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SPECIAL OPPORTUNITIES FUND, INC. — Director's Dealing 2021
Jul 15, 2021
33831_dirs_2021-07-15_d12bd367-ebb0-47e8-98b2-62d48cb5b274.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: SPECIAL OPPORTUNITIES FUND, INC. (SPE)
CIK: 0000897802
Period of Report: 2021-06-24
Reporting Person: WALDEN CHARLES C (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2021-06-24 | Common Stock | M | 9779 | — | Acquired | 30285 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2021-06-24 | 3.50% Convertible Preferred Stock Series B | $0 | M | 5000 | Disposed | Common Stock (9779) | Direct |
Footnotes
F1: On June 24, 2021 the Reporting Person converted 5,000 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 9,779 shares of the Registrant's common stock.
F2: The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.
F3: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.