SEC Form 4 · accession 0001144204-16-131064
SPECIAL OPPORTUNITIES FUND, INC. · SPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Gerald Hellerman
Officer — CCO and CFO · Director
Period of report
Nov 1, 2016
Accepted (ET)
Nov 2, 2016 · 2:22 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 | Nov 1, 2016 | P | 3,000 | $14.16 | A | 11,899 | D | |
| Common StockF2 | holding | — | — | — | 9,388 | I | By Spouse's IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the issuer, or a security holder of the issuer.
- 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 owner of such securities for purposes of Section 16 or for any other purposes.