SEC Form 5 · accession 0001144204-17-008364
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 31, 2016
Accepted (ET)
Feb 14, 2017 · 10:30 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,F2 | Oct 26, 2016 | D | 757 | $15.61 | D | 3,456 | 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's spouse 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 owner of such securities for purposes of Section 16 or for any other purposes.
Remarks
The filing of this Statement shall not be construed as an admission (a) that the person filing this Statement is, for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, the beneficial owner of any equity securities covered by this Statement, or (b) that this Statement is legally required to be filed by such person.