SPE Form 144: Preferred stock sale notices

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.

Rhea-AI Filing Summary

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.

Insights

Securities Compliance Analyst

Form 144 lists proposed and recent preferred stock transactions by named brokers and holders.

The excerpt shows a Form 144 filing for preferred stock involving Fidelity Brokerage Services LLC and multiple sales by Kovitz Investment Group's Special Opportunities Fund. The filing includes transaction dates and per-trade share and proceeds figures such as 01/22/2026 (353 shares, $8,871.24) and 02/25/2026 (5,652 shares, $141,808.68).

These entries are consistent with routine disclosure of intended or completed sales under Section 15(g); the amounts and dates in the filing are the primary facts to track in subsequent filings or transaction confirmations.

FAQ

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

What does SPE's Form 144 show about preferred stock?

The Form 144 lists preferred stock transactions by Fidelity Brokerage Services LLC and Kovitz Investment Group. It includes transaction dates and amounts such as 02/25/2026 — 5,652 shares for $141,808.68, and other recent trades.

Who sold shares in the recent SPE filings?

Kovitz Investment Group's Special Opportunities Fund reported several sales, including 01/22/2026 — 353 shares for $8,871.24 and 02/20/2026 — 155 shares for $3,890.50. Fidelity is listed as the broker.

Are the sale proceeds for SPE shown in the filing?

Yes, the filing lists per-trade proceeds alongside share counts. Examples include $8,871.24 for 353 shares on 01/22/2026 and $141,808.68 for 5,652 shares on 02/25/2026.

What transaction methods are noted in the SPE Form 144?

The excerpt references 'Open Market Purchase' and lists 'Cash/Check' for a Fidelity entry. It also identifies the trades by date and per-trade share/proceeds amounts for Kovitz Investment Group.

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

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Accepted by SEC EDGAR 03/06/2026 - 09:46 AM Learn about SEC filing dates

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	0001665198
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	Kovitz Investment Group Partners, LLC
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	15427	387063.43	2235775	03/06/2026	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	01/26/2022	open Market Purchase	Open Market Purchase			15427	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	01/22/2026	353	8871.24
Kovitz Investment Group Par 71 S Wacker Dr Suite 1860 Chicago IL 60606	Special Opportunities Fund	02/20/2026	155	3890.50
Kovitz Investment Group Par 71 S Wacker Dr, Suite 1860 Chicago IL 60606	Special Opportunities Fund	02/25/2026	5652	141808.68

144: Remarks and Signature

Remarks	shares are being sold on behalf of an underlying shareholder
Date of Notice	03/06/2026
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	Audrey Skillern as a duly authorized representative of Fidelity Brokerage Services LLC, as attorney-in-fact for Kovitz Investment Group Partners,
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)