InsiderTrades

Form 4 for SPE SPECIAL OPPORTUNITIES FUND, INC.

Accepted 2024-01-02 00:00:00 ET · period of report 2023-12-28 · accession 0001104659-24-000311 · 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
DM 2024-01-02 2023-12-28 SPE GOLDSTEIN PHILLIP COB, Sec, Dir P - Purchase $11.78 +1,363 30.5K +5% +$16.1K
DM 2024-01-02 2023-12-28+ SPE GOLDSTEIN PHILLIP COB, Sec, Dir S - Sale $22.88 -5,631 6,746 -45% -$128.8K

Purchase Sale Sale after option exercise All abbreviations

Every reported transaction

#TableSecurityDateCodeA/DSharesPriceOwned afterOwnExercise / expiryUnderlyingFootnotes
1 Common Common Stock 2023-12-28 P A 1,319 $11.78 31,822 D — — (F1) The Form 4 previously filed by the reporting person on 2/7/2023 inadvertently overstated both the acquisition amount (in column 4 of Table I) and total amount (in column 5 of Table I) by 1,000 shares, which error was carried forward in subsequent Form 4s filed by the reporting person. Shares reported here reflect accurate holdings.
2 Common Common Stock 2023-12-28 P A 44 $11.75 30,503 D — — (F1) The Form 4 previously filed by the reporting person on 2/7/2023 inadvertently overstated both the acquisition amount (in column 4 of Table I) and total amount (in column 5 of Table I) by 1,000 shares, which error was carried forward in subsequent Form 4s filed by the reporting person. Shares reported here reflect accurate holdings.
3 Derivative 2.75% Convertible Preferred Stock, Series C 2023-12-29 S D 3,008 $22.90 3,738 D $0.00 · — to — 4,101 Common Stock (F2) 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 1.3634 shares of common stock for each share of Preferred Stock held. (F3) The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.
4 Derivative 2.75% Convertible Preferred Stock, Series C 2023-12-28 S D 2,623 $22.85 6,746 D $0.00 · — to — 3,576 Common Stock (F2) 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 1.3634 shares of common stock for each share of Preferred Stock held. (F3) The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.