Home > Insider Trading > Filing (0001104659-20-028453)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
355933	Special Opportunities Fund	SPE	(0)	351524384

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1341021	Andrew Dakos	C/O Special Opportunities Fund, Inc. 615 East Michigan Street Milwaukee WI 53202	President	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	2020-02-28	1,000	$13.25	5,921	No	4	P	Direct

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Direct

Reported Derivative Transactions

Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	3.50% Convertible Preferred Stock Series B	Acquisiton	2020-02-28	1,000	$25.60	1,750	$0.00

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
2,200			No	4	P	Direct

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	4,336	Indirect	By Spouse
Common Stock	633	Indirect	By Minor Children

Reported Derivative Holdings

Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	3.50% Convertible Preferred Stock Series B	$0.00			0	966	Indirect
Common Stock	3.50% Convertible Preferred Stock Series B	$0.00			0	156	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
	0	966	Indirect
	0	156	Indirect

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 Reporting Person disclaims beneficial ownership of the securities owned by his minor children 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 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.
If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.