Insider · CIK 0001472352

HARRIS BEN H

Reports to the SEC for 4 companies · CINCINNATI, OH

sec.gov

Transactions

Companies

Filings

CIK

0001472352

Forms 4 and 5

Insider transactions

30 trades

Date	Company	Role	Code	Shares	Price	Value	Shares after
2021-11-01	PCFHIGH INCOME SECURITIES FUNDM Exercise/Conversion	Director	MExercise/Conversion	+3,977 sh	$8.36	+$33.2K	5,652
2021-09-17	PCFHIGH INCOME SECURITIES FUNDP Purchase	Director	PPurchase	+1,675 sh	$10.00	+$16.8K	1,675
2021-05-11	SPESPECIAL OPPORTUNITIES FUND, INC.M Exercise/Conversion	Director	MExercise/Conversion	+771 sh	—	—	11,014
2021-05-11	SPESPECIAL OPPORTUNITIES FUND, INC. · 3.50% Convertible Preferred Stock Series BM Exercise/Conversion	Director	MExercise/Conversion	−400 sh	—	—	0
2021-05-05	SPESPECIAL OPPORTUNITIES FUND, INC.M Exercise/Conversion	Director	MExercise/Conversion	+346 sh	—	—	3,061
2021-05-05	SPESPECIAL OPPORTUNITIES FUND, INC. · 3.50% Convertible Preferred Stock Series BM Exercise/Conversion	Director	MExercise/Conversion	−180 sh	—	—	0
2016-09-08	SPESPECIAL OPPORTUNITIES FUND, INC. · 3.50% Convertible preferred Stock, Series BX Exercise of In-Money	Director	XExercise of In-Money	+400 sh	$25.00	+$10K	580
2016-09-08	SPESPECIAL OPPORTUNITIES FUND, INC. · 3.50% Convertible preferred Stock, Series BX Exercise of In-Money	Director	XExercise of In-Money	+180 sh	$25.00	+$4,500	580
2016-09-01	CROSSROADS LIQUIDATING TRUSTP Purchase	CEO and President	PPurchase	+5,000 sh	$1.97	+$9,831.5	19,200
2016-08-26	SPESPECIAL OPPORTUNITIES FUND, INC. · Subscription Rights (right to buy)X Exercise of In-Money	Director	XExercise of In-Money	−400 sh	—	—	0
2016-08-26	SPESPECIAL OPPORTUNITIES FUND, INC. · Subscription Rights (right to buy)X Exercise of In-Money	Director	XExercise of In-Money	−180 sh	—	—	0
2016-04-05	CROSSROADS LIQUIDATING TRUSTP Purchase	CEO and President	PPurchase	+7,500 sh	$2.64	+$19.8K	14,200
2016-04-01	CROSSROADS LIQUIDATING TRUSTP Purchase	CEO and President	PPurchase	+1,800 sh	$2.64	+$4,751.82	6,700
2016-04-01	CROSSROADS LIQUIDATING TRUSTP Purchase	CEO and President	PPurchase	+4,900 sh	$2.65	+$13K	4,900
2015-06-08	SPESPECIAL OPPORTUNITIES FUND, INC.S Sale	Director	SSale	−6,201 sh	$15.54	−$96.4K	0
2015-06-08	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+6,201 sh	$15.54	+$96.4K	6,201
2015-06-03	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+2,200 sh	$15.54	+$34.2K	6,757
2015-06-02	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+1,000 sh	$15.50	+$15.5K	4,557
2012-07-09	SPESPECIAL OPPORTUNITIES FUND, INC. · Subscription Rights (right to buy)J Other	Director	JOther	+207 sh	$0.65	+$134.55	207
2012-07-09	SPESPECIAL OPPORTUNITIES FUND, INC. · Subscription Rights (right to buy)X Exercise of In-Money	Director	XExercise of In-Money	−207 sh	—	—	0
2012-07-09	SPESPECIAL OPPORTUNITIES FUND, INC. · 3.00% Convertible Preferred Stock, Series AX Exercise of In-Money	Director	XExercise of In-Money	+207 sh	$50.00	+$10.4K	207
2011-05-20	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+1,000 sh	$15.59	+$15.6K	5,000
2011-05-19	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+1,000 sh	$15.59	+$15.6K	1,000
2010-12-09	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+1,000 sh	$14.53	+$14.5K	1,000
2010-08-16	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+200 sh	$13.29	+$2,658	2,000
2010-08-16	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+200 sh	$13.28	+$2,655	2,000
2010-08-16	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+200 sh	$13.31	+$2,661.98	2,000
2010-08-16	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+400 sh	$13.30	+$5,319.96	2,000
2010-05-19	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+2,000 sh	$13.18	+$26.4K	2,000
2010-05-19	SPESPECIAL OPPORTUNITIES FUND, INC.P Purchase	Director	PPurchase	+1,000 sh	$13.16	+$13.2K	1,000

Recent filings

Accepted (ET)
Nov 34
HARRIS BEN H0001104659-21-133721
SEC(opens sec.gov)
Sep 204
HARRIS BEN H0001398344-21-018897
SEC(opens sec.gov)
May 124
HARRIS BEN H0001104659-21-065208
SEC(opens sec.gov)
May 114
HARRIS BEN H0001104659-21-064293
SEC(opens sec.gov)
Sep 124
SPECIAL OPPORTUNITIES FUND, INC.0001144204-16-123581
SEC(opens sec.gov)
Sep 64
CROSSROADS CAPITAL, INC.0001144204-16-122836
SEC(opens sec.gov)
Apr 54
CROSSROADS CAPITAL, INC.0001398344-16-011745
SEC(opens sec.gov)
Jun 114
SPECIAL OPPORTUNITIES FUND, INC.0001144204-15-036789
SEC(opens sec.gov)
Jul 114
HARRIS BEN H0001144204-12-039039
SEC(opens sec.gov)

Companies

Address

C/O ULTIMUS FUND SOLUTIONS 225 PICTORIA DR SUITE 450

CINCINNATI, OH, 45246