الإحصائيات الأساسية
| LEI | 549300DGAJTGM6R4HK03 |
| CIK | 897802 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Special Opportunities Fund, Inc.
SEC Filings (Chronological Order)
توفر هذه الصفحة قائمة كاملة ومرتبة ترتيبًا زمنيًا لتصريحات هيئة الأوراق المالية والبورصات، باستثناء تصريحات الملكية التي نقدمها في مكان آخر.
| May 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [X] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| May 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [X] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| April 8, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [x] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| April 1, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [x] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [x] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| March 28, 2025 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [ ] Filed by a Party other than the Registrant [x] Check the appropriate box: [x] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| October 31, 2024 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| February 9, 2024 |
SPE / Special Opportunities Fund, Inc. / CSS LLC/IL - CSS LLC/IL Passive Investment SC 13G/A 1 spea120624.htm CSS LLC/IL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Special Opportunities Fund, Inc. (Name of Issuer) common (Title of Class of Securities) 84741T104 (CUSIP Number) December 31, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to d |
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| December 29, 2023 |
SPE / Special Opportunities Fund, Inc. / CSS LLC/IL - CSS LLC/IL Passive Investment SC 13G 1 spe122823.htm CSS LLC/IL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Special Opportunities Fund, Inc. (Name of Issuer) common (Title of Class of Securities) 84741T104 (CUSIP Number) October 30, 2023 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursu |
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| October 26, 2023 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| September 20, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| June 7, 2023 |
Stockholders Of First Trust Dynamic Europe Equity Income Fund File Lawsuit To Enforce Voting Results For Election of Trustees Saddle Brook, NJ – May 11, 2023 – Bulldog Investors LLP, Special Opportunities Fund, Inc. |
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| June 7, 2023 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of Report (Date of earliest event reported): May 11, 2023 SPECIAL OPPORTUNITIES FUND, INC. (Exact Name of Registrant as Specified in its Charter) Maryland 811-07528 13-3702911 (State or Other Jurisdiction (Commission (IRS Employ |
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| May 22, 2023 |
NPORT-EX 2 specoppnport.htm NPORT-EX Special Opportunities Fund, Inc. Portfolio of Investments March 31, 2023 (Unaudited) INVESTMENT COMPANIES - 87.39% Shares Value Closed-End Funds - 73.49% Aberdeen Asia-Pacific Income Fund, Inc. 555,653 $ 1,478,037 abrdn Global Dynamic Dividend 49,874 465,324 Adams Diversified Equity Fund, Inc. 322,377 5,012,962 Apollo Tactical Income Fund, Inc. 96,992 1,175,543 |
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| November 14, 2022 |
NPORT-EX 2 specialoppnport.htm NPORT-EX Special Opportunities Fund, Inc. Portfolio of Investments September 30, 2022 (Unaudited) INVESTMENT COMPANIES - 84.13% Shares Value Closed-End Funds - 69.71% Aberdeen Asia-Pacific Income Fund, Inc. 560,502 $ 1,412,465 Adams Diversified Equity Fund, Inc. 322,377 4,697,033 Apollo Tactical Income Fund, Inc. 96,992 1,142,566 BlackRock California Municipal Income |
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| November 9, 2022 |
DEF 14A 1 specoppdef14a.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Comm |
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| May 11, 2022 |
Special Opportunities Fund, Inc. Portfolio of Investments March 31, 2022 (Unaudited) INVESTMENT COMPANIES - 67.53% Shares Value Closed-End Funds - 57.55% Aberdeen Asia-Pacific Income Fund, Inc. 468,897 $ 1,584,872 Aberdeen Japan Equity Fund, Inc. 114,992 800,344 Adams Diversified Equity Fund, Inc. 322,377 5,944,632 Apollo Tactical Income Fund, Inc. 60,923 874,854 ASA Gold and Precious Metals Ltd. |
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| March 4, 2022 |
EX - FILING FEES Calculation of Filing Fee Tables SC TO-I (Form Type) SPECIAL OPPORTUNITIES FUND, INC. |
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| March 4, 2022 |
Press Release, dated March 4, 2022. EXHIBIT 99.(a)(5)(i) Special Opportunities Fund, Inc. Announces Tender Offer New York, March 4, 2022? Special Opportunities Fund, Inc. (NYSE: SPE) (the ?Fund?) today announced that it is offering to purchase up to 1.25 million common shares of the Fund at 97% of the net asset value (?NAV?) per common share as determined at the close of the regular trading session of the New York Stock Exchange on |
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| March 4, 2022 |
Letter to Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees. EXHIBIT 99.(a)(1)(iii) OFFER BY SPECIAL OPPORTUNITIES FUND, INC. TO PURCHASE FOR CASH UP TO 1,250,000 OF THE FUND?S OUTSTANDING SHARES OF COMMON STOCK THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON APRIL 1, 2022 OR SUCH LATER DATE TO WHICH THE OFFER IS EXTENDED (THE ?TERMINATION DATE?). THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, |
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| March 4, 2022 |
Form of Letter to Clients of Brokers, Dealers, Commercial Banks, Trust Companies and Other Nominees. EXHIBIT 99.(a)(1)(iv) OFFER BY SPECIAL OPPORTUNITIES FUND, INC. TO PURCHASE FOR CASH UP TO 1,250,000 OF THE FUND?S OUTSTANDING SHARES OF COMMON STOCK THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON APRIL 1, 2022 OR SUCH LATER DATE TO WHICH THE OFFER IS EXTENDED (THE ?TERMINATION DATE?). THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED, B |
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| March 4, 2022 |
EXHIBIT 99.(a)(1)(v) SPECIAL OPPORTUNITIES FUND, INC. 615 East Michigan Street Milwaukee, Wisconsin 53202 DEAR STOCKHOLDER: At a meeting held on February 22, 2022, the Board of Directors of Special Opportunities Fund, Inc. (the ?Fund?), voted to conduct a tender offer for shares of the Fund?s common stock. Accordingly, the Fund is hereby commencing an offer to purchase up to 1,250,000 of the Fund? |
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| March 4, 2022 |
Offer to Purchase, dated March 4, 2022. EXHIBIT 99.(a)(1)(i) OFFER TO PURCHASE FOR CASH (THE ?OFFER?) BY SPECIAL OPPORTUNITIES FUND, INC. (THE ?FUND?) 615 East Michigan Street Milwaukee, Wisconsin 53202 (877) 607-0414 UP TO 1,250,000 OF ITS ISSUED AND OUTSTANDING SHARES OF COMMON STOCK, PAR VALUE $0.001 PER SHARE (THE ?SHARES?) THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON APRIL 1, 2022, UNLESS THE OFF |
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| March 4, 2022 |
EXHIBIT 99.(a)(1)(ii) Letter of Transmittal To Tender Shares of Common Stock of SPECIAL OPPORTUNITIES FUND, INC. Pursuant to the Offer to Purchase dated March 4, 2022 The undersigned represents that I (we) have full authority to surrender without restriction the certificate(s) listed below. You are hereby authorized and instructed to deliver to the address indicated below (unless otherwise instruc |
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| March 4, 2022 |
As filed with the U.S. Securities and Exchange Commission on March 4, 2022 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 SPECIAL OPPORTUNITIES FUND, INC. (Name of Subject Company (Issuer) SPECIAL OPPORTUNITIES FUND, INC. (Name of Filing Person(s) (Issuer)) Common Stock, Par V |
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| February 14, 2022 |
SPE / Special Opportunities Fund Inc. / RIVERNORTH CAPITAL MANAGEMENT, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 0)* Special Opportunities Fund, Inc. (Name of Issuer) Common Shares (Title of Class of Securities) 84741T104 (CUSIP Number) Marcus Collins RiverNorth Capital |
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| December 16, 2021 |
8-A12B 1 specopp8a12b.htm NOTIFICATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation or organization) 13-3 |
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| December 13, 2021 |
Rights to Purchase up to 2,542,593 Shares of Convertible Preferred Stock at $25.00 per Share Special Opportunities Fund, Inc. We are distributing at no charge to holders of our common stock as of December 20, 2021 (the “Record Date”) transferable rights to purchase up to an aggregate of 2,542,593 shares of 2.75% convertible preferred stock, Series C, par value $0.001 per share (“Convertible Prefer |
