[144] SPECIAL OPPORTUNITIES FUND, INC. SEC Filing

Rhea-AI Filing Summary

SPE reported a planned sale of common stock by an existing holder under Rule 144. The notice covers 912 shares of common stock with an aggregate market value of $22,617.60, to be sold through Fidelity Brokerage Services LLC on or about 11/21/2025 on the NYSE. Shares outstanding were 2,235,775 as context.

The seller reports earlier acquisitions of preferred securities via open market purchases in January 2022, including amounts of 364 and 548 units paid in cash or check. The filing also lists recent sales over the past three months from the Special Opportunities Fund, including a transaction of 53,541 units for gross proceeds of $1,338,525.00.

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

144: Issuer Information

Name of Issuer

SEC File Number

Address of Issuer

Phone

Name of Person for Whose Account the Securities are To Be Sold

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

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
Common Stock	Fidelity Brokerage Services LLC 245 Summer Street Boston MA 02110	912	22617.60	2235775	11/21/2025	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	01/24/2022	open Market Purchase	Open Market Purchase			364	01/24/2022	Cash/Check
Preferred	01/26/2022	open Market Purchase	Open Market Purchase			548	01/26/2022	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

Name and Address of Seller	Title of Securities Sold	Date of Sale	Amount of Securities Sold	Gross Proceeds
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860, Chicago IL 60606	Special Opportunities Fund	09/11/2025	1602	40130.10
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860 Chicago IL 60606	Special Opportunities Fund	09/12/2025	53541	1338525.00
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860 Chicago IL 60606	Special Opportunities Fund	08/18/2025	410	10086.00
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860 Chicago IL 60606	Special Opportunities Fund	10/07/2025	790	19750.00

144: Remarks and Signature

Remarks

Date of Notice

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

ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)

FAQ

What does the Form 144 filing for SPE disclose?

The Form 144 discloses that an existing holder intends to sell 912 shares of SPE common stock with an aggregate market value of $22,617.60 through Fidelity Brokerage Services LLC on or about 11/21/2025 on the NYSE.

How many SPE shares are outstanding in this Form 144 notice?

The notice states that the number of shares or other units outstanding is 2,235,775, providing a baseline for the issuer’s common equity.

What prior securities sales related to SPE are reported in the last 3 months?

The filing lists sales by Kovitz Investment Group Par Special Opportunities Fund, including transactions such as 53,541 units sold on 09/12/2025 for gross proceeds of $1,338,525.00, along with several smaller sales.

How were the securities in the SPE Form 144 originally acquired?

The notice shows preferred securities acquired via open market purchases on 01/24/2022 and 01/26/2022, in amounts of 364 and 548 units, with payment made by cash/check.

Which broker is handling the planned SPE share sale under Rule 144?

The planned sale of 912 SPE common shares is to be executed through Fidelity Brokerage Services LLC, located at 245 Summer Street, Boston, MA 02110.

What representation does the selling holder make in the SPE Form 144?

The selling holder represents that they do not know any material adverse information about the issuer’s current or prospective operations that has not been publicly disclosed, as required under the Form 144 notice.