Filing Details

Accession Number:
0001104659-21-078188
Form Type:
4
Zero Holdings:
No
Publication Time:
2021-06-08 15:28:18
Reporting Period:
2021-06-04
Accepted Time:
2021-06-08 15:28:18
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 Disposition 2021-06-04 88,330 $15.32 26,417 No 4 S Direct
Common Stock Disposition 2021-06-07 10,000 $15.43 16,417 No 4 S Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Direct
No 4 S 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 2021-06-07 2,800 $30.05 5,436 $0.00
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
2,800 No 4 P Direct
Footnotes
  1. This amount includes certain shares previously held Indirectly by the Reporting Person's spouse.
  2. The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $15.48 per share of common stock (which is a ratio of 1.9416 shares of common stock for each share of Preferred Stock held), subject to adjustment.
  3. The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.