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| December 8, 2021 |
1271 Avenue of the Americas |New York, NY 10020 1271 Avenue of the Americas |New York, NY 10020 blankrome.com December 8, 2021 FILED VIA EDGAR CORRESPONDENCE Division of Investment Management U.S. Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-4720 Attn: John M. Ganley Re: Special Opportunities Fund, Inc. Registration Statement on Form N-2 File Nos. 811-07528; 333-257169 Dear Mr. Ganley: On behalf of Special Opportunit |
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| November 17, 2021 |
Special Opportunities Fund, Inc. Portfolio of Investments September 30, 2021 (Unaudited) INVESTMENT COMPANIES - 51.85% Shares Value Closed-End Funds - 44.33% Aberdeen Japan Equity Fund, Inc. 114,992 $ 1,121,172 Adams Diversified Equity Fund, Inc. 209,433 4,146,773 Apollo Senior Floating Rate Fund, Inc. 107,982 1,706,116 Apollo Tactical Income Fund, Inc. 170,405 2,695,807 ASA Gold and Precious Meta |
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| November 9, 2021 |
DEF 14A 1 specoppdef14a.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Comm |
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| October 29, 2021 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [ ] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| July 7, 2021 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on July 19, 2021, pursuant to the provisions of Rule 12d2-2 (a). |
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| June 17, 2021 |
Via EDGAR U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Re: Special Opportunities Fund, Inc. Request for Withdrawal of Amended Registration Statement on Form N-2 File numbers: 811-07528 and 333-208280 To Whom it May Concern: Pursuant to Rule 477 under the Securities Act of 1933 (the ?Act?), as amended, Special Opportunities Fund, Inc. (the ?Company?) respectfully |
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| May 24, 2021 |
Special Opportunities Fund, Inc. Special Opportunities Fund, Inc. 615 East Michigan Street Milwaukee, WI 53202 May 24, 2021 FILED VIA EDGAR CORRESPONDENCE Kenneth Ellington Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Re: Special Opportunities Fund, Inc. Form N-CSR filed on March 8, 2021 Form N-CSR/A filed on March 11, 2021 File Number: 811-07528 |
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| May 11, 2021 |
Special Opportunities Fund, Inc. Portfolio of Investments March 31, 2021 (Unaudited) INVESTMENT COMPANIES - 70.82% Shares Value Closed-End Funds - 60.93% Aberdeen Emerging Markets Equity Income Fund, Inc. 161,825 $ 1,399,786 Aberdeen Japan Equity Fund, Inc. 114,992 1,037,228 Adams Diversified Equity Fund, Inc. 209,433 3,824,247 Apollo Senior Floating Rate Fund, Inc. 120,012 1,783,378 Apollo Tactic |
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| May 6, 2021 |
Special Opportunities Fund, Inc. Special Opportunities Fund, Inc. 615 East Michigan Street Milwaukee, WI 53202 May 6, 2021 FILED VIA EDGAR CORRESPONDENCE Kenneth Ellington Staff Accountant U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, NE Washington, DC 20549 Re: Special Opportunities Fund, Inc. Form N-CSR filed on March 8, 2021 Form N-CSR/A filed on March 11, 2021 File Number: 811-07528 D |
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| November 10, 2020 |
Special Opportunities Fund, Inc. Portfolio of Investments September 30, 2020 (Unaudited) INVESTMENT COMPANIES - 89.40% Shares Value Closed-End Funds - 82.44% Aberdeen Asia-Pacific Income Fund, Inc. 129,504 $ 516,721 Aberdeen Emerging Markets Equity Income Fund, Inc. 161,825 1,048,626 Aberdeen Japan Equity Fund, Inc. 114,992 951,559 Adams Diversified Equity Fund, Inc. 209,433 3,394,909 Adams Natura |
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| October 30, 2020 |
SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) [X] Definitive Proxy Statement [ ] Definitive Additional Materials [ ] Soliciting Material Pursuant to Section 240. |
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| May 13, 2020 |
Statement of Assets & Liabilities Location Special Opportunities Fund, Inc. Portfolio of Investments March 31, 2020 (Unaudited) INVESTMENT COMPANIES - 96.57% Shares Value Closed-End Funds - 87.72% Aberdeen Asia-Pacific Income Fund, Inc. 407,108 $ 1,376,025 Aberdeen Emerging Markets Equity Income Fund, Inc. 161,825 838,254 Aberdeen Japan Equity Fund, Inc. 114,992 718,700 Adams Diversified Equity Fund, Inc. 209,433 2,636,762 Adams Natural Re |
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| February 13, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Special Opportunities Fund, Inc. (Name of Issuer) Preferred (Title of Class of Securities) 84741T302 (CUSIP Number) December 31, 2019 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| February 7, 2020 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 4, 2019 |
Special Opportunities Fund, Inc., 615 East Michigan Street, Milwaukee, WI 53202 December 2, 2019 Special Opportunities Fund, Inc., 615 East Michigan Street, Milwaukee, WI 53202 December 2, 2019 Mr. Paul Cellupica Deputy Director and Chief Counsel Division of Investment Management US Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Dear Mr. Cellupica: The Board of Directors of Special Opportunities Fund, Inc. (“SPE” or the “Fund”) is considering three anti-takeover byla |
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| December 4, 2019 |
Regulation FD Disclosure, Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8‑K CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): December 2, 2019 SPECIAL OPPORTUNITIES FUND, INC. |
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| November 21, 2019 |
Special Opportunities Fund, Inc. - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| November 21, 2019 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| October 31, 2019 |
SPE / Special Opportunities Fund, Inc. DEF 14A - - DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| May 28, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| May 28, 2019 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| February 14, 2019 |
SC 13G/A 1 sc13ga.htm SCHEDULE 13G AMENDMENT NO. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Special Opportunities Fund, Inc. (Name of Issuer) Preferred (Title of Class of Securities) 84741T302 (CUSIP Number) December 31, 2018 (Date of Event Which Requires Filing of this Statement) Check the app |
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| February 13, 2019 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| November 21, 2018 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| November 21, 2018 |
N-Q 1 spec-oppnq.htm QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 |
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| October 31, 2018 |
SPE / Special Opportunities Fund, Inc. DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| June 19, 2018 |
SPE / Special Opportunities Fund, Inc. CORRESP Special Opportunities Fund, Inc. c/o U.S. Bancorp Fund Services, LLC 615 East Michigan Street Milwaukee, Wisconsin 53202 June 19, 2018 VIA EDGAR TRANSMISSION Mr. Ken Ellington United States Securities and Exchange Commission Division of Investment Management, Disclosure Review Office 100 F. Street, N.E. Washington, D.C. 20549 Re: SPECIAL OPPORTUNITIES FUND, INC. (the “Fund”) Securities Act Registr |
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| May 24, 2018 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| May 24, 2018 |
Special Opportunities Fund, Inc. - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| February 27, 2018 |
EX-99.77J REVALUATN Exhibit 77(j)(b) - Restatement of Capital Accounts For the year ended December 31, 2017, the Special Opportunities Fund made the following permanent tax adjustments on the statements of assets and liabilities: Undistributed Net Investment Income/(Loss): $333,662 Accumulated Net Realized Gain/(Loss): $(333,662) The reclassifications have no effect on net assets or net asset valu |
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| February 27, 2018 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund, Inc. |
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| February 27, 2018 |
EX-99.77C VOTES 4 sub-item77c123117.htm EX-99.77C VOTES Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on December 7, 2017 The Fund held an annual meeting of shareholders (the “Meeting”) on December 7, 2017 to vote on the following matters: (1) (a) To elect four Directors to the Fund’s Board of Directors, to be elected by the holders of the Fund’s |
