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XNYS 25 Mar, 2025 4:00 PM (EDT)



Insider Trading disclosures for Special Opportunities Fund Inc

The latest disclosure was made by Goldstein Phillip F. in Special Opportunities Fund Inc where a trade of 618 2.75% Convertible Preferred Stock, Series C done was reported to US exchanges on Oct. 15, 2024.

Insider trading is the trading of a company’s securities by individuals with access to confidential or material non-public information about the company. A company is required to report trading by corporate officers, directors, or other company members with significant access to privileged information to the Securities and Exchange Commission (SEC).

Client Name Client Category Action Reported to Exchange Quantity Post Transaction Holding Traded % Avg. Price Value Security Type
Goldstein Phillip F. Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 0.00 per share. 15 Oct 2024 618 3,120 - - 2.75% Convertible Preferred Stock, Series C
Andrew Dakos Director, President Sale of securities on an exchange or to another person at price $ 13.74 per share. 20 Sep 2024 377 4,880 (0%) 0% 13.7 5,180 Common Stock
F. Phillip Goldstein Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 0.00 per share. 28 Dec 2023 3,008 3,738 - - 2.75% Convertible Preferred Stock, Series C
Goldstein Phillip F. Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.75 per share. 28 Dec 2023 44 30,503 (0%) 0% 11.8 517 Common Stock
C. Charles Walden Director Purchase of securities on an exchange or from another person at price $ 0.00 per share. 28 Dec 2023 10 3,010 - - 2.75% Convertible Preferred Stock, Series C
C. Walden Charles Director Purchase of securities on an exchange or from another person at price $ 0.00 per share. 28 Dec 2023 1,000 3,000 - - 2.75% Convertible Preferred Stock, Series C
F. Phillip Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.78 per share. 28 Dec 2023 1,319 31,822 (0%) 0% 11.8 15,538 Common Stock
F. Phillip Goldstein Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 0.00 per share. 28 Dec 2023 2,623 6,746 - - 2.75% Convertible Preferred Stock, Series C
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 10.85 per share. 05 Apr 2023 2,400 26,459 (0%) 0% 10.9 26,040 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 10.85 per share. 05 Apr 2023 5,000 31,459 (0%) 0% 10.9 54,250 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 10.74 per share. 29 Mar 2023 675 22,491 (0%) 0% 10.7 7,250 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 10.85 per share. 29 Mar 2023 1,568 24,059 (0%) 0% 10.9 17,013 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.85 per share. 03 Feb 2023 2,000 21,816 (0%) 0% 11.9 23,700 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.63 per share. 30 Jan 2023 2,000 19,816 (0%) 0% 11.6 23,260 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.73 per share. 05 Apr 2022 1,000 42,484 (0%) 0% 14.7 14,730 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.65 per share. 05 Apr 2022 100 42,584 (0%) 0% 14.7 1,465 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.66 per share. 05 Apr 2022 1,000 43,584 (0%) 0% 14.7 14,660 Common Stock
Gerald Hellerman Director Sale or transfer of securities back to the company at price $ 15.69 per share. 05 Apr 2022 5,333 37,984 (0%) 0% 15.7 83,675 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.94 per share. 05 Apr 2022 1,500 39,484 (0%) 0% 14.9 22,410 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.77 per share. 05 Apr 2022 2,000 41,484 (0%) 0% 14.8 29,540 Common Stock
Rajeev Das Vice President Sale or transfer of securities back to the company at price $ 15.69 per share. 05 Apr 2022 513 2,583 (0%) 0% 15.7 8,049 Common Stock
Andrew Dakos Director, President Sale or transfer of securities back to the company at price $ 15.69 per share. 05 Apr 2022 968 5,257 (0%) 0% 15.7 15,188 Common Stock
Andrew Dakos Director, President Sale or transfer of securities back to the company at price $ 15.69 per share. 05 Apr 2022 2,016 10,162 (0%) 0% 15.7 31,631 Common Stock
Andrew Dakos Director, President Sale or transfer of securities back to the company at price $ 15.69 per share. 05 Apr 2022 154 782 (0%) 0% 15.7 2,416 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Sale or transfer of securities back to the company at price $ 15.69 per share. 05 Apr 2022 3,534 17,816 (0%) 0% 15.7 55,448 Common Stock
Charles C. Walden Director Sale or transfer of securities back to the company at price $ 15.69 per share. 05 Apr 2022 5,014 25,271 (0%) 0% 15.7 78,670 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 14.76 per share. 07 Feb 2022 2,000 21,350 (0%) 0% 14.8 29,510 Common Stock
Andrew Dakos Director, President 27 Jan 2022 200 200 - - 2.75% Convertible Preferred Stock, Series C
Phillip F. Goldstein Director, Chairman and Secretary 27 Jan 2022 9,369 9,369 - - 2.75% Convertible Preferred Stock, Series C
Marc Lunder Director 27 Jan 2022 1,000 1,000 - - 2.75% Convertible Preferred Stock, Series C
Charles C. Walden Director 27 Jan 2022 2,000 2,000 - - 2.75% Convertible Preferred Stock, Series C
