Special Opportunities Fund holder plans $260K sale

Available on EDGAR 11/12/2026 - 08:56 AM EST Accepted by SEC EDGAR 11/12/2026 - 08:56 AM EST Learn about SEC filing dates

Rhea-AI Filing Summary

Special Opportunities Fund, Inc. (SPE) is the issuer in a Form 144 notice covering a proposed sale of 10,465 preferred shares for the account of Focus Partners Wealth, identified as a 10% stockholder. The notice lists an aggregate market value of $260,264.55 and an approximate sale date of November 12, 2026. It lists 2,235,775 preferred shares outstanding. Remarks state that an underlying shareholder is selling the shares. Fidelity Brokerage Services LLC is named as broker; Audrey Skillern signed as its duly authorized representative and attorney-in-fact for Focus Partners Wealth.

Key Figures

Preferred shares to be sold: 10,465 shares Aggregate market value: $260,264.55 Preferred shares outstanding: 2,235,775 shares +1 more

4 metrics

Preferred shares to be sold 10,465 shares Approximate sale date November 12, 2026

Aggregate market value $260,264.55 Proposed sale

Preferred shares outstanding 2,235,775 shares Outstanding share count listed with the proposed sale

Approximate sale date November 12, 2026 Proposed sale

Key Terms

10% Stockholder, Aggregate Market Value, attorney-in-fact

3 terms

10% Stockholder regulatory

"Relationship to Issuer: 10% Stockholder"

Aggregate Market Value financial

"Aggregate Market Value"

Aggregate market value is the combined price you would pay to buy all outstanding shares of a company or all companies in a group at current market prices — essentially the sum of each stock’s market capitalization. It matters to investors because it shows the overall size and weight of an investment or sector (like the total cost to buy every piece of a puzzle), helps compare scale across companies or markets, and influences index composition and risk exposure.

attorney-in-fact regulatory

"as attorney-in-fact for Focus Partners Wealth"

An attorney-in-fact is the person or entity given legal authority through a power of attorney to act on behalf of another for specific tasks, such as signing documents, voting shares, or handling transactions. For investors, this matters because it lets a trusted representative make timely decisions or complete paperwork when the owner cannot, much like handing keys to someone to run errands on your behalf—so checks on scope and limits of that authority are important.

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

How many SPE preferred shares are listed for sale?

The proposed sale covers 10,465 preferred shares, with an aggregate market value of $260,264.55. The listed approximate sale date is November 12, 2026.

AI-generated analysis. How Rhea-AI works. Not financial advice.

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Form 144 Filer Information	UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 144 NOTICE OF PROPOSED SALE OF SECURITIES PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933
FORM 144

144: Filer Information

Filer CIK	0001542153
Filer CCC	XXXXXXXX
Is this a LIVE or TEST Filing?	LIVE TEST
Submission Contact Information
Name
Phone
E-Mail Address

144: Issuer Information

Name of Issuer	SPECIAL OPPORTUNITIES FUND, INC.
SEC File Number	811-07528
Address of Issuer	C/O ULTIMUS FUND SOLUTIONS, LLC 225 PICTORIA DRIVE, SUITE 450 CINCINNATI OHIO 45246
Phone	414-765-4319
Name of Person for Whose Account the Securities are To Be Sold	Focus Partners Wealth
See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.
Relationship to Issuer	10% Stockholder

144: Securities Information

Title of the Class of Securities To Be Sold	Name and Address of the Broker	Number of Shares or Other Units To Be Sold	Aggregate Market Value	Number of Shares or Other Units Outstanding	Approximate Date of Sale	Name the Securities Exchange
Preferred Stock	Fidelity Brokerage Services LLC 245 Summer Street Boston MA 02110	10465	260264.55	2235775	11/12/2026	NYSE

Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:

144: Securities To Be Sold

Title of the Class	Date you Acquired	Nature of Acquisition Transaction	Name of Person from Whom Acquired	Is this a Gift?	Date Donor Acquired	Amount of Securities Acquired	Date of Payment	Nature of Payment *
Preferred	02/24/2026	open market purchase	open market purchase			100	02/24/2023	Cash/Check
preferred	02/02/2023	open market purchase	open market purchase			883	02/02/2023	Cash/Check
preferred	01/25/2026	open market purchase	open market purchase			17	01/25/2026	Cash/Check
preferred	01/19/2023	open market purchase	open market purchase			6937	01/19/2023	Cash/Check
preferred	01/13/2023	open market purchase	open market purchase			52	01/13/2023	Cash/Check
preferred	01/12/2023	open market purchase	open market purchase			100	01/12/2023	Cash/Check
preferred	01/04/2023	open market purchase	open market purchase			369	01/04/2023	Cash/Check
preferred	01/03/2023	open market purchase	open market purchase			200	01/03/2023	Cash/Check
preferred	12/30/2022	open market purchase	open market purchase			1807	12/30/2022	Cash/Check

* If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

144: Securities Sold During The Past 3 Months

Nothing to Report

144: Remarks and Signature

Remarks	shares are being sold by an underlying shareholder
Date of Notice	11/12/2026
ATTENTION:
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. If such person has adopted a written trading plan or given trading instructions to satisfy Rule 10b5-1 under the Exchange Act, by signing the form and indicating the date that the plan was adopted or the instruction given, that person makes such representation as of the plan adoption or instruction date.
Signature	/s/ Audrey Skillern as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Focus Partners Wealth
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)