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| February 14, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Special Opportunities Fund, Inc. (Name of Issuer) Preferred (Title of Class of Securities) 84741T302 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| November 21, 2017 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| November 21, 2017 |
Special Opportunities Fund, Inc. - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS N-Q 1 special-oppsnq.htm QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53 |
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| October 31, 2017 |
Special Opportunities Fund DEFINITIVE PROXY STATEMENT DEF 14A 1 special-oppsdef14a.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidentia |
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| May 22, 2017 |
Special Opportunities Fund, Inc. - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| May 22, 2017 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| March 1, 2017 |
EX-99.77J REVALUATN Exhibit 77(j)(b) - Restatement of Capital Accounts For the year ended December 31, 2016, the Special Opportunities Fund made the following permanent tax adjustments on the statements of assets and liabilities: Undistributed Net Investment Income/(Loss): $362,644 Accumulated Net Realized Gain/(Loss): $(362,644) The reclassifications have no effect on net assets or net asset valu |
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| March 1, 2017 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund, Inc. |
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| March 1, 2017 |
EX-99.77C VOTES 3 sub-item77c123116.htm EX-99.77C VOTES Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on December 8, 2016 The Fund held an annual meeting of shareholders (the “Meeting”) on December 8, 2016 to vote on the following matters: (1) (a) To elect four Directors to the Fund’s Board of Directors, to be elected by the holders of the Fund’s |
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| November 22, 2016 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| November 22, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| October 31, 2016 |
Special Opportunities Fund DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. |
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| September 21, 2016 |
Special Opportunities Fund ISSUER TENDER OFFER STATEMENT As filed with the U.S. Securities and Exchange Commission on September 21, 2016 U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 SPECIAL OPPORTUNITIES FUND, INC. (Name of Subject Company (Issuer) and Filing Person (Offeror)) Common Stock, Par Value $0.001 Per Share (Title of Cla |
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| September 21, 2016 |
EXHIBIT 99.(a)(1)(i) OFFER TO PURCHASE FOR CASH (THE ?OFFER?) BY SPECIAL OPPORTUNITIES FUND, INC. (THE ?FUND?) 615 East Michigan Street Milwaukee, Wisconsin 53202 (877) 607-0414 UP TO 1,150,000 OF ITS ISSUED AND OUTSTANDING SHARES OF COMMON STOCK, PAR VALUE $0.001 PER SHARE (THE ?SHARES?) THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON OCTOBER 21, 2016, UNLESS THE |
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| September 21, 2016 |
Special Opportunities Fund, Inc. Announces Tender Offer EXHIBIT 99.(a)(1)(vi) Special Opportunities Fund, Inc. Announces Tender Offer New York, September 21, 2016?Special Opportunities Fund, Inc. (NYSE: SPE) (the ?Fund?) today announced that it is offering to purchase up to 1.15 million common shares of the Fund at 97% of the net asset value (?NAV?) per common share as determined at the close of the regular trading session of the New York Stock Exchang |
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| September 21, 2016 |
EXHIBIT 99.(a)(1)(iv) OFFER BY SPECIAL OPPORTUNITIES FUND, INC. TO PURCHASE FOR CASH UP TO 1,150,000 OF THE FUND?S OUTSTANDING SHARES OF COMMON STOCK THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON OCTOBER 21, 2016 OR SUCH LATER DATE TO WHICH THE OFFER IS EXTENDED (THE ?TERMINATION DATE?). THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERED |
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| September 21, 2016 |
SPECIAL OPPORTUNITIES FUND, INC. 615 East Michigan Street Milwaukee, Wisconsin 53202 EXHIBIT 99.(a)(1)(v) SPECIAL OPPORTUNITIES FUND, INC. 615 East Michigan Street Milwaukee, Wisconsin 53202 DEAR STOCKHOLDER: At a meeting held on September 7, 2016, the Board of Directors of Special Opportunities Fund, Inc. (the ?Fund?), voted to conduct a tender offer for shares of the Fund?s common stock. Accordingly, the Fund is hereby commencing an offer to purchase up to 1,150,000 of the Fund? |
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| September 21, 2016 |
EXHIBIT 99.(a)(1)(ii) Letter of Transmittal To Tender Shares of Common Stock of SPECIAL OPPORTUNITIES FUND, INC. Pursuant to the Offer to Purchase dated September 21, 2016 The undersigned represents that I (we) have full authority to surrender without restriction the certificate(s) listed below. You are hereby authorized and instructed to deliver to the address indicated below (unless otherwise in |
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| September 21, 2016 |
EXHIBIT 99.(a)(1)(iii) OFFER BY SPECIAL OPPORTUNITIES FUND, INC. TO PURCHASE FOR CASH UP TO 1,150,000 OF THE FUND?S OUTSTANDING SHARES OF COMMON STOCK THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON OCTOBER 21, 2016 OR SUCH LATER DATE TO WHICH THE OFFER IS EXTENDED (THE ?TERMINATION DATE?). THIS OFFER IS NOT CONDITIONED ON ANY MINIMUM NUMBER OF SHARES BEING TENDERE |
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| August 26, 2016 |
Special Opportunities Fund NOTIFICATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation or organization) 13-3702911 (IRS Employer Identification No.) 615 East Michi |
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| August 26, 2016 |
Special Opportunities Fund NOTIFICATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation or organization) 13-3702911 (IRS Employer Identification No.) 615 East Michi |
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| July 27, 2016 |
Phone: (212) 885-5434 Fax: (917) 332-3837 Email: RPaulBlankRome.com July 27, 2016 FILED VIA EDGAR CORRESPONDENCE Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Attention: Laura J. Riegel Re: Special Opportunities Fund, Inc. (File No: 812-14254 and Accession No. 0000894189-13-006949) Dear Ms. Riegel: On December 23, 2013, Special Oppor |
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| July 26, 2016 |
Special Opportunities Fund EXHIBITS TO POST EFFECTIVE AMENDMENT As filed with the Securities and Exchange Commission on July 26, 2016 Registration File No. |
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| July 26, 2016 |
SPECIAL OPPORTUNITIES FUND, INC. AMENDED AND RESTATED ARTICLES SUPPLEMENTARY ESTABLISHING AND FIXING THE RIGHTS AND PREFERENCES OF THE SERIES B SHARES OF CONVERTIBLE PREFERRED STOCK Special Opportunities Fund, Inc., a Maryland corporation (the ? Corporation?), hereby certifies to the State Department of Assessments and Taxation of Maryland as follows: FIRST: Pursuant to the authority expressly ves |
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| July 21, 2016 |
July 20, 2016 Special Opportunities Fund, Inc. 615 East Michigan Street Milwaukee, WI 53202 Ladies and Gentlemen: We have acted as counsel to Special Opportunities Fund, Inc. (the “Fund”), a Maryland corporation, in connection with the Registration Statement on Form N-2 filed with the Securities and Exchange Commission on December 1, 2015, as amended by Pre-Effective Amendments on Form N-2/A filed |
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| July 21, 2016 |
Special Opportunities Fund EXHIBIT TO POST EFFECTIVE AMENDMENT As filed with the Securities and Exchange Commission on July 20, 2016 Registration File No. |
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| July 15, 2016 |
Special Opportunities Fund NOTIFICATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation or organization) 13-3702911 (IRS Employer Identification No.) 615 East Michi |
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| July 14, 2016 |
Special Opportunities Fund ESP Phone: 212-885-5434 Fax: 917-332-3837 Email: [email protected] July 14, 2016 BY EDGAR Securities and Exchange Commission Division of Investment Management 100 ?F? Street, N.E. Washington, D.C. 20549-4041 Re: Special Opportunities Fund, Inc. (the ?Fund?) File Nos.: 811-007528 and 333-208280 Dear Ms. Miller: On behalf of the Fund, and pursuant to Rule 461 under the Securities Act of 1933, as amend |
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| May 26, 2016 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| May 26, 2016 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| February 29, 2016 |
