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
- 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.
- 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.
- The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.