SEC Form 4 · accession 0001144204-15-062681
SPECIAL OPPORTUNITIES FUND, INC. · SPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Phillip Goldstein
Officer — Chairman and Secretary · Director
Period of report
Nov 2, 2015
Accepted (ET)
Nov 4, 2015 · 11:49 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 Stock | Nov 2, 2015 | P | 3,133 | $14.55 | A | 68,027 | D | |
| Common Stock | Nov 3, 2015 | P | 1,867 | $14.55 | A | 69,894 | D | |
| Common StockF1 | holding | — | — | — | 213 | I | Spouse | |
| Common StockF1,F2 | holding | — | — | — | 12,069 | D | ||
| Common StockF1,F2 | holding | — | — | — | 11,304 | D | ||
| Common StockF1,F2 | holding | — | — | — | 6,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The Reporting Person disclaims beneficial ownership of the securities owned by his family members 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.
- F2Shares are held jointly with a family member.