<SEC-DOCUMENT>0000894189-21-008829.txt : 20211216
<SEC-HEADER>0000894189-21-008829.hdr.sgml : 20211216
<ACCEPTANCE-DATETIME>20211216133335
ACCESSION NUMBER:		0000894189-21-008829
CONFORMED SUBMISSION TYPE:	8-A12B
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20211216
DATE AS OF CHANGE:		20211216

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			SPECIAL OPPORTUNITIES FUND, INC.
		CENTRAL INDEX KEY:			0000897802
		IRS NUMBER:				133702911
		STATE OF INCORPORATION:			MD
		FISCAL YEAR END:			0331

	FILING VALUES:
		FORM TYPE:		8-A12B
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	001-11786
		FILM NUMBER:		211497234

	BUSINESS ADDRESS:	
		STREET 1:		C/O US BANCORP FUND SERVICES, LLC
		STREET 2:		615 EAST MICHIGAN AVENUE
		CITY:			MILWAUKEE
		STATE:			WI
		ZIP:			53202
		BUSINESS PHONE:		414-765-4319

	MAIL ADDRESS:	
		STREET 1:		C/O US BANCORP FUND SERVICES, LLC
		STREET 2:		615 EAST MICHIGAN AVENUE
		CITY:			MILWAUKEE
		STATE:			WI
		ZIP:			53202

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	INSURED MUNICIPAL INCOME FUND INC
		DATE OF NAME CHANGE:	19960213

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	PAINEWEBBER PREMIER INSURED MUNICIPAL INCOME FUND INC
		DATE OF NAME CHANGE:	19930714
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-A12B
<SEQUENCE>1
<FILENAME>specopp_8a12b.htm
<DESCRIPTION>NOTIFICATION OF REGISTRATION
<TEXT>
<html>
  <head>
    <title></title>
    <!-- Licensed to: U.S. Bank
         Document created using EDGARfilings PROfile 7.7.0.0
         Copyright 1995 - 2021 Broadridge -->
  </head>
<body bgcolor="#ffffff" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; text-align: left; color: #000000;">
  <div>
    <hr align="center" style="border: none; border-bottom: 1px solid black; border-top: 4px solid black; height: 10px; color: #ffffff; background-color: #ffffff; text-align: center; margin-left: auto; margin-right: auto;">
    <div> <br>
    </div>
    <div>
      <div><br>
      </div>
      <div style="text-align: center; color: #000000; font-size: 14pt; font-weight: bold;">UNITED STATES</div>
      <div style="text-align: center; color: #000000; font-size: 14pt; font-weight: bold;">SECURITIES AND EXCHANGE COMMISSION</div>
      <div style="text-align: center; color: #000000; font-weight: bold;">Washington, D.C. 20549</div>
      <div style="text-align: center; color: #000000;">&#160;</div>
      <div style="text-align: center; color: #000000; font-size: 14pt; font-weight: bold;">FORM 8-A</div>
      <div style="color: #000000;">&#160;</div>
      <div style="text-align: center; color: #000000; font-weight: bold;">FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES</div>
      <div style="text-align: center; color: #000000; font-weight: bold;">PURSUANT TO SECTION 12(b) or (g) OF THE</div>
      <div style="text-align: center; color: #000000; font-weight: bold;">SECURITIES EXCHANGE ACT OF 1934</div>
      <div style="color: #000000;">&#160;</div>
      <div style="text-align: center; color: #000000; font-size: 14pt; font-weight: bold;">SPECIAL OPPORTUNITIES FUND, INC.</div>
      <div style="text-align: center; color: #000000;">(Exact name of registrant as specified in its charter)</div>
      <table cellspacing="0" cellpadding="0" id="z991a4a31f70346f98f2a9aec8fa19482" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

          <tr>
            <td style="width: 40.33%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
              <div style="text-align: center; color: #000000; font-weight: bold;">Maryland</div>
              <div style="text-align: center; color: #000000;">(State of incorporation or organization)</div>
            </td>
            <td style="width: 16.33%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
            </td>
            <td style="width: 43.33%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
              <div style="text-align: center; color: #000000; font-weight: bold;">13-3702911</div>
              <div style="text-align: center; color: #000000;">(IRS Employer Identification No.)</div>
            </td>
          </tr>

