SEC Form 4 · accession 0001144204-16-130527
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
Oct 26, 2016
Accepted (ET)
Oct 31, 2016 · 3:17 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 | Oct 26, 2016 | D | 14,830 | $15.61 | D | 67,670 | D | |
| Common StockF2 | holding | — | — | — | 4,213 | I | Spouse |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The reported securities were tendered by the Reporting Person pursuant to the terms of the Tender Offer Statement filed by the Issuer on September 21, 2016.
- F2The 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 owners of such securities for purposes of Section 16 or for any other purpose.