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.50 per share. 26 Jan 2022 532 43,318 (0%) 0% 14.5 7,714 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.59 per share. 26 Jan 2022 68 42,786 (0%) 0% 14.6 992 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.63 per share. 26 Jan 2022 785 42,718 (0%) 0% 14.6 11,485 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 14.72 per share. 26 Jan 2022 285 41,933 (0%) 0% 14.7 4,195 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 15.55 per share. 16 Dec 2021 2,542 19,350 (0%) 0% 15.6 39,529 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 15.17 per share. 20 Sep 2021 824 40,824 (0%) 0% 15.2 12,500 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 15.16 per share. 20 Sep 2021 824 41,648 (0%) 0% 15.2 12,492 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 15.17 per share. 20 Sep 2021 824 40,000 (0%) 0% 15.2 12,496 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 15.00 per share. 19 Jul 2021 1,000 39,175 (0%) 0% 15.0 14,995 Common Stock
Andrew Dakos Director, President Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 09 Jul 2021 966 0 - - 3.50% Convertible Preferred Stock Series B
Andrew Dakos Director, President Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 09 Jul 2021 3,200 0 - - 3.50% Convertible Preferred Stock Series B
Andrew Dakos Director, President Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 09 Jul 2021 6,257 12,178 (0%) 0% - Common Stock
Andrew Dakos Director, President Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 09 Jul 2021 1,889 6,225 (0%) 0% - Common Stock
Andrew Dakos Director, President Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 09 Jul 2021 303 936 (0%) 0% - Common Stock
Andrew Dakos Director, President Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 09 Jul 2021 156 0 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 24 Jun 2021 2,800 0 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 24 Jun 2021 5,475 21,892 (0%) 0% - Common Stock
Charles C. Walden Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 24 Jun 2021 9,779 30,285 (0%) 0% - Common Stock
Charles C. Walden Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 24 Jun 2021 5,000 0 - - 3.50% Convertible Preferred Stock Series B
Marc Lunder Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 23 Jun 2021 700 0 - - 3.50% Convertible Preferred Stock Series B
Marc Lunder Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 23 Jun 2021 1,369 4,869 (0%) 0% - Common Stock
Marc Lunder Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 23 Jun 2021 1,290 4,590 (0%) 0% - Common Stock
Marc Lunder Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 23 Jun 2021 660 0 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 04 Jun 2021 2,800 2,800 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 15.43 per share. 04 Jun 2021 10,000 16,417 (0%) 0% 15.4 154,300 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 15.32 per share. 04 Jun 2021 88,330 26,417 (0%) 1% 15.3 1,353,216 Common Stock
Ben H. Harris Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 11 May 2021 400 0 - - 3.50% Convertible Preferred Stock Series B
Ben H. Harris Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 11 May 2021 771 11,014 (0%) 0% - Common Stock
Ben H. Harris Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 05 May 2021 180 0 - - 3.50% Convertible Preferred Stock Series B
Ben H. Harris Director Exercise or conversion of derivative security received from the company (such as an option) at price $ 0.00 per share. 05 May 2021 346 3,061 (0%) 0% - Common Stock
Gerald Hellerman Director Sale or transfer of securities back to the company at price $ 0.00 per share. 15 Dec 2020 400 0 - - 3.50% Convertible Preferred Stock Series B
Gerald Hellerman Director Sale or transfer of securities back to the company at price $ 0.00 per share. 15 Dec 2020 350 400 - - 3.50% Convertible Preferred Stock Series B
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 11.48 per share. 28 Oct 2020 2,000 35,684 (0%) 0% 11.5 22,960 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.80 per share. 21 Jul 2020 5,000 113,747 (1%) 0% 11.8 59,000 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.85 per share. 21 Jul 2020 5,000 108,747 (1%) 0% 11.9 59,250 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 11.74 per share. 15 Jul 2020 1,431 1,000 (0%) 0% 11.7 16,800 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Sale of securities on an exchange or to another person at price $ 11.74 per share. 15 Jul 2020 4,987 103,747 (1%) 0% 11.7 58,547 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.74 per share. 15 Jul 2020 6,418 108,734 (1%) 0% 11.7 75,347 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Sale or transfer of securities back to the company at price $ 0.00 per share. 19 Jun 2020 2,213 0 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Sale or transfer of securities back to the company at price $ 0.00 per share. 19 Jun 2020 842 0 - - 3.50% Convertible Preferred Stock Series B
