SEC Form 4 · accession 0001144204-15-070259
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
Dec 8, 2015
Accepted (ET)
Dec 10, 2015 · 11:46 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 StockF1 | Dec 8, 2015 | J | 13,969 | $0.00 | D | 0 | D | |
| Common StockF1 | Dec 8, 2015 | J | 11,304 | $0.00 | D | 0 | D | |
| Common StockF1 | Dec 8, 2015 | J | 13,000 | $0.00 | D | 0 | D | |
| Common Stock | holding | — | — | — | 77,894 | D | ||
| Common StockF1 | holding | — | — | — | 213 | I | Spouse |
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 owners of such securities for purposes of Section 16 or for any other purpose.
- F2The shares of SPE previously held in accounts jointly held by the Reporting Person with certain family members, and for which the Reporting Person has disclaimed beneficial ownership, have been transferred out of such accounts. Such shares are now held individually by such family members, and as a result will no longer be reported on the Reporting Person's Forms 4.