Filing Details

Accession Number:
0001144204-13-025954
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-05-02 15:31:44
Reporting Period:
2013-05-01
Filing Date:
2013-05-02
Accepted Time:
2013-05-02 15:31:44
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 2013-05-01 2,000 $17.08 4,250 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 4,270 Indirect By Spouse
Common Stock 1,000 Indirect By Spouse's IRA
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock 3.00% Convertible Preferred Stock, Series A $0.00 675 225 Direct
Common Stock 3.00% Convertible Preferred Stock, Series A $0.00 1,500 500 Indirect
Expiration Date Amount Remaning Holdings Nature of Ownership
675 225 Direct
1,500 500 Indirect
Footnotes
  1. 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.
  2. The shares of 3.00% Convertible Preferred Stock, Series A ("Preferred Stock") are convertible into common stock immediately upon issuance at the ratio of three shares of common stock for every one share of Preferred Stock, subject to adjustment.
  3. The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to July 10, 2017.