SEC Form 4/A · accession 0001144204-19-001122
SPECIAL OPPORTUNITIES FUND, INC. · SPE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Phillip Goldstein
Officer — Chairman and Secretary · Director
Period of report
Dec 19, 2018
Accepted (ET)
Jan 8, 2019 · 5:33 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000897802
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| 3.50% Convertible Preferred Stock Series BF1,F2 | $0.00 | Jan 3, 2019 | P | 3,000 | A | — | — | Common Stock | 3,947 | 19,499 | D |
Explanation of responses
- F1The 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.
- F2The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to August 26, 2021.
- F3This amended Form 4 is being filed to correct the Transaction Code.