Key facts
- This page summarizes Ben H. Harris's Form 4 filing for SPECIAL OPPORTUNITIES FUND, INC. (SPE).
- 2 reported transactions and 1 derivative row are listed below.
- Accepted by SEC: 12 May 2021, 17:04.
Ben H. Harris - 11 May 2021 Form 4 Insider Report for SPECIAL OPPORTUNITIES FUND, INC. (SPE)
- Reporting relationship
- Director
- Issuer ticker
- SPE
- Reported as of
- 11 May 2021
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 12 May 2021, 17:04:29 UTC
- Prior SEC filing
- 11 May 2021
- Next SEC filing
- 20 Sep 2021
- Source filing
- View source filing
- Reporting owner signature
- /s/ Stephanie Darling, Power of Attorney for Ben H. Harris
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Ben H. Harris filed Form 4 for SPECIAL OPPORTUNITIES FUND, INC. (SPE) on 12 May 2021.
Change
- Previous filing in this sequence was filed on 11 May 2021.
- Current net transaction value: $0.
Research use
- This tells you what this filing adds before you inspect full transaction and derivative tables.
- You can trace every row back to the original SEC filing document.
Evidence
Filed on Form 4
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported non-derivative transactions
Shares, units, or other non-derivative securities reported in this filing.
SPE
transaction
Common Stock
Options Exercise
- Transaction value
- Shares
- +771
- Change %
- +7.5%
- Price
- Shares after
- 11,014
- Date
- 11 May 2021
- Ownership
- See Footnote
- Footnotes
- F1, F4
SPE
holding
Common Stock
No transaction description listed
- Transaction value
- Shares
- Change %
- Price
- Shares after
- 3,061
- Date
- 11 May 2021
- Ownership
- Direct
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
SPE
transaction
Derivative
3.50% Convertible Preferred Stock Series B
Options Exercise
- Transaction value
- Shares
- -400
- Change %
- -100%
- Price
- Shares after
- 0
- Date
- 11 May 2021
- Ownership
- See Footnote
- Underlying class
- Common Stock
- Underlying amount
- 771
- Exercise price
- $0.000000
- Footnotes
- F1, F2, F3, F4
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 4 footnotes
Footnote F1
On May 11, 2021 the Reporting Person converted 400 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 771 shares of the Registrant's common stock.
Footnote F2
The shares of Preferred Stock are convertible into common stock immediately upon issuance at the current conversion ratio of 1.9275 shares of common stock for each share of Preferred Stock held, subject to adjustment.
Footnote F3
If not converted prior, the shares of Preferred Stock will be redeemed by the Registrant on August 19, 2021.
Footnote F4
Hormel Harris Investments, LLC.