[144] Special Opportunities Fund, Inc. SEC Filing

Rhea-AI Filing Summary

Form 144 filed relating to proposed sale of issuer securities. The notice records a proposed sale of 1,602 shares of common stock through Fidelity Brokerage Services with an aggregate market value of $40,127.85, an approximate sale date of 09/10/2025, and listing on the NYSE. The securities were acquired via an open market purchase on 01/26/2022 and paid for in cash on 12/26/2022. The filing also discloses five prior sales by Kovitz Investment Group of the issuer's Special Opportunities Fund totaling 6,189 shares with gross proceeds of $150,600.93 across dates from 05/14/2025 to 07/15/2025. The filer attests there is no undisclosed material adverse information.

Insights

Securities Compliance Analyst

TL;DR: Routine Rule 144 notice documenting an intended brokered sale and recent prior dispositions.

The filing is a standard Form 144 providing required notice for an intended sale under Rule 144. It identifies the broker, the class and amount of securities to be sold, acquisition date and payment method, and prior dispositions by the same related seller. The attestation regarding absence of undisclosed material adverse information is included as required. There are no statements in the filing indicating regulatory issues, enforcement actions, or disclosures beyond the transactional facts provided.

Equity Capital Markets Analyst

TL;DR: Transaction-level disclosure useful for monitoring insider/affiliate sales but not a standalone material event.

The notice quantifies an intended sale of 1,602 common shares via Fidelity and lists five recent sales by Kovitz Investment Group totaling 6,189 shares with gross proceeds of $150,600.93. The filing gives acquisition and payment dates for the securities to be sold and confirms execution through an NYSE broker. The document is transactional and does not contain operating results or guidance that would change an investment thesis on its own.

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	1602	40127.85	2235775	09/10/2025	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	01/26/2022	open Market Purchase	Open Market Purchase			1602	12/26/2022	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	05/14/2025	1222	29450.20
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860, Chicago IL 60606	Special Opportunities Fund	05/29/2025	1862	45153.50
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860 Chicago IL 60606	Special Opportunities Fund	06/04/2025	1886	45735.50
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860, Chicago IL 60606	Special Opportunities Fund	06/30/2025	1085	26994.80
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860 Chicago IL 60606	Special Opportunities Fund	07/15/2025	134	3266.93

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 Form 144 for SPE disclose about the proposed sale?

The Form 144 discloses a proposed sale of 1,602 common shares via Fidelity Brokerage with aggregate market value of $40,127.85 and an approximate sale date of 09/10/2025.

Who is the broker handling the proposed sale on Form 144?

The broker named is Fidelity Brokerage Services LLC, 245 Summer Street, Boston, MA.

When were the securities to be sold originally acquired and how were they paid for?

The securities were acquired on 01/26/2022 via an open market purchase and payment was made in cash on 12/26/2022.

Does the filing show any prior sales by the seller in the past three months?

Yes. Kovitz Investment Group reported five prior sales between 05/14/2025 and 07/15/2025 totaling 6,189 shares with gross proceeds of $150,600.93.

Does the filer state any undisclosed material adverse information about the issuer?

The filer attests by signature that they do not know of any material adverse information about the issuer that has not been publicly disclosed.