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