EX-99.77J REVALUATN 2 ex9977revaluatn11122.htm EX-99.77J REVALUATN EX-99.77J REVALUATN Exhibit 77(j)(b) - Restatement of Capital Accounts For the year ended December 31, 2015, the Special Opportunities Fund made the following permanent tax adjustments on the statements of assets and liabilities: Undistributed Net Investment Income/(Loss): $(187,186) Accumulated Net Realized Gain/(Loss): $187,186 T |
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| February 29, 2016 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund Milwaukee, Wisconsin In planning and performing our audit of the financial statements of the Special Opportunities Fund (the "Fund") as of and for the year ended December 31, 2015, in accordance with the standards of the Public Company Accounting Oversight Board (United States), w |
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| February 29, 2016 |
EX-99.77C VOTES 3 sub-item77c123115.htm EX-99.77C VOTES Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on December 8, 2015 The Fund held an annual meeting of shareholders (the "Meeting") on December 8, 2015 to vote on the following matters: (1) To elect six Directors to the Fund's Board of Directors, to be elected by the holders of the Fund's comm |
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| November 23, 2015 |
speciaoppn-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Z |
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| November 23, 2015 |
EX-99.CERT 2 certs.htm CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, n |
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| October 30, 2015 |
Special Opportunities Fund DEFINITIVE PROXY STATEMENT DEF 14A 1 sofdef14a.htm DEFINITIVE PROXY STATEMENT SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Us |
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| May 27, 2015 |
certs.htm CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect t |
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| May 27, 2015 |
specialoppsn-q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) |
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| March 2, 2015 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund Milwaukee, Wisconsin In planning and performing our audit of the financial statements of the Special Opportunities Fund (the "Fund") as of and for the year ended December 31, 2014, in accordance with the standards of the Public Company Accounting Oversight Board (United States), w |
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| March 2, 2015 |
EX-99.77J REVALUATN Exhibit 77(j)(b) - Restatement of Capital Accounts For the year ended December 31, 2014, the Special Opportunities Fund made the following permanent tax adjustments on the statements of assets and liabilities: Undistributed Net Investment Income/(Loss): $(1,039,832) Accumulated Net Realized Gain/(Loss): $1,205,389 Paid-in Capital: $(165,557) The reclassifications have no effect |
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| March 2, 2015 |
Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on December 30, 2014 The Fund held an annual meeting of shareholders (the "Meeting") on December 30, 2014 to vote on the following matters: (1) To elect five Directors to the Fund's Board of Directors, to be elected by the holders of the Fund's common stock and preferred stock, voting together as a si |
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| November 26, 2014 |
SPE / Special Opportunities Fund, Inc. DEF 14A - - DEFINITIVE PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| November 25, 2014 |
Special Opportunities Fund, Inc. - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| November 25, 2014 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| November 14, 2014 |
SPE / Special Opportunities Fund, Inc. PRE 14A - - PRELIMINARY PROXY STATEMENT PRE 14A 1 specialoppspre14a.htm PRELIMINARY PROXY STATEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of th |
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| August 28, 2014 |
Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on March 25, 2014 The Fund held an annual meeting of shareholders (the "Meeting") on March 25, 2014 to vote on the following matters: (1) (a) To elect four Directors to the Fund's Board of Directors, to be elected by the holders of the Fund's common stock and preferred stock, voting together as a sing |
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| May 23, 2014 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| May 23, 2014 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| May 8, 2014 |
Phone: (212) 885-5205 Fax: (917) 332-3817 Email: [email protected] May 8, 2014 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission 100 F Street, N.E. Washington, DC 20549 Attention: Chad Eskildsen Re: Special Opportunities Fund, Inc. Annual Report to Shareholders for the year ended December 31, 2013 Dear Mr. Eskildsen: On behalf of Special Opportunities Fund, Inc. (the “Company’) |
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| March 3, 2014 |
EX-99.77J REVALUATN Exhibit 77(j)(b) - Restatement of Capital Accounts For the year ended December 31, 2013, the Special Opportunities Fund made the following permanent tax adjustments on the statements of assets and liabilities: Undistributed Net Investment Income/(Loss): $561,399 Accumulated Net Realized Gain/(Loss): $(800,916) Paid-in Capital: $239,517 The reclassifications have no effect on ne |
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| March 3, 2014 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund Milwaukee, Wisconsin In planning and performing our audit of the financial statements of the Special Opportunities Fund (the "Fund") as of and for the year ended December 31, 2013, in accordance with the standards of the Public Company Accounting Oversight Board (United States), w |
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| February 25, 2014 |
NOTIFICATION OF THE REMOVAL FROM LISTING AND REGISTRATION OF THE STATED SECURITIES The New York Stock Exchange hereby notifies the SEC of its intention to remove the entire class of the stated securities from listing and registration on the Exchange at the opening of business on March 10, 2014, pursuant to the provisions of Rule 12d2-2 (a). |
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| February 18, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| February 14, 2014 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3) Special Opportunities Fund Inc. (SPE) (Name of Issuer) Common Stock (Title of Class of Securities) 84741T104 (CUSIP Number) December 31, 2013 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| February 10, 2014 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Special Opportunities Fund Inc. (SPE) (Name of Issuer) Convertible Preferred Stock (Title of Class of Securities) 84741T203 (CUSIP Number) January 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to w |
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| January 10, 2014 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 4) Under the Securities Exchange Act of 1934 Special Opportunities Fund Inc. (SPE) (Name of Issuer) Convertible Preferred Stock (Title of Class of Securities) 84741T203 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsfor |
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| December 23, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| November 26, 2013 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| November 26, 2013 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| October 10, 2013 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 3) Under the Securities Exchange Act of 1934 Special Opportunities Fund Inc. (SPE) (Name of Issuer) Convertible Preferred Stock (Title of Class of Securities) 84741T203 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsfor |
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| May 29, 2013 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| May 29, 2013 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Special Opportunities Fund, Inc. (Exact name of registrant as specified in charter) 615 East Michigan Street Milwaukee, WI 53202 (Address of principal executive offices) (Zip code) Andrew D |
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| April 10, 2013 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2) Under the Securities Exchange Act of 1934 Special Opportunities Fund Inc. (SPE) (Name of Issuer) Convertible Preferred Stock (Title of Class of Securities) 84741T203 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsfor |
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| February 28, 2013 |
