SEC Form 4 · accession 0001144204-15-036789
SPECIAL OPPORTUNITIES FUND, INC. · SPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ben H Harris
Director
Period of report
Jun 2, 2015
Accepted (ET)
Jun 11, 2015 · 5:47 pm EDT
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 StockF1,F2 | Jun 2, 2015 | P | 1,000 | $15.50 | A | 4,557 | D | |
| Common Stock | Jun 3, 2015 | P | 2,200 | $15.5391 | A | 6,757 | D | |
| Common StockF3 | Jun 8, 2015 | S | 6,201 | $15.54 | D | 0 | I | By NHI II, LLC |
| Common Stock | Jun 8, 2015 | P | 6,201 | $15.54 | A | 6,201 | I | By HHI II, LLC |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1In 2014, the Reporting Person received 769 shares of common stock in exchange for 207 shares of preferred stock which he held.
- F2Under the Issuer's Dividend Reinvestment Plan, the Reporting Person reinvested cash dividends in common stock. The dividends were not previously reported on a Form 4
- F3Under the Issuer's Dividend Reinvestment Plan, NHI II, LLC reinvested cash dividends in common stock. The dividends were not previously reported on a Form 4; the dividend amount was 1,201 shares.