Filing Details

Accession Number:
0001104659-24-000311
Form Type:
4
Zero Holdings:
No
Publication Time:
2024-01-02 15:53:25
Reporting Period:
2023-12-28
Accepted Time:
2024-01-02 15:53:25
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
1067621 Phillip Goldstein 60 Heritage Drive
Pleasantville NY 10570
Chairman And Secretary 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 2023-12-28 44 $11.75 30,503 No 4 P Direct
Common Stock Acquisiton 2023-12-28 1,319 $11.78 31,822 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock 2.75% Convertible Preferred Stock, Series C Disposition 2023-12-28 2,623 $22.85 3,576 $0.00
Common Stock 2.75% Convertible Preferred Stock, Series C Disposition 2023-12-29 3,008 $22.90 4,101 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
6,746 No 4 S Direct
3,738 No 4 S Direct
Footnotes
  1. The Form 4 previously filed by the reporting person on 2/7/2023 inadvertently overstated both the acquisition amount (in column 4 of Table I) and total amount (in column 5 of Table I) by 1,000 shares, which error was carried forward in subsequent Form 4s filed by the reporting person. Shares reported here reflect accurate holdings.
  2. The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held.
  3. The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.