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Filing Details

Accession Number:: 0001561169-12-000003
Form Type:: 5
Zero Holdings:: No
Publication Time:: 2012-11-15 13:46:49
Reporting Period:: 2010-12-31

Filing Date:: 2012-11-15
Accepted Time:: 2012-11-15 13:46:49
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
897802	Special Opportunities Fund Inc.	SPE	(0)	133702911

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1561169	Steven Samuels	72 Coleytown Road Westport CT 06882		No	No	No	Yes

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2010-01-22	618,849	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	109,292	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	528,239	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	87,260	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	43,589	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	29,600	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	219,332	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	146,318	$14.18	No	4	S	Indirect	Footnote
Common Stock	Disposition	2010-01-22	202,055	$14.18	No	4	S	Indirect	Footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote
No	4	S	Indirect	Footnote

Footnotes

The reported securities were tendered by Full Value Partners, LP pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person was a limited partner of Full Value Partners, LP on the date the shares were tendered. The Reporting Person was also a member of Full Value Advisors, LLC, which was the general partner of Full Value Partners on that date. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by Opportunity Income Plus, LP pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The spouse of the Reporting Person was a limited partner of Opportunity Income Plus, LP on the date the shares were tendered. The Reporting Person was also a member of SPAR Advisors, LLC, which was the general partner of Opportunity Income Plus, LP on that date. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by Opportunity Partners, LP pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person and his spouse jointly held a limited partnership interest in Opportunity Partners, LP on the date the shares were tendered. The Reporting Person was also a shareholder of Kimball & Winthrop, Inc., which was the general partner of Opportunity Partners, LP on that date. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by Full Value Special Situations Fund, LP pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person was a limited partner of Full Value Special Situations Fund, LP on the date the shares were tendered. The Reporting Person was also a member of Full Value Special Situations Fund GP, LLC, which was the general partner of Full Value Special Situations Fund, LP on that date. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by Full Value Offshore Partners, LP pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person was a member of Full Value Advisors, LLC, which was the general partner of Full Value Partners on the date the shares were tendered. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by MCM Opportunity Partners, LP pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person was a member of Full Value Advisors, LLC, which was the general partner of MCM Opportunity Partners on the date the shares were tendered. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by Calapasas Investment Partnership No. 1, L.P. ("Calapasas") pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person was a shareholder of Kimball & Winthrop, Inc., which was the Investment Manager of Calapasas on the date the shares were tendered. Kimball & Winthrop, Inc. had sole voting and dispositive power over the reported securities on that date. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by Mercury Partners, L.P. pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person was a shareholder of Kimball & Winthrop, Inc., which was the Investment Manager of Mercury Partners, L.P. on the date the shares were tendered. Kimball & Winthrop, Inc. had sole voting and dispositive power over the reported securities on that date. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.
The reported securities were tendered by Steady Gain Partners, L.P. pursuant to the terms of a Tender Offer Statement filed by the Issuer on December 23, 2009. The Reporting Person was a shareholder of Kimball & Winthrop, Inc., which was the Investment Manager of Steady Gain Partners, L.P. on the date the shares were tendered. Kimball & Winthrop, Inc. had sole voting and dispositive power over the reported securities on that date. The Reporting Person disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein.