Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SPECIAL OPPORTUNITIES FUND, INC.SPE · Entity 6548 | Director | January 27, 2022 | January 28, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
SPECIAL OPPORTUNITIES FUND, INC.
Report date January 27, 2022 · Filed January 28, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 2.75% Convertible Preferred Stock, Series CSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | IndirectBy Roth IRA | 1,000 |
Reported balance
After 2022-01-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-01-27 · Other · Acquired 1,000 · Balance 1,000 F1: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege. F2: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022. F3: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. F4: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. |
| Common StockSEC Table I · non-derivative | IndirectBy SEP IRA | 4,869 |
Reported balance
Holding disclosure · report date 2022-01-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 4,869 |
| Common StockSEC Table I · non-derivative | IndirectBy Roth IRA | 4,590 |
Reported balance
Holding disclosure · report date 2022-01-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 4,590 |
Filing footnotes · ownership attribution and instrument terms
F1: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege.
F2: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022.
F3: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment.
F4: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 27, 2022 Filed Jan 28, 2022 22:22 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Other2.75% Convertible Preferred Stock, Series C · Derivative | 1,000 | $25.00 Strike: $0.00 | $25,000.00 |
DisclosureSEC source: 0001104659-22-009093 · tm224833d4_4.xml · derivative · entry 3 Lunder Marc · CIK 0001629986 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Roth IRA Disclosed balance after: 1,000 Underlying: Common Stock · 1,219 shares Expires not disclosed F1 · security: Transferable subscription rights ("Rights") were issued on a pro rata basis to stockholders of record as of December 20, 2021 in connection with a rights offering by the Issuer at the rate of one Right for each five shares of common stock owned (the "Basic Subscription Right"). Each Right entitled its holder to purchase one share of 2.75% Convertible Preferred Stock, Series C ("Preferred Stock") at a subscription price of $25 per share. Pursuant to the terms of the offering, a stockholder who purchased the maximum amount of Preferred Stock pursuant to its Basic Subscription Right was also entitled to purchase additional shares of Preferred Stock that were not purchased by the other stockholders (the "Over-Subscription Privilege"). Additionally, in order to honor all Over-Subscription Privilege requests, the Issuer issued up to 1,500,000 additional shares of Preferred Stock to honor the Over-Subscription Privilege. F2 · date: The rights offering expired January 21, 2022 and shares of Preferred Stock are expected to be allocated by the transfer agent to purchasing stockholders on or about January 27, 2022. F3 · derivative.exercise_date: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. F4 · derivative.expiration_date: The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. F3 · derivative.underlying_shares: The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion rate equivalent to a conversion price of $20.50 per share of common stock (which is a ratio of 1.219 shares of common stock for each share of Preferred Stock held), subject to adjustment. Read SEC document |
| June 23, 2021 Filed Jun 29, 2021 14:52 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversion3.50% Convertible Preferred Stock Series B · Derivative | 660 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · derivative · entry 4 Lunder Marc · CIK 0001629986 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Roth IRA Disclosed balance after: 0 Underlying: Common Stock · 1,290 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · derivative.exercise_date: 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 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021. Read SEC document |
| June 23, 2021 Filed Jun 29, 2021 14:52 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversion3.50% Convertible Preferred Stock Series B · Derivative | 700 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · derivative · entry 3 Lunder Marc · CIK 0001629986 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SEP IRA Disclosed balance after: 0 Underlying: Common Stock · 1,369 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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 · derivative.exercise_date: 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 · derivative.expiration_date: The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021. Read SEC document |
| June 23, 2021 Filed Jun 29, 2021 14:52 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversionCommon Stock | 1,290 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · nonDerivative · entry 2 Lunder Marc · CIK 0001629986 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Roth IRA Disclosed balance after: 4,590 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. Read SEC document |
| June 23, 2021 Filed Jun 29, 2021 14:52 UTC | SPECIAL OPPORTUNITIES FUND, INC. SPE · Entity 6548 | Exercise / conversionCommon Stock | 1,369 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-21-086634 · tm2120879-1_4seq1.xml · nonDerivative · entry 1 Lunder Marc · CIK 0001629986 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By SEP IRA Disclosed balance after: 4,869 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.