Form 4 for SPE SPECIAL OPPORTUNITIES FUND, INC.
Accepted 2021-07-15 00:00:00 ET · period of report 2021-06-24 · accession 0001104659-21-092421 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2021-07-15 | 2021-06-24 | SPE | WALDEN CHARLES C | Dir | M - OptEx | — | +9,779 | 30.3K | +48% | — |
| D | 2021-07-15 | 2021-06-24 | SPE | WALDEN CHARLES C | Dir | M - OptEx | — | -5,000 | 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 | 2021-06-24 | M | A | 9,779 | — | 30,285 | D | — | — | (F1) On June 24, 2021 the Reporting Person converted 5,000 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 9,779 shares of the Registrant's common stock. |
| 2 | Derivative | 3.50% Convertible Preferred Stock Series B | 2021-06-24 | M | D | 5,000 | — | 0 | D | $0.00 · — to — | 9,779 Common Stock | (F1) On June 24, 2021 the Reporting Person converted 5,000 shares of the Registrant's 3.50% Convertible Preferred Stock Series B into 9,779 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. |