Goldstein Phillip's Form 4 filing
Special Opportunities Fund, Inc. (SPE) · filed Jan 2, 2024
- Accession no.
- 0001104659-24-000311
- Filed
- Jan 2, 2024
- Trade date
- Dec 28-29, 2023
- Filing delay
- 5 days
- Rule 10b5-1 plan
- Not checked
This filing lists 2 non-derivative transactions and 2 derivative transactions. Open-market purchases total $16.1K. It was filed 5 days after the trade.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Goldstein PhillipCIK 0001067621 | Director, Officer (Chairman and Secretary) |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 28, 2023 | Common Stock | PPurchaseAcquired | +44 | $11.75 | +$517 | 30,503 | Direct | |
| Dec 28, 2023 | Common Stock | PPurchaseAcquired | +1,319 | $11.78 | +$15,537.82 | 31,822 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Dec 28, 2023 | Common Stock | SSaleDisposed | −3,576 | $22.85 | −$59,935.55 | 6,746 | Direct | |
| Dec 29, 2023 | Common Stock | SSaleDisposed | −4,101 | $22.90 | −$68,883.2 | 3,738 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
No transaction price on this filing refers to a footnote.