      </table>
      <div style="color: #000000;">&#160;</div>
      <div style="text-align: center; color: #000000; font-weight: bold;">615 East Michigan Street, Milwaukee, WI 53202</div>
      <div style="text-align: center; color: #000000;">(Address of Principal Executive Offices)</div>
      <div style="color: #000000;">&#160;</div>
      <div style="color: #000000;">Securities to be registered pursuant to Section 12(b) of the Act:</div>
      <div><br>
      </div>
      <table cellspacing="0" cellpadding="0" id="z14c2f34ec40e49f0be263d766da0dcbc" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

          <tr>
            <td style="width: 48%; vertical-align: top; border-bottom: #000000 2px solid;">
              <div style="text-align: center; color: #000000;">Title of each class</div>
              <div style="text-align: center; color: #000000;">to be so registered</div>
            </td>
            <td style="width: 52%; vertical-align: top; border-bottom: #000000 2px solid;">
              <div style="text-align: center; color: #000000;">Name of each exchange on</div>
              <div style="text-align: center; color: #000000;">which each class is to be registered</div>
            </td>
          </tr>
          <tr>
            <td style="width: 48%; vertical-align: top; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: center; color: #000000; font-weight: bold;">Rights to purchase Convertible Preferred Stock, par value $0.001 per share</div>
            </td>
            <td style="width: 52%; vertical-align: top; border-top: #000000 2px solid; border-bottom: #000000 2px solid;">
              <div style="text-align: center; color: #000000; font-weight: bold;">New York Stock Exchange</div>
            </td>
          </tr>
          <tr>
            <td style="width: 48%; vertical-align: top; border-top: #000000 2px solid;">
              <div style="text-align: center; color: #000000; font-weight: bold;">2.75% Convertible Preferred Stock, Series C, par value $0.001 per share</div>
            </td>
            <td style="width: 52%; vertical-align: top; border-top: #000000 2px solid;">
              <div style="text-align: center; color: #000000; font-weight: bold;">New York Stock Exchange</div>
            </td>
          </tr>

