Welcome to our dedicated page for High Income Securities SEC filings (Ticker: PCF), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
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High Income Securities Fund director Phillip Goldstein reported open-market purchases of the fund’s common stock. On 02/02/2026 he bought 7,514 shares at $6.05 per share, and on 02/03/2026 he bought 10,000 shares at $6.05 per share. Following these transactions, he directly owned 23,448 common shares.
High Income Securities Fund affiliate reports small insider purchases of common stock. On 01/16/2026, reporting person Rajeev P. Das filed a Form 4 as an affiliate of the adviser to the fund.
One transaction shows a direct purchase of 1,628 shares of common stock at $6.1455 per share, resulting in direct ownership of 1,628 shares. A separate transaction on the same date reports 1,628 shares at $6.14 per share held indirectly through Mr. Das’s spouse; he expressly disclaims beneficial ownership of these spouse-held shares.
The filing also notes that Mr. Das ceased being a trustee of High Income Securities Fund as of 12/15/2025, and the current filing is made by one reporting person.
LPL Financial LLC filed an amended ownership report on High Income Securities Fund common stock. LPL reports beneficial ownership of 1,341,910 shares, representing 7.2% of the class, based on 18,716,450 shares outstanding as of October 20, 2025. LPL has shared dispositive power over these shares but no sole voting or dispositive power.
The shares are held in client accounts where LPL acts as investment adviser and an independent contractor of LPL has discretionary authority over dispositions. The clients have the right to receive dividends and sale proceeds, and no individual client is known to hold more than five percent of the fund’s common stock. LPL certifies the holdings are in the ordinary course of business and not for the purpose of influencing control of the fund.
High Income Securities Fund director reports open-market share purchases. The Form 4 shows that a reporting person serving as a director of HIGH INCOME SECURITIES FUND bought common stock on three consecutive days in December. On 12/16/2025, the director purchased 2,487 shares at a price of $6.04 per share. On 12/17/2025, an additional 800 shares were purchased at $6.03 per share. On 12/18/2025, the director purchased 2,500 shares at $5.99 per share. After these transactions, the director beneficially owned 5,934 common shares, held directly. The filing is signed by /s/ Stephanie Darling as Power of Attorney for Phillip Goldstein.
High Income Securities Fund (PCF) will hold its annual shareholder meeting on December 15, 2025 at 11:30 a.m. ET at U.S. Bank Global Fund Services in Milwaukee. Shareholders will vote on electing six trustees to serve until the next annual meeting. The Board unanimously recommends voting FOR all nominees.
The record date is October 20, 2025, with 18,716,450 shares outstanding as of that date. A quorum requires the presence of holders of at least 30% of shares. Trustees are elected by a plurality of votes cast. If a signed proxy is returned without instructions, shares will be voted FOR Proposal 1 and on other business at the proxies’ discretion. Management and trustees, as a group, beneficially owned less than 1% as of the record date. Based on public filings, Thomas J. Herzfeld Advisors Inc. and LPL Financial LLC each held more than 5%.