0001104659-22-017157.txt : 20220209
0001104659-22-017157.hdr.sgml : 20220209
20220209170053
ACCESSION NUMBER: 0001104659-22-017157
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20220207
FILED AS OF DATE: 20220209
DATE AS OF CHANGE: 20220209
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GOLDSTEIN PHILLIP
CENTRAL INDEX KEY: 0001067621
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-07528
FILM NUMBER: 22608022
MAIL ADDRESS:
STREET 1: 60 HERITAGE DRIVE
CITY: PLEASANTVILLE
STATE: NY
ZIP: 10570
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SPECIAL OPPORTUNITIES FUND, INC.
CENTRAL INDEX KEY: 0000897802
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
IRS NUMBER: 133702911
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: C/O US BANCORP FUND SERVICES, LLC
STREET 2: 615 EAST MICHIGAN AVENUE
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
BUSINESS PHONE: 414-765-4319
MAIL ADDRESS:
STREET 1: C/O US BANCORP FUND SERVICES, LLC
STREET 2: 615 EAST MICHIGAN AVENUE
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
FORMER COMPANY:
FORMER CONFORMED NAME: INSURED MUNICIPAL INCOME FUND INC
DATE OF NAME CHANGE: 19960213
FORMER COMPANY:
FORMER CONFORMED NAME: PAINEWEBBER PREMIER INSURED MUNICIPAL INCOME FUND INC
DATE OF NAME CHANGE: 19930714
4
1
tm225995-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-02-07
0
0000897802
SPECIAL OPPORTUNITIES FUND, INC.
SPE
0001067621
GOLDSTEIN PHILLIP
60 HERITAGE DRIVE
PLEASANTVILLE
NY
10570
1
1
0
0
Chairman and Secretary
Common Stock
2022-02-07
4
P
0
2000
14.755
A
21350
D
2.75% Convertible Preferred Stock, Series C
0
Common Stock
11426
9369
D
Shares of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.2195 shares of common stock for each share of Preferred Stock held), subject to adjustment.
The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.
/s/ Stephanie Darling, as Power of Attorney for Phillip Goldstein
2022-02-09