      </table>
      <div style="color: #000000;">&#160;</div>
      <div style="color: #000000;">If this form relates to the registration of a class of securities pursuant to Section 12(b) of the Exchange Act and is effective pursuant to General Instruction A.(c), check the following box.<font style="font-family: Wingdings;">&#160; x</font></div>
      <div style="color: #000000;">&#160;</div>
      <div style="color: #000000;">If this form relates to the registration of a class of securities pursuant to Section 12(g) of the Exchange Act and is effective pursuant to General Instruction A.(d), check the following box.<font style="font-family: Wingdings;">&#160; o</font></div>
      <div style="color: #000000;">&#160;</div>
      <div><font style="color: #000000;">Securities Act registration statement file number to which this form relates:</font><font id="TRGRRTFtoHTMLTab" style="display: inline-block; text-indent: 0px; font-size: 1px; width: 432pt">&#160;</font><font style="color: #000000; font-weight: bold;"><u>333-257169</u></font></div>
      <div style="color: #000000;">&#160;</div>
      <div style="color: #000000;">Securities to be registered pursuant to Section 12(g) of the Act:&#160; <font style="font-weight: bold;">None</font> <br>
      </div>
      <div id="DSPFPageBreakArea" style="clear: both; margin-top: 10pt; margin-bottom: 10pt;">
        <div id="DSPFPageBreak" style="page-break-after:always;">
          <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
      </div>
      <div><br>
      </div>
      <div style="text-align: right; color: #000000; font-weight: bold;">&#160;</div>
      <div><font style="font-weight: bold; color: #000000;">Item 1.</font>&#160;&#160;&#160;&#160;&#160;&#160; <font style="font-weight: bold; color: #000000;">Description of Registrant&#8217;s Securities to be Registered.</font></div>
      <div style="color: #000000;">&#160;</div>
      <div style="color: #000000;">A description of the transferable subscription rights to purchase shares of Convertible Preferred Stock, par value $0.001 per share, of Special Opportunities Fund, Inc. (the &#8220;Registrant&#8221;) to be registered hereunder is set
        forth in the information provided under the captions &#8220;Convertible Preferred Stock Rights Offering &#8211; Basic Subscription Right&#8221;, &#8220;Convertible Preferred Stock Rights Offering &#8211; Oversubscription Privilege and Over-Allotment Privilege&#8221; and &#8220;Convertible
        Preferred Stock Rights Offering &#8211; Transferability of Rights&#8221; in the prospectus which forms a part of the Registration Statement on Form N-2 (File No. 333-257169) filed under the Securities Act of 1933, as amended (the &#8220;Securities Act&#8221;), with the
        Securities and Exchange Commission on June 17, 2021 (as amended from time to time thereafter, the &#8220;Registration Statement&#8221;), which information is incorporated herein by reference, and the description contained under such captions included in the
        form of final prospectus subsequently filed by the Registrant on December 23, 2021 pursuant to Rule 424B under the Securities Act, which form of final prospectus is also incorporated by reference herein.</div>
      <div style="color: #000000;">&#160;</div>
      <div style="color: #000000;">A description of the shares of 2.75% Convertible Preferred Stock, Series C, par value $0.001 per share, of the Registrant to be registered hereunder is set forth in the information provided under the captions &#8220;Convertible
        Preferred Stock Rights Offering &#8211; Description of Convertible Preferred Stock&#8221; and &#8220;Description of Our Capital Stock&#8221; in the prospectus which forms a part of the Registration Statement on Form N-2 (File No. 333-257169) filed under the Securities Act
        of 1933, as amended (the &#8220;Securities Act&#8221;), with the Securities and Exchange Commission on June 17, 2021 (as amended from time to time thereafter, the &#8220;Registration Statement&#8221;), which information is incorporated herein by reference, and the
        description contained under such captions included in the form of final prospectus subsequently filed by the Registrant on December 13, 2021, pursuant to Rule 424B under the Securities Act, which form of final prospectus is also incorporated by
        reference herein.</div>
      <div><br>
      </div>
      <div><font style="font-weight: bold; color: #000000;">Item 2.</font>&#160;&#160;&#160;&#160;&#160;&#160; <font style="font-weight: bold; color: #000000;">Exhibits.</font></div>
      <div style="color: #000000;">&#160;</div>
      <table cellspacing="0" cellpadding="0" id="za4a548df3f094876a92d0dd17abb6a97" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Articles of Incorporation<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(1)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Articles of Amendment<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(2)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Articles Supplementary<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(6)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Amended and Restated Bylaws<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(5)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Form of Transferable Subscription Rights Certificate<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(6)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Investment Management Agreement between the Registrant and Bulldog Investors, LLC<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(4)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Custody Agreement between the Registrant and U.S. Bank National Association<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(3)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Transfer Agent Servicing Agreement between the Registrant and American Stock Transfer and Trust Company, LLC<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(6)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Administration Agreement<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(3)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Opinion and Consent of Counsel<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(6)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Consent of Independent Auditor<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(6)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Code of Ethics of the Fund<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(3)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Code of Ethics of the Adviser<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(3)</sup></div>
            </td>
          </tr>
          <tr>
            <td style="width: 100%; vertical-align: top;">
              <div>Valuation Committee Charter<sup style="vertical-align: text-top; line-height: 1; font-size: smaller;">(4)</sup></div>
            </td>
          </tr>

      </table>
      <div><u>&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160; </u><br>
      </div>
      <table cellspacing="0" cellpadding="0" border="0" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