FOR % of Quorum % of O/S WITHHELD 6,069,017 98.29% 89.12% 102,872 Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on December 4, 2012 and was adjourned until December 27, 2012 The Fund held an annual meeting of shareholders (the “Meeting”) on December 4, 2012 and was adjourned until December 27, 2012 to vote on the following matters: (1) (a) To elect four Directors to the Fund’s Board of Directors, to be elected |
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| February 28, 2013 |
EX-99.77J REVALUATN Exhibit 77(j)(b) – Restatement of Capital Accounts For the year ended December 31, 2012, the Special Opportunities Fund made the following permanent tax adjustments on the statements of assets and liabilities: Undistributed Net Investment Income/(Loss) Accumulated Net Realized Gain/(Loss) Paid-in Capital $81,567 $(731,567) $650,000 The reclassifications have no effect on net as |
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| February 28, 2013 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund Milwaukee, Wisconsin In planning and performing our audit of the financial statements of the Special Opportunities Fund (the “Fund”) as of and for the year ended December 31, 2012, in accordance with the standards of the Public Company Accounting Oversight Board (United States), w |
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| February 14, 2013 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Special Opportunities Fund Inc. (SPE) (Name of Issuer) Common Stock (Title of Class of Securities) 84741T104 (CUSIP Number) December 31, 2012 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| November 29, 2012 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| November 29, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on November 29, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| October 30, 2012 |
Phone: (215) 569-5734 Fax: (215) 832-5734 Email: [email protected] October 30, 2012 VIA EDGAR Mr. Ed Bartz Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Special Opportunities Fund, Inc. (the “Fund”) File No.: 811-07528 Definitive Proxy Statement on Schedule 14A Dear Mr. Bartz: On behalf of the Fund, this letter is in res |
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| October 30, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| October 17, 2012 |
PRELIMINARY PROXY MATERIAL FOR THE INFORMATION OF THE SEC ONLY PRELIMINARY PROXY MATERIAL FOR THE INFORMATION OF THE SEC ONLY THE MATTERS BELOW SHALL BE VOTED ON BY THE HOLDERS OF THE FUND’S COMMON STOCK AND PREFERRED STOCK PROXY SPECIAL OPPORTUNITIES FUND, INC. |
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| October 17, 2012 |
Phone: (215)569-5734 Fax: (215)832-5734 Email: [email protected] October 17, 2012 VIA EDGAR Mr. Bo Howell Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Special Opportunities Fund, Inc. (the “Fund”) File No. 811-07528 Preliminary Proxy Statement on Schedule 14A Dear Mr. Howell: On behalf of the Fund, transmitted herewith |
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| October 17, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| October 10, 2012 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 1) Under the Securities Exchange Act of 1934 Special Opportunities Fund Inc. (SPE) (Name of Issuer) Convertible Preferred Stock (Title of Class of Securities) 84741T203 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsfor |
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| August 2, 2012 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Activist Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Special Opportunities Fund Inc. (SPE) (Name of Issuer) Convertible Preferred Stock (Title of Class of Securities) 84741T203 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York 14534 (5 |
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| July 6, 2012 |
- NOTIFICATION OF REGISTRATION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation or organization) 13-3702911 (IRS Employer Identification No.) 615 East Michi |
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| June 14, 2012 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) or (g) OF THE SECURITIES EXCHANGE ACT OF 1934 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland (State of incorporation or organization) 13-3702911 (IRS Employer Identification No.) 615 East Michi |
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| June 11, 2012 |
- AMENDMENT WITHDRAWAL REQUEST AW 1 sofaw.htm AMENDMENT WITHDRAWAL REQUEST Phone: (215)569-5734 Fax: (215)832-5734 Email: [email protected] June 11, 2012 VIA EDGAR Bo Howell, Esquire U.S. Securities and Exchange Commission Division of Investment Management 100 F Street, N.E. Washington, D.C. 20549 Re: Special Opportunities Fund, Inc. (File Nos. 333-178943 & 811-07528) Request for Withdrawal of Pre-Effective Amendment No. |
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| June 8, 2012 |
Phone: 215-569-5734 Fax: 215-832-5734 Email: [email protected] June 8, 2012 BY EDGAR Bo Howell, Esquire Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Special Opportunities Fund, Inc. (the “Fund”) File Nos.: 811-07528 and 333-178943 Dear Mr. Howell: On behalf of the Fund, and pursuant to Rule 461 under the Securities Act |
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| June 6, 2012 |
Phone: 215-569-5530 Fax: 215-832-5530 Email: [email protected] June 6, 2012 BY EDGAR Bo Howell, Esquire Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Special Opportunities Fund, Inc. (the “Fund”) File Nos.: 811-07528 and 333-178943 Dear Mr. Howell: On behalf of the Fund, and pursuant to Rule 461 under the Securities Act of 1 |
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| June 5, 2012 |
Special Opportunities Fund, Inc. to Commence Rights Offering Special Opportunities Fund, Inc. to Commence Rights Offering NEW YORK, June 5, 2012 - (BUSINESS WIRE) - Special Opportunities Fund, Inc. (NYSE: SPE - News) (the “Fund”) announced today that it will issue to its common stockholders one transferable right for every 10 shares of common stock held on June 15, 2012, entitling the holders of such rights to purchase shares of a newly designated class of |
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| June 5, 2012 |
Financial Statements and Exhibits, Other Events - CURRENT REPORT, ITEMS 9.01 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 5, 2012 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland 811-07528 13-3702911 (State or other jurisdiction (Commission (IRS Employ |
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| June 5, 2012 |
Phone: 215-569-5530 Fax: 215-832-5530 Email: [email protected] June 5, 2012 BY EDGAR Bo Howell, Esquire Securities and Exchange Commission Division of Investment Management 100 “F” Street, N.E. Washington, D.C. 20549 Re: Special Opportunities Fund, Inc. (the “Fund”) File Nos.: 811-07528 and 333-178943 Dear Mr. Howell: On behalf of the Fund, and pursuant to Rule 461 under the Securities Act of 1 |
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| May 25, 2012 |
Quarterly Schedule of Portfolio Holdings - QUARTERLY NOTICE OF PORTFOLIO HOLDINGS As filed with the Securities and Exchange Commission on May 25, 2012 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 25, 2012 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| March 7, 2012 |
[BLANK ROME LLP LETTERHEAD] Phone: (215) 569-5530 Fax: (215) 832-5530 Email: stokes@blankrome. |
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| February 29, 2012 |
FOR % of Quorum % of O/S WITHHELD 5,139,593 82.63% 76.98% 1,080,293 Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on December 7, 2011 The Fund held an annual meeting of shareholders (the “Meeting”) on December 7, 2011 to vote on the following matters: (1) To elect six directors to serve until the annual meeting of stockholders in 2012 and until their successors are elected and qualify or until they resign or are |
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| February 29, 2012 |
Section 16(a) Beneficial Ownership Reporting Compliance EX-99.77Q2 ITEM 405 3 reporting.htm BENEFICIAL OWNERSHIP REPORTING COMPLIANCE EX-99.77Q2 Section 16(a) Beneficial Ownership Reporting Compliance Based solely upon a review of Forms 3 and 4 and amendments thereto furnished to the Registrant pursuant to Rule 16a-3(e) under the Securities Exchange Act of 1934 during its most recent fiscal year and Forms 5 and amendments thereto furnished to the Regis |
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| February 29, 2012 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund Milwaukee, Wisconsin In planning and performing our audit of the financial statements of the Special Opportunities Fund (the “Fund”) as of and for the year ended December 31, 2011, in accordance with the standards of the Public Company Accounting Oversight Board (United States), w |
