Form 4 for SPE SPECIAL OPPORTUNITIES FUND, INC.
Accepted 2021-07-14 00:00:00 ET · period of report 2021-07-09 · accession 0001104659-21-092035 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DMI | 2021-07-14 | 2021-07-09 | SPE | Dakos Andrew | Pres, Dir | M - OptEx | — | +2,192 | 936 | New | — |
| D | 2021-07-14 | 2021-07-09 | SPE | Dakos Andrew | Pres, Dir | M - OptEx | — | +6,257 | 12.2K | +106% | — |
| DMI | 2021-07-14 | 2021-07-09 | SPE | Dakos Andrew | Pres, Dir | M - OptEx | — | -1,122 | 0 | -100% | — |
| D | 2021-07-14 | 2021-07-09 | SPE | Dakos Andrew | Pres, Dir | M - OptEx | — | -3,200 | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-07-09 | M | A | 1,889 | — | 6,225 | I By Minor Children | — | — | (F4) On July 9, 2021 966 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's spouse were converted into 1,889 shares of the Registrant's common stock. (F1) The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| 2 | Common | Common Stock | 2021-07-09 | M | A | 6,257 | — | 12,178 | D By Spouse | — | — | (F3) On July 9, 2021 the Reporting Person converted 3,200 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 6,257 shares of the Registrant's common stock. |
| 3 | Common | Common Stock | 2021-07-09 | M | A | 303 | — | 936 | I | — | — | (F5) On July 9, 2021 156 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's minor children were converted into 303 shares of the Registrant's common stock. (F2) The Reporting Person disclaims beneficial ownership of the securities owned by his minor children and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. |
| 4 | Derivative | 3.50% Convertible Preferred Stock Series B | 2021-07-09 | M | D | 966 | — | 0 | I By Minor Children | $0.00 · — to — | 1,889 Common Stock | (F4) On July 9, 2021 966 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's spouse were converted into 1,889 shares of the Registrant's common stock. (F1) The Reporting Person disclaims beneficial ownership of the securities owned by his spouse and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. (F6) 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. (F7) The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021. |
| 5 | Derivative | 3.50% Convertible Preferred Stock Series B | 2021-07-09 | M | D | 3,200 | — | 0 | D By Spouse | $0.00 · — to — | 6,257 Common Stock | (F3) On July 9, 2021 the Reporting Person converted 3,200 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 6,257 shares of the Registrant's common stock. (F6) 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. (F7) The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021. |
| 6 | Derivative | 3.50% Convertible Preferred Stock Series B | 2021-07-09 | M | D | 156 | — | 0 | I | $0.00 · — to — | 303 Common Stock | (F5) On July 9, 2021 156 shares of the Registrant's 3.50% Convertible Preferred Stock Series B owned by the Reporting Person's minor children were converted into 303 shares of the Registrant's common stock. (F2) The Reporting Person disclaims beneficial ownership of the securities owned by his minor children and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. (F6) 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. (F7) The Issuer has announced that, if not converted prior, the shares of Preferred Stock will be redeemed by the Issuer on July 9, 2021. |