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SPE submitted a Form 144 notice relating to proposed transactions in Preferred Stock. The filing lists transaction methods including Open Market Purchase and shows dates 03/26/2026 and 06/11/2026.
SPECIAL OPPORTUNITIES FUND, INC. director and President/CEO Andrew Dakos reported open-market sales of the fund’s securities. He sold 5,184 shares of common stock directly at prices around $14.02–$14.11 and 200 shares of 2.75% Convertible Preferred Stock, Series C at $25.00 per share. A limited partnership associated with him sold an additional 133 common shares, and he disclaims beneficial ownership of indirect holdings. After these transactions, he continues to have indirect exposure through 5,038 common shares held by his spouse and 807 shares held for his minor children, while his direct preferred stock position was reduced to zero.
Charles Schwab Corp. submitted a Form 144 notice reporting proposed sales of its common and preferred securities on specified dates. The excerpt lists multiple transactions and quantities tied to dates such as 02/02/2015, 02/03/2016, 09/08/2016, and 01/30/2026, with individual share counts shown against each entry.
The filing lists transaction types including Open market Purchase, Conversion of Preferred shares, Distribution, and a Right Offering entry. The excerpt is a notice-format summary of securities and dates rather than a narrative of proceeds or plan details.
Special Opportunities Fund, Inc. disclosed that Focus Partners Wealth filed an amendment reporting sole voting power over 1,111,521 shares, representing 46.5% of the 2.75% Convertible Preferred C class (CUSIP 84741T401); the amendment lists Amount beneficially owned: 0. The filing lists Focus Partners Wealth's address in St. Louis and is signed by Vincent J. Gratch as Deputy Chief Compliance Officer on 05/11/2026.
SPECIAL OPPORTUNITIES FUND, INC. director Moritz A. Sell has filed an initial Form 3 stating beneficial ownership of 1,961 shares of the fund’s Common Stock. These shares are reported as held with direct ownership, and the filing does not reflect any recent purchase or sale activity.
Focus Partners Wealth LLC reported proposed sales of Preferred shares in a Form 144 filing. The filing lists multiple dated transactions with share counts and proceeds, including 15,427 shares on 03/06/2026 and 5,652 shares on 02/25/2026.
The entries show cash transactions and open-market activity across 01/22/2026 through 03/06/2026
SPE reports a Form 144 notice for proposed sales of Preferred Stock.
The filing lists prior and recent transactions by Focus Partners Wealth showing multiple sales: 02/25/2026 (5,652 shares for 141,808.68) and 03/06/2026 (15,427 shares for 389,377.48), among others. The excerpt also lists an open market purchase entry dated 01/26/2022 through Fidelity Brokerage Services LLC.
Special Opportunities Fund, Inc. reports year-end NAV of $16.31 and a net asset value return of 11.59% for the year ended 12/31/2025.
The report notes a Managed Distribution Plan paying monthly distributions at an annual rate of 8%, a minimum monthly distribution for 2026 of $0.1087 per share, and ongoing share repurchases (834,810 common shares repurchased since April 2023). The portfolio held 51.33% in closed-end funds and 18.21% in SPACs as of 12/31/2025. The Fund’s Series C Convertible Preferred Stock carries a $25 liquidation preference, matures January 2027, and had an adjusted conversion ratio of 1.6813 (conversion price $14.87) as of 02/20/2026.
Special Opportunities Fund’s chairman and secretary Phillip Goldstein reported acquiring additional 2.75% Convertible Preferred Stock, Series C. He made an open-market purchase of 3,952 preferred shares at $25.09 per share, plus two small 100-share acquisitions, and now directly holds 10,250 preferred shares. These preferred shares are immediately convertible into common stock at a current ratio of 1.6813 common shares per preferred share and will be redeemed by the fund if not converted before January 21, 2027. He also reports direct ownership of 34,822 common shares.
SPE submitted a Form 144 notice regarding preferred stock transactions, listing broker Fidelity Brokerage Services LLC and multiple sales by Kovitz Investment Group's Special Opportunities Fund. Examples shown include 01/22/2026 — 353 shares for $8,871.24 and 02/25/2026 — 5,652 shares for $141,808.68.