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| February 14, 2012 |
SPE / Special Opportunities Fund, Inc. / Karpus Management, Inc. Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1) Special Opportunities Fund Inc. (SPE) (Name of Issuer) Common Stock (Title of Class of Securities) 84741T104 (CUSIP Number) December 31, 2011 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuan |
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| December 14, 2011 |
Financial Statements and Exhibits, Other Events 8-K 1 specialopps8k.htm CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 13, 2011 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registr |
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| December 14, 2011 |
Special Opportunities Fund, Inc. 615 East Michigan Street, Milwaukee, WI 53202 December 13, 2011 EX-99.1 2 declaratoryorder.htm APPLICATION FOR DECLARATORY ORDER Special Opportunities Fund, Inc. 615 East Michigan Street, Milwaukee, WI 53202 December 13, 2011 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Application for Determination That the New Proxy Voting Procedure of Special Opportunities Fund, Inc. Does Not Cause it to be in V |
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| November 29, 2011 |
As filed with the Securities and Exchange Commission on November 29, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 29, 2011 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| October 27, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| October 27, 2011 |
[BLANK ROME LLP LETTERHEAD] Phone: (215) 569-5530 Fax: (215) 832-5530 Email: stokes@blankrome. |
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| October 12, 2011 |
Phone: (215)569-5530 Fax: (215)832-5530 Email: [email protected] October 12, 2011 BY EDGAR Securities and Exchange Commission Division of Investment Management 450 Fifth Street, N.W. Washington, D.C. 20549 Re: Special Opportunities Fund, Inc., File #811-07528 Preliminary Proxy Statement on Schedule 14A Gentlemen: On behalf of our client, Special Opportunities Fund, Inc., transmitted herewith is |
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| October 12, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: x Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| October 11, 2011 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Special Opportunities Fund Inc. (SPE) (Name of Issuer) Common Stock (Title of Class of Securities) 84741T104 (CUSIP Number) September 30, 2011 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Sch |
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| May 26, 2011 |
As filed with the Securities and Exchange Commission on May 26, 2011 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 26, 2011 |
I, Andrew Dakos, certify that: EX-99.CERT 2 certs.htm OFFICER CERTIFICATIONS CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were |
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| March 1, 2011 |
Section 16(a) Beneficial Ownership Reporting Compliance EX-99.77Q2 ITEM 405 3 reporting.htm BENEFICIAL OWNERSHIP REPORTING COMPLIANCE EX-99.77Q2 Section 16(a) Beneficial Ownership Reporting Compliance Based solely upon a review of Forms 3 and 4 and amendments thereto furnished to the Registrant pursuant to Rule 16a-3(e) under the Securities Exchange Act of 1934 during its most recent fiscal year and Forms 5 and amendments thereto furnished to the Regis |
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| March 1, 2011 |
FOR % of Quorum % of O/S WITHHELD 5,685,496 94.76% 85.16% 314,357 EX-99.77C VOTES 4 votes.htm MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS Sub-Item 77C: Matters Submitted to a Vote of Security Holders Annual meeting of shareholders held on September 16, 2010 The Fund held an annual meeting of shareholders (the “Meeting”) on September 16, 2010 to vote on the following matters: (1) To elect six directors to serve until the annual meeting of stockholders in 2011 |
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| March 1, 2011 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund Milwaukee, Wisconsin In planning and performing our audit of the financial statements of the Special Opportunities Fund (the ?Fund?) as of and for the year ended December 31, 2010, in accordance with the standards of the Public Company Accounting Oversight Board (United States), w |
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| December 20, 2010 |
Special Opportunities Fund, Inc., 615 East Michigan Street, Milwaukee, WI 53202 *** Brooklyn Capital Management LLC, Park 80 West, 250 Pehle Avenue, Suite 708, Saddle Brook, NJ 07663 (201) 556-0092 // Fax: (201)556-0097 // [email protected] December 20, 2010 Elizabeth M. Murphy Secretary Securities and Exchange Commission 100 F Street, NE Washington, DC 20549-1090 Application for Det |
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| December 20, 2010 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 20, 2010 SPECIAL OPPORTUNITIES FUND, INC. (Exact name of registrant as specified in its charter) Maryland 811-07528 13-3702911 (State or other jurisdiction (Commission (IRS E |
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| November 24, 2010 |
As filed with the Securities and Exchange Commission on November 24, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 24, 2010 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| August 10, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| May 27, 2010 |
As filed with the Securities and Exchange Commission on May 27, 2010 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 27, 2010 |
I, Andrew Dakos, certify that: CERTIFICATION I, Andrew Dakos, certify that: 1. I have reviewed this report on Form N-Q of Special Opportunities Fund, Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the peri |
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| February 26, 2010 |
Section 16(a) Beneficial Ownership Reporting Compliance EX-99.77Q2 Section 16(a) Beneficial Ownership Reporting Compliance Based solely upon a review of Forms 3 and 4 and amendments thereto furnished to the Registrant pursuant to Rule 16a-3(e) under the Securities Exchange Act of 1934 during its most recent fiscal year and Forms 5 and amendments thereto furnished to the Registrant with respect to its most recent fiscal year, and any written representat |
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| February 26, 2010 |
Sub-Item 77D: Policies with Respect to Security Investments Sub-Item 77D: Policies with Respect to Security Investments Proposals regarding changes in the investment policies of the Fund were approved by shareholders at a special meeting held on December 10, 2009. Proposals 2, 3 and 4 of the Proxy Statement were previously filed on Schedule 14A on November 19, 2009, and are incorporated herein by reference. |
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| February 26, 2010 |
EX-99.77Q1 OTHR EXHB 8 bylaws.htm BYLAW AMENDMENT Sub-Item 77Q1 SPECIAL OPPORTUNITIES FUND, INC. CERTIFICATE OF CHAIRMAN AND SECRETARY FOR BOARD RESOLUTION APPROVING BYLAW AMENDMENT I, Phillip Goldstein, Chairman and Secretary of Special Opportunities Fund, Inc. (Olda Insured Municipal Income Fund Inc.), a Maryland corporation listed on the New York Stock Exchange (the "Fund"), hereby certify that |
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| February 26, 2010 |
EX-99.77C VOTES 3 votes.htm MATTERS SUBMITTED TO A VOTE OF SECURITY HOLDERS Sub-Item 77C: Matters Submitted to a Vote of Security Holders Special meeting of shareholders held on December 10, 2009 The Fund held a special meeting of shareholders (the “Meeting”) on December 10, 2009 to vote on the following matters: (1) To elect three directors to serve until the annual meeting of shareholders in 201 |
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| February 26, 2010 |
EX-99.77Q1 OTHR EXHB 5 mgmtagmt.htm EXHIBITS - INVESTMENT MANAGEMENT AGREEMENT Sub-Item 77Q1: Exhibits – Investment Management Agreement The Investment Management Agreement dated and effective as of December 10, 2009 between Special Opportunities Fund, Inc. (formerly Insured Municipal Income Fund Inc.), a Maryland corporation, and Brooklyn Capital Management, LLC, a Delaware limited liability comp |
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| February 26, 2010 |
ARTICLES OF AMENDMENT (1) Insured Municipal Income Fund Inc. (2) & #160; , a Maryland corporation hereby certifies to the State Department of Assessments and Taxation of Maryland that: (3) The charter of the corporation is hereby amended as follows: Article SECOND of the Articles of Incorporation is hereby amended and restated in its entirety as follows: "SECOND: NAME OF THE CORPORATION: The name |
