Filing Details
- Accession Number:
- 0001144204-14-011985
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-27 14:48:10
- Reporting Period:
- 2014-02-26
- Filing Date:
- 2014-02-27
- Accepted Time:
- 2014-02-27 14:48:10
- 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 |
|---|---|---|---|---|---|---|---|
| 1222911 | Gerald Hellerman | 5431 Nw 21St Avenue Boca Raton FL 33496 | Cco And Cfo | Yes | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2014-02-27 | 836 | $0.00 | 7,220 | No | 4 | C | Direct | |
| Common Stock | Acquisiton | 2014-02-26 | 900 | $16.00 | 5,170 | No | 4 | P | Indirect | By Spouse |
| Common Stock | Acquisiton | 2014-02-27 | 1,858 | $0.00 | 7,028 | No | 4 | C | Indirect | By Spouse |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | C | Direct | |
| No | 4 | P | Indirect | By Spouse |
| No | 4 | C | Indirect | By Spouse |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | 3.00% Convertible Preferred Stock, Series A | Disposition | 2014-02-27 | 225 | $0.00 | 836 | $0.00 |
| Common Stock | 3.00% Convertible Preferred Stock, Series A | Disposition | 2014-02-27 | 500 | $0.00 | 1,858 | $0.00 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 225 | No | 4 | C | Direct | ||
| 500 | No | 4 | C | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 1,000 | Indirect | By Spouse's IRA |
Footnotes
- The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes.
- The shares of 3.00% Convertible Preferred Stock, Series A ("Preferred Stock") are convertible into common stock immediately upon issuance at the ratio of 3.7160 shares of common stock for every one share of Preferred Stock, subject to adjustment.
- The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to July 10, 2017.
Billionaire Hedge Funds
