser will not receive any compensation for their services as Directors.
2022-11-09 Phillip Goldstein*** (77) Chairman and Secretary as of October 2009. Partner in the Adviser since 2009; Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Interested Directors do not receive compensation.
2023-10-26 Phillip Goldstein*** (78) Chairman and Secretary as of October 2009. Partner of the Adviser since 2009; Partner of Ryan Heritage, LLP since 2019; Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. None compensation from the Fund.
2024-10-31 Phillip Goldstein*** (79) Chairman and Secretary as of October 2009. Partner of the Adviser since 2009; Partner of Ryan Heritage, LLP since 2019; Principal of the former general partner of several private investment partnerships in the Bulldog Investors group of private funds. Interested Director, Chairman and Secretary. None compensation.

Data sourced from SEC filings. Last updated: 2026-02-03