HARRIS BEN H exercised options at SPECIAL OPPORTUNITIES FUND, INC.
Option exercise — a mechanical event triggered by vesting or expiry. Not a discretionary conviction trade.
M · 1 exercise
Filed: 5/11/2021ACC: 0001104659-21-064293
Director
Since May 2021
+166.00
Net shares
Net buyer
$0.00
Total acquired
0
Open market trades
0B · 0S
2
Total transactions
346.00 acquired · 180.00 disposed
Non-Derivative Transactions1
Common Stock
Direct
Shares
+346.00
Price / share
—
Trade value
—
% of position
12.7%
5/5/2021
2.71K→3.06K
Total
Net shares
+346.00
Net value
$0.00
| Security | Date | Type | Shares | Price / Share | Trade Value | % of Position | Held Before | Held After |
|---|---|---|---|---|---|---|---|---|
| Common Stock Direct | 5/5/2021 | M · Option Exercise | +346.00 | — | — | 12.7% | 2.71K | 3.06K |
| Total | +346.00 | $0.00 | ||||||
Derivative Transactions1
3.50% Convertible Preferred Stock Series B
Direct
Converts to
Common Stock
346.00 shares
Shares
−180.00
Strike price
0
Held after
0.00
Exercisable
—
5/5/2021
| Security | Converts To | Date | Type | Shares | Strike Price | Exercisable | Held After |
|---|---|---|---|---|---|---|---|
| 3.50% Convertible Preferred Stock Series B Direct | Common Stock346.00 shares | 5/5/2021 | M · Option Exercise | −180.00 | 0 | — | 0.00 |
Non-Derivative Holdings (Post-Transaction)1
Common Stock
IndirectShares owned10.24K
Total
10.24K indirect10.24K
| Security Title | Shares Owned | Ownership Type |
|---|---|---|
| Common Stock | 10.24K | Indirect |
| Total | 10.24K | 10.24K indirect |
Derivative Holdings (Post-Transaction)1
3.50% Convertible Preferred Stock Series B
IndirectUnderlying security
Common Stock
Underlying shares
771.00
Shares owned
400.00
Exercise price
0
Expiration
—
Exercise window
—
Total
Underlying
771.00
Owned
400.00
| Security | Underlying | Exercise Price | Exercise Window | Expiration | Underlying Shares | Shares Owned |
|---|---|---|---|---|---|---|
| 3.50% Convertible Preferred Stock Series B Indirect | Common Stock | 0 | — | — | 771.00 | 400.00 |
| Total | 771.00 | 400.00 | ||||