SEC Form 4/A · accession 0001144204-15-001035
SPECIAL OPPORTUNITIES FUND, INC. · SPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Andrew Dakos
Officer — President · Director
Period of report
Feb 20, 2014
Accepted (ET)
Jan 7, 2015 · 11:10 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000897802
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF4,F1 | Feb 20, 2014 | C | 4,287 | $0.00 | A | 5,287 | I | By Spouse |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 3.00% Convertible Preferred Stock, Series AF1,F2,F3,F4 | $0.00 | Feb 20, 2014 | C | 1,154 | D | — | — | Common Stock | 4,287 | 0 | I |
Explanation of responses
- F1The 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.
- F2The shares of Preferred Stock are convertible into common stock immediately upon issuance at the ratio of 3.198 shares of common stock for every one share of Preferred Stock, subject to adjustment.
- F3The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to July 24, 2017.
- F4This amendment is being filed in order to correct the number of shares of common stock received as a result of the conversion of Preferred Stock.