Filing Details

Accession Number:
0001104659-20-028453
Form Type:
4
Zero Holdings:
No
Publication Time:
2020-03-03 14:24:20
Reporting Period:
2020-02-28
Accepted Time:
2020-03-03 14:24:20
SEC Url:
Form 4 Filing
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
  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 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.
  3. 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.
  4. If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.