SEC Form 4 · accession 0001144204-19-000710

SPECIAL OPPORTUNITIES FUND, INC. · SPE

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).

Reporting owner

Officer — Chairman and Secretary · Director

Period of report

Dec 19, 2018

Accepted (ET)

Jan 4, 2019 · 5:30 pm 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	Dec 19, 2018	P	5,000	$11.61	A	97,088	D
Common Stock	Jan 2, 2019	P	3	$11.75	A	97,091	D
Common Stock^F1	holding	—	—		—	3,456	I	Spouse

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
3.50% Convertible Preferred Stock Series B^F2,F3	$0.00	Jan 3, 2019	X	3,000	A	—	—	Common Stock	3,947	19,499	D
3.50% Convertible Preferred Stock Series B^F1,F2,F3	$0.00	holding	—	—	—	—	—	Common Stock	1,108	842	I

F1The 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.
F2The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $19.00 per share of common stock (which is a ratio of 1.3158 shares of common stock for each share of Preferred Stock held), subject to adjustment.
F3The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021.