PHILLIP GOLDSTEIN - 22 Aug 2025 Form 4 Insider Report for SPECIAL OPPORTUNITIES FUND, INC. (SPE)

Role
Chairman and Secretary, Director
Signature
/s/ Stephanie Darling, as Power of Attorney for Phillip Goldstein
Issuer symbol
SPE
Transactions as of
22 Aug 2025
Transactions value $
-$75,300
Form type
4
Filing time
25 Aug 2025, 17:01:25 UTC
Previous filing
08 Apr 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
GOLDSTEIN PHILLIP Chairman and Secretary, Director 60 HERITAGE DRIVE, PLEASANTVILLE /s/ Stephanie Darling, as Power of Attorney for Phillip Goldstein 25 Aug 2025 0001067621

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SPE Common Stock 34,822 22 Aug 2025 Direct

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction SPE 2.75% Convertible Preferred Stock, Series C Sale -$75,300 -3,000 -96% $25.1 120 22 Aug 2025 Common Stock 4,591 $0 Direct F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.5303 shares of common stock for each share of Preferred Stock held.
F2 The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.