          <tr>
            <td style="vertical-align: top;">
              <div>
                <div style="font-family: 'Times New Roman',Times,serif;">(1)</div>
              </div>
              <div> (2)</div>
              <div>(3)</div>
              <div>(4)</div>
              <div>(5)</div>
              <div>(6)</div>
            </td>
            <td style="width: 94.88%; vertical-align: top;">
              <div>
                <div>Incorporated by reference to the Registrant&#8217;s Post-Effective Amendment No. 2 to the Registration Statement (File No. 333-58532) filed June 15, 1995.</div>
              </div>
              <div>
                <div>Incorporated by reference to Form NSAR (File No. 811-07528) filed on February 26, 2010.</div>
              </div>
              <div>Incorporated by reference to the Registrant&#8217;s Registration Statement on Form N-2 (File No. 333-178943) filed on June 6, 2012.</div>
              <div>Incorporated by reference to the Registrant&#8217;s Registration Statement on Form N-2 (File No. 333-208280) filed on December 1, 2015.&#160;</div>
              <div style="font-family: 'Times New Roman',Times,serif;"> Incorporated by reference to the Registrant&#8217;s Registration Statement on Form N-2 (File No. 333-208280) filed on July 14, 2016.&#160;</div>
              <div>Incorporated by reference to the Registrant&#8217;s Post-Effective Amendment No. 1 to the Registration Statement on Form N-2 (File No. 333-257169) filed on December 8, 2021.&#160;</div>
            </td>
          </tr>

      </table>
      <div id="DSPFPageBreakArea" style="clear: both; margin-top: 10pt; margin-bottom: 10pt;">
        <div id="DSPFPageBreak" style="page-break-after:always;">
          <hr noshade="noshade" style="margin: 4px 0px; width: 100%; border-width: 0; height: 2px; color: #000000; background-color: #000000; clear: both;"></div>
      </div>
      <div style="text-align: right; color: #000000;">&#160;</div>
      <div style="text-align: center; color: #000000; font-weight: bold;">SIGNATURE</div>
      <div style="color: #000000;">&#160;</div>
      <div style="text-indent: 36pt; color: #000000;">Pursuant to the requirements of Section 12 of the Securities Exchange Act of 1934, the registrant has duly caused this registration statement to be signed by the undersigned, duly authorized.</div>
      <div style="color: #000000;">&#160;</div>
      <table cellspacing="0" cellpadding="0" id="zce11c1da39fa4bbba0e08b163bf98d0c" style="font-family: 'Times New Roman', Times, serif; font-size: 10pt; width: 100%; border-collapse: collapse; text-align: left; color: #000000;">

          <tr>
            <td style="width: 48.18%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
            </td>
            <td style="width: 4.74%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
            </td>
            <td style="width: 47.08%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
            </td>
          </tr>
          <tr>
            <td style="width: 48.18%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
            </td>
            <td style="width: 51.82%; vertical-align: top;" colspan="2">
              <div style="color: #000000; font-weight: bold;">SPECIAL OPPORTUNITIES FUND, INC.</div>
            </td>
          </tr>
          <tr>
            <td style="width: 48.18%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
            </td>
            <td style="width: 4.74%; vertical-align: top;">
              <div style="color: #000000;">&#160;&#160;</div>
            </td>
            <td style="width: 47.08%; vertical-align: top;">
              <div style="color: #000000;">&#160;</div>
            </td>
          </tr>
          <tr>
            <td style="width: 48.18%; vertical-align: top;">
              <div style="color: #000000;">Date: December 16, 2021</div>
            </td>
            <td style="width: 4.74%; vertical-align: top;">
              <div style="color: #000000;">By:&#160;&#160;</div>
            </td>
            <td style="width: 47.08%; vertical-align: top; border-bottom: #000000 2px solid;">
              <div style="color: #000000;">/s/Andrew Dakos</div>
            </td>
          </tr>
          <tr>
            <td style="width: 52.92%; vertical-align: top;" colspan="2">
              <div style="color: #000000;">&#160;</div>
            </td>
            <td style="width: 47.08%; vertical-align: top;">
              <div style="color: #000000;">Andrew Dakos</div>
            </td>
          </tr>
          <tr>
            <td style="width: 52.92%; vertical-align: top;" colspan="2">
              <div style="color: #000000;">&#160;</div>
            </td>
            <td style="width: 47.08%; vertical-align: top;">
              <div style="color: #000000;">President</div>
            </td>
          </tr>

      </table>
    </div>
    <div> <br>
    </div>
    <div>
      <hr align="center" style="border: none; border-bottom: 4px solid black; border-top: 1px solid black; height: 10px; color: #ffffff; background-color: #ffffff; text-align: center; margin-left: auto; margin-right: auto;"> </div>
  </div>
</body>
</html>
</TEXT>
</DOCUMENT>
</SEC-DOCUMENT>