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| February 26, 2010 |
REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM REPORT OF INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Shareholders and Board of Directors Special Opportunities Fund Milwaukee, Wisconsin In planning and performing our audit of the financial statements of the Special Opportunities Fund (the ?Fund?) as of and for the year ended December 31, 2009, in accordance with the standards of the Public Company Accounting Oversight Board (United States), w |
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| February 26, 2010 |
INSURED MUNICIPAL INCOME FUND, INC. INTERIM SUBADVISORY AGREEMENT INSURED MUNICIPAL INCOME FUND, INC. INTERIM SUBADVISORY AGREEMENT This Interim Subadvisory Agreement is made as of October 29, 2009 (the ?Effective Date?), between Brooklyn Capital Management, LLC, a Delaware limited liability company (the ?Adviser?), and Income Research & Management, a Massachusetts business trust (the ?Subadviser?). WHEREAS, the Adviser serves as the interim investment adviser t |
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| February 5, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Insured Municipal Income Fund Inc. (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 45809F203 45809F302 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 5, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Painewebber Premier Insured Municipal Income Fund (Name of Issuer) Auction Preferred Stock (Title of Class of Securities) 69574F206 69574F305 69574F404 69574F503 (CUSIP Number) December 31, 2009 (Date of Event Which Requires Filing of this Statement) Che |
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| January 29, 2010 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Special Opportunities Fund Inc. (PIF) (Name of Issuer) Common Stock (Title of Class of Securities) 84741T104 (CUSIP Number) January 28, 2010 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant |
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| December 24, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 3) Under the Securities Exchange Act of 1934 Insured Municipal Income Fund Inc. (PIF) (Name of Issuer) Common Stock (Title of Class of Securities) 45809F104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York |
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| December 23, 2009 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE TO Tender Offer Statement under Section 14(d)(1) or 13(e)(1) of the Securities Exchange Act of 1934 (Amendment No. |
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| December 23, 2009 |
EXHIBIT 99.(a)(1)(iii) OFFER BY SPECIAL OPPORTUNITIES FUND, INC. (f/k/a Insured Municipal Income Fund Inc.) TO PURCHASE FOR CASH UP TO 75% OF THE FUND?S OUTSTANDING SHARES OF COMMON STOCK THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON JANUARY 22, 2010 OR SUCH LATER DATE TO WHICH THE OFFER IS EXTENDED (THE ?TERMINATION DATE?). THIS OFFER IS NOT CONDITIONED ON ANY M |
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| December 23, 2009 |
EXHIBIT 99.(a)(1)(iv) OFFER BY SPECIAL OPPORTUNITIES FUND, INC. (f/k/a Insured Municipal Income Fund Inc.) TO PURCHASE FOR CASH UP TO 75% OF THE FUND?S OUTSTANDING SHARES OF COMMON STOCK THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY TIME, ON JANUARY 22, 2010 OR SUCH LATER DATE TO WHICH THE OFFER IS EXTENDED (THE ?TERMINATION DATE?). THIS OFFER IS NOT CONDITIONED ON ANY MI |
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| December 23, 2009 |
Special Opportunities Fund, Inc. (f/k/a Insured Municipal Income Fund Inc.) Announces Tender Offer EXHIBIT 99.(a)(1)(vi) Special Opportunities Fund, Inc. (f/k/a Insured Municipal Income Fund Inc.) Announces Tender Offer New York, December 23, 2009?Special Opportunities Fund, Inc. (f/k/a Insured Municipal Income Fund Inc.) (NYSE: PIF) (the ?Fund?) today announced that it is offering to purchase up to 75% of the Fund?s outstanding common shares at 99.5% of the net asset value (?NAV?) per common s |
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| December 23, 2009 |
EXHIBIT 99.(a)(1)(v) SPECIAL OPPORTUNITIES FUND, INC. (f/k/a Insured Municipal Income Fund Inc.) 615 E. Michigan St., 2nd Floor Milwaukee, Wisconsin 53202 DEAR STOCKHOLDER: At a meeting held on December 10, 2009, the Board of Directors of Special Opportunities Fund, Inc. (the ?Fund?) (f/k/a Insured Municipal Income Fund Inc.), voted to conduct a tender offer for shares of the Fund?s common stock. |
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| December 23, 2009 |
EXHIBIT 99.(a)(1)(i) OFFER TO PURCHASE FOR CASH (THE ?OFFER?) BY SPECIAL OPPORTUNITIES FUND, INC. (THE ?FUND?) (f/k/a Insured Municipal Income Fund) 615 E. Michigan St., 2nd Floor Milwaukee, Wisconsin 53202 (877) 607-0414 UP TO 75% OF ITS ISSUED AND OUTSTANDING SHARES OF COMMON STOCK, PAR VALUE $0.001 PER SHARE (THE ?SHARES?) THE OFFER AND WITHDRAWAL RIGHTS WILL EXPIRE AT 5:00 P.M., NEW YORK CITY |
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| December 23, 2009 |
EXHIBIT 99.(a)(1)(ii) Letter of Transmittal To Tender Shares of Common Stock of SPECIAL OPPORTUNITIES FUND, INC. (f/k/a Insured Municipal Income Fund Inc.) Pursuant to the Offer to Purchase dated December 23, 2009 The undersigned represents that I (we) have full authority to surrender without restriction the certificate(s) listed below. You are hereby authorized and instructed to deliver to the ad |
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| November 25, 2009 |
Ernst & Young LLP 5 Times Square New York, New York 10036-6530 Tel: +1 212 773 3000 November 25, 2009 Securities and Exchange Commission 100 F Street, N. |
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| November 25, 2009 |
Sub-Item 77C: Matters Submitted to a Vote of Security Holders EX-99.77C VOTES 2 votes.htm VOTING RESULTS OF MEETING Sub-Item 77C: Matters Submitted to a Vote of Security Holders Shareholder meeting information for the meeting held on August 12, 2009 On August 12, 2009, the holders of the Fund’s common stock and auction preferred stock (“APS”) were asked to: (i) elect four directors; (ii) consider and vote upon a new advisory and administration contract betwe |
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| November 25, 2009 |
Sub-Item 77D: Policies with Respect to Security Investments Sub-Item 77D: Policies with Respect to Security Investments Proposals regarding changes in the investment policies of the Fund were approved by the Board of Directors and are subject to shareholder approval. Proposals 2, 3 and 4 of the Proxy Statement were previously filed on Schedule 14A on November 19, 2009, and are incorporated herein by reference. |
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| November 25, 2009 |
Sub-Item 77K: Change in Independent Registered Public Accounting Firm EX-99.77K CHNG ACCNT 4 auditorchng.htm CHANGE OF AUDITOR Sub-Item 77K: Change in Independent Registered Public Accounting Firm The Insured Municipal Income Fund’s (the “Fund”) Audit Committee met on September 24, 2009 to consider the selection of a new independent registered public accounting firm for the Fund for the fiscal year ending March 31, 2010. Based on the recommendation of the Fund’s Aud |
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| November 19, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defini |
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| November 19, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defini |
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| November 13, 2009 |
[BLANK ROME LLP LETTERHEAD] Phone: (215) 569-5530 Fax: (215) 832-5530 Email: stokes@blankrome. |
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| October 20, 2009 |
Blank Rome LLP 405 Lexington Avenue New York, NY 10174 October 20, 2009 FILED VIA EDGAR U. |
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| October 20, 2009 |
PRELIMINARY PROXY MATERIAL FOR THE INFORMATION OF THE SECURITIES AND EXCHANGE COMMISSION ONLY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| September 24, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 2) Under the Securities Exchange Act of 1934 Insured Municipal Income Fund Inc. (PIF) (Name of Issuer) Common Stock (Title of Class of Securities) 45809F104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York |
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| August 28, 2009 |
I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; Exhibit EX-99.CERT Certifications I, Kai R. Sotorp, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under |
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| August 28, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of principal executive offices) (Zip code) |