Andrew Dakos Director, President Purchase of securities on an exchange or from another person at price $ 0.00 per share. 08 Jun 2020 1,000 3,200 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Sale or transfer of securities back to the company at price $ 0.00 per share. 08 Jun 2020 16,564 12,213 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Sale or transfer of securities back to the company at price $ 0.00 per share. 08 Jun 2020 10,000 2,213 - - 3.50% Convertible Preferred Stock Series B
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 8.75 per share. 03 Apr 2020 140 33,684 (0%) 0% 8.8 1,225 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 8.73 per share. 03 Apr 2020 220 33,544 (0%) 0% 8.7 1,921 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 8.71 per share. 03 Apr 2020 630 33,324 (0%) 0% 8.7 5,487 Common Stock
Gerald Hellerman Director Purchase of securities on an exchange or from another person at price $ 8.70 per share. 03 Apr 2020 10 32,694 (0%) 0% 8.7 87 Common Stock
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 12.55 per share. 09 Mar 2020 762 32,115 (0%) 0% 12.5 9,563 Common Stock
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 12.49 per share. 09 Mar 2020 238 32,353 (0%) 0% 12.5 2,973 Common Stock
Andrew Dakos Director, President Purchase of securities on an exchange or from another person at price $ 0.00 per share. 28 Feb 2020 1,000 2,200 - - 3.50% Convertible Preferred Stock Series B
Andrew Dakos Director, President Purchase of securities on an exchange or from another person at price $ 13.25 per share. 28 Feb 2020 1,000 5,921 (0%) 0% 13.3 13,250 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 21 Feb 2020 2,613 28,777 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 13 Feb 2020 100 26,164 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 13 Feb 2020 900 26,064 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary 31 Dec 2019 6,000 102,316 (1%) 0% - Common Stock
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 13.98 per share. 25 Jul 2019 2,700 29,483 (0%) 0% 14.0 37,746 Common Stock
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 13.31 per share. 23 May 2019 1,500 26,992 (0%) 0% 13.3 19,965 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 13.36 per share. 19 Mar 2019 4,000 107,291 (1%) 0% 13.4 53,440 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 08 Feb 2019 165 25,164 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 12.63 per share. 28 Jan 2019 100 103,291 (1%) 0% 12.6 1,263 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 12.68 per share. 28 Jan 2019 3,000 103,191 (1%) 0% 12.7 38,040 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 12.48 per share. 15 Jan 2019 100 100,191 (1%) 0% 12.5 1,248 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 12.49 per share. 15 Jan 2019 3,000 100,091 (1%) 0% 12.5 37,470 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 08 Jan 2019 3,000 24,999 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 04 Jan 2019 2,500 21,999 - - 3.50% Convertible Preferred Stock Series B
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.29 per share. 27 Dec 2018 3,000 89,088 (1%) 0% 11.3 33,870 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 11.34 per share. 27 Dec 2018 3,000 92,088 (1%) 0% 11.3 34,020 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 0.00 per share. 19 Dec 2018 3,000 19,499 - - 3.50% Convertible Preferred Stock Series B
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 14.47 per share. 11 Oct 2018 1,000 22,793 (0%) 0% 14.5 14,470 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 14.95 per share. 02 Jul 2018 2,407 86,088 (1%) 0% 15.0 35,985 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 14.95 per share. 28 Jun 2018 93 83,681 (0%) 0% 14.9 1,390 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 15.00 per share. 24 May 2018 3,000 83,588 (0%) 0% 15 45,000 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 15.03 per share. 11 May 2018 186 80,588 (0%) 0% 15.0 2,796 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 14.89 per share. 13 Apr 2018 3,000 80,402 (0%) 0% 14.9 44,670 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 14.70 per share. 27 Mar 2018 2,500 77,402 (0%) 0% 14.7 36,750 Common Stock
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 14.82 per share. 22 Mar 2018 1,000 21,793 (0%) 0% 14.8 14,820 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 14.55 per share. 22 Mar 2018 3,000 74,902 (0%) 0% 14.6 43,650 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 14.74 per share. 22 Mar 2018 630 71,902 (0%) 0% 14.7 9,286 Common Stock
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 14.98 per share. 05 Feb 2018 5,200 20,793 (0%) 0% 15.0 77,896 Common Stock
Phillip F. Goldstein Director, Chairman and Secretary Purchase of securities on an exchange or from another person at price $ 15.14 per share. 02 Feb 2018 1,000 70,272 (0%) 0% 15.1 15,140 Common Stock
Gerald Hellerman Director, CCO Purchase of securities on an exchange or from another person at price $ 15.10 per share. 04 Jan 2018 2,000 13,899 (0%) 0% 15.1 30,200 Common Stock
*All Values are in $ Million
Client Category: Promoter/ KMP/ Director / Immediate Relatives / Employee / etc  
Security Type: Share/ Warrants / Convertible Debentures
Data as reported to USA Exchanges
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