0001104659-24-000314.txt : 20240102
0001104659-24-000314.hdr.sgml : 20240102
20240102155416
ACCESSION NUMBER: 0001104659-24-000314
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20231228
FILED AS OF DATE: 20240102
DATE AS OF CHANGE: 20240102
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: WALDEN CHARLES C
CENTRAL INDEX KEY: 0001475052
ORGANIZATION NAME:
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 811-07528
FILM NUMBER: 24502260
MAIL ADDRESS:
STREET 1: C/O INSURED MUNICIPAL INCOME FUND INC.
STREET 2: 615 EAST MICHIGAN STREET
CITY: MILWAUKEE
STATE: WI
ZIP: 53202
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SPECIAL OPPORTUNITIES FUND, INC.
CENTRAL INDEX KEY: 0000897802
STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000]
ORGANIZATION NAME:
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
tm241490-2_4seq1.xml
OWNERSHIP DOCUMENT
X0508
4
2023-12-28
0
0000897802
SPECIAL OPPORTUNITIES FUND, INC.
SPE
0001475052
WALDEN CHARLES C
C/O SPECIAL OPPORTUNITIES FUND, INC.,
615 EAST MICHIGAN STREET
MILWAUKEE
WI
53202
1
0
0
0
0
Common Stock
25271
D
2.75% Convertible Preferred Stock, Series C
0
2023-12-28
4
P
0
1000
22.85
A
Common Stock
1363
3000
D
2.75% Convertible Preferred Stock, Series C
0
2023-12-29
4
P
0
10
22.70
A
Common Stock
14
3010
D
The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio that is subject to adjustment. The current conversion ratio is equal to 1.3634 shares of common stock for each share of Preferred Stock held.
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 Charles Walden
2024-01-02