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