4//SEC Filing
Lunder Marc 4
Accession 0001104659-21-086634
CIK 0000897802other
Filed
Jun 28, 8:00 PM ET
Accepted
Jun 29, 10:52 AM ET
Size
12.0 KB
Accession
0001104659-21-086634
Insider Transaction Report
Form 4
Lunder Marc
Director
Transactions
- Exercise/Conversion
Common Stock
2021-06-23+1,369→ 4,869 total(indirect: By IRA) - Exercise/Conversion
3.50% Convertible Preferred Stock Series B
2021-06-23−660→ 0 total(indirect: By IRA)Exercise: $0.00→ Common Stock (1,290 underlying) - Exercise/Conversion
Common Stock
2021-06-23+1,290→ 4,590 total(indirect: By IRA) - Exercise/Conversion
3.50% Convertible Preferred Stock Series B
2021-06-23−700→ 0 total(indirect: By IRA)Exercise: $0.00→ Common Stock (1,369 underlying)
Footnotes (3)
- [F1]On June 23, 2021 the Reporting Person converted: (i) 700 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's SEP IRA into 1,369 shares of the Registrant's common stock and (ii) 660 shares of the Registrant's 3.50% Convertible Preferred Stock Series B held in the Reporting Person's Roth IRA into 1,290 shares of the Registrant's common stock.
- [F2]The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9558 shares of common stock for each share of Preferred Stock held, subject to adjustment.
- [F3]The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021.
Documents
Issuer
SPECIAL OPPORTUNITIES FUND, INC.
CIK 0000897802
Entity typeother
Related Parties
1- filerCIK 0001629986
Filing Metadata
- Form type
- 4
- Filed
- Jun 28, 8:00 PM ET
- Accepted
- Jun 29, 10:52 AM ET
- Size
- 12.0 KB