0001104659-20-028453.txt : 20200303
0001104659-20-028453.hdr.sgml : 20200303
20200303142420
ACCESSION NUMBER: 0001104659-20-028453
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20200228
FILED AS OF DATE: 20200303
DATE AS OF CHANGE: 20200303
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Dakos Andrew
CENTRAL INDEX KEY: 0001341021
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-03291
FILM NUMBER: 20681381
MAIL ADDRESS:
STREET 1: PARK 80 WEST
STREET 2: 250 PEHLE AVE. STE 708
CITY: SADDLE BROOK
STATE: NJ
ZIP: 07663
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SPECIAL OPPORTUNITIES FUND
CENTRAL INDEX KEY: 0000355933
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 351524384
STATE OF INCORPORATION: MD
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 1300 S CLINTON STREET
STREET 2: P O BOX 1110
CITY: FORT WAYNE
STATE: IN
ZIP: 46802
BUSINESS PHONE: 2194552000
MAIL ADDRESS:
STREET 1: 1300 S CLINTON STREET
STREET 2: POST OFFICE BOX 1110
CITY: FORT WAYNE
STATE: IN
ZIP: 46802
FORMER COMPANY:
FORMER CONFORMED NAME: LINCOLN NATIONAL SPECIAL OPPORTUNITIES FUND INC
DATE OF NAME CHANGE: 19920703
4
1
tv538790_4.xml
OWNERSHIP DOCUMENT
X0306
4
2020-02-28
0
0000355933
SPECIAL OPPORTUNITIES FUND
SPE
0001341021
Dakos Andrew
C/O SPECIAL OPPORTUNITIES FUND, INC.
615 EAST MICHIGAN STREET
MILWAUKEE
WI
53202
1
1
0
0
President
Common Stock
2020-02-28
4
P
0
1000
13.25
A
5921
D
Common Stock
4336
I
By Spouse
Common Stock
633
I
By Minor Children
3.50% Convertible Preferred Stock Series B
0
2020-02-28
4
P
0
1000
25.60
A
Common Stock
1750
2200
D
3.50% Convertible Preferred Stock Series B
0
Common Stock
966
I
By Spouse
3.50% Convertible Preferred Stock Series B
0
Common Stock
156
I
By Minor Children
The 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.
The Reporting Person disclaims beneficial ownership of the securities owned by his minor children 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.
The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion rate equivalent to a conversion price of $14.29 per share of common stock (which is a ratio of 1.7499 shares of common stock for each share of Preferred Stock held), subject to adjustment.
If not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on August 19, 2021.
/s/ Stephanie Darling, Power of Attorney for Phillip Goldstein
2020-03-03