Phillip Goldstein - 02 Mar 2026 Form 4 Insider Report for SPECIAL OPPORTUNITIES FUND, INC. (SPE)

Role
Chairman and Secretary, Director, Affiliate of the Adviser
Signature
/s/ Stephanie Darling, Power of Attorney for Phillip Goldstein
Issuer symbol
SPE
Transactions as of
02 Mar 2026
Net transactions value
$0
Form type
4
Filing time
09 Mar 2026, 16:05:08 UTC
Previous filing
02 Mar 2026
Next filing
09 Mar 2026
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
GOLDSTEIN PHILLIP Chairman and Secretary, Director, Affiliate of the Adviser 60 HERITAGE DRIVE, PLEASANTVILLE /s/ Stephanie Darling, Power of Attorney for Phillip Goldstein 09 Mar 2026 0001067621

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
holding SPE Common Stock 34,822 02 Mar 2026 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 Small acquisition under Rule 16a-6 +100 +1.6% $25.09* 6,198 02 Mar 2026 Common Stock 168 $0.000000 Direct F1, F2
transaction SPE 2.75% Convertible Preferred Stock, Series C Small acquisition under Rule 16a-6 +100 +1.6% $25.09* 6,298 04 Mar 2026 Common Stock 168 $0.000000 Direct F1, F2
transaction SPE 2.75% Convertible Preferred Stock, Series C Purchase +3,952 +63% $25.09 10,250 05 Mar 2026 Common Stock 6,645 $0.000000 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 1.6813 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.