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| August 11, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| August 7, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| August 5, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| July 31, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| July 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| July 24, 2009 |
DEFA14A 1 e71092.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted |
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| July 23, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| July 17, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| June 5, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| June 5, 2009 |
1775 I Street, N.W. Washington, DC 20006-2401 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com JULIEN BOURGEOIS [email protected] +1 202 261 3451 Direct +1 202 261 3151 Fax June 5, 2009 VIA EDGAR Division of Investment Management Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Attn: Brion Thompson, Esq. Re: Insured Municipal Income Fund Inc. (the “Fund”) |
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| June 5, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| May 15, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [X] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| May 15, 2009 |
1775 I Street, N.W. Washington, DC 20006-2401 +1 202 261 3300 Main +1 202 261 3333 Fax www.dechert.com JULIEN BOURGEOIS [email protected] +1 202 261 3451 Direct +1 202 261 3151 Fax May 15, 2009 VIA EDGAR Filing Desk Securities and Exchange Commission 100 F Street, NE Washington, D.C. 20549 Re: Insured Municipal Income Fund Inc. (“Fund”) File No. 811-07528 Ladies and Gentlemen: Pursuant |
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| March 2, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of principal executive offices) (Zip code) |
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| March 2, 2009 |
Exhibit EX-99.CERT Certifications I, Kai R. Sotorp, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under |
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| February 10, 2009 |
Filed by Bowne Pure Compliance OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| February 10, 2009 |
Filed by Bowne Pure Compliance OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. |
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| January 30, 2009 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Amendment No. 1) Under the Securities Exchange Act of 1934 Insured Municipal Income Fund Inc. (PIF) (Name of Issuer) Common Stock (Title of Class of Securities) 45809F104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York |
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| October 17, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Insured Municipal Income Fund Inc. (PIF) (Name of Issuer) Common Stock (Title of Class of Securities) 45809F104 (CUSIP Number) George W. Karpus, President Karpus Management, Inc., d/b/a Karpus Investment Management 183 Sully's Trail Pittsford, New York 14534 (585) 586-4680 |
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| September 3, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| August 29, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of principal executive offices) (Zip code) |
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| August 29, 2008 |
EX-99.CERT 2 e66246ex99.htm Exhibit EX-99.CERT Certifications I, Kai R. Sotorp, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light |
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| August 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| July 28, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| July 11, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| July 2, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| June 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Defin |
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| June 19, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 1 |
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| June 13, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant þ Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e) |
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| May 30, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant [X] Filed by a Party other than the Registrant [ ] Check the appropriate box: [ ] Preliminary Proxy Statement [ ] Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) |
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| February 29, 2008 |
EX-99.CERT 2 dex99cert.htm CERTIFICATIONS Exhibit EX-99.CERT Certifications I, Kai R. Sotorp, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements |
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| February 29, 2008 |
Insured Municipal Income Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of prin |
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| February 14, 2008 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Insured Municipal Income Fund (PIF) (Name of Issuer) Common Stock (Title of Class of Securities) 45809F104 (CUSIP Number) December 31, 2007 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedu |
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| October 17, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Insured Municipal Income Fund (PIF) (Name of Issuer) Common Stock (Title of Class of Securities) 45809F104 (CUSIP Number) October 16, 2007 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedul |
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| August 29, 2007 |
Certifications of principal executive officer and principal financial officer Exhibit EX-99. |
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| August 29, 2007 |
Insured Municipal Income Fund Inc. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of prin |
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| May 25, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant x Filed by a Party other than the Registrant ¨ Check the appropriate box: ¨ Preliminary Proxy Statement ¨ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) x Defin |
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| March 1, 2007 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of principal executive offices) (Zip code) |
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| March 1, 2007 |
EX-99.CERT 2 e54015ex99cert.htm Exhibit EX-99.CERT Certifications I, Kai R. Sotorp, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in l |
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| November 21, 2006 |
Insured Municipal Income Fund Form 8K Exhibit (i) Exhibit (i) GLOBAL HIGH INCOME FUND INC. |
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| November 21, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K Current Report Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 15, 2006 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in its charter) Maryland 811-07528 13-3702911 (State or other (Commission (I.R.S. Employer |
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| August 18, 2006 |
Exhibit EX-99.CERT Certifications I, W. Douglas Beck, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances unde |
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| August 18, 2006 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of principal executive offices) (Zip code) |
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| February 28, 2006 |
EX-99.CERT 2 a06-43141ex99dcert.htm CERTIFICATION Exhibit EX-99.CERT Certifications I, W. Douglas Beck, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the s |
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| February 28, 2006 |
Item 1. Schedule of Investments UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number: 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of principal executive offices) (Zip code) |
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| August 29, 2005 |
Exhibit EX-99.CERT Certifications I, W. Douglas Beck, President of Insured Municipal Income Fund Inc., certify that: 1. I have reviewed this report on Form N-Q of Insured Municipal Income Fund Inc.; 2. Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances unde |
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| August 29, 2005 |
Item 1. Schedule of Investments UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-Q QUARTERLY SCHEDULE OF PORTFOLIO HOLDINGS OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act file number 811-07528 Insured Municipal Income Fund Inc. (Exact name of registrant as specified in charter) 51 West 52nd Street, New York, New York 10019-6114 (Address of principal executive offices) (Zip code) |
