SPE files Form 144 for Preferred Stock activity

SPE submitted a Form 144 notice relating to proposed transactions in Preferred Stock.

Rhea-AI Filing Summary

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.

Insights

Corporate Transactions Analyst

Form 144 filing records proposed disposal activity in Preferred Stock on specified dates.

The excerpt lists Preferred Stock and records transaction methods such as Open Market Purchase and payment type Cash/Check. It also cites two dates: 03/26/2026 and 06/11/2026.

Timing and cash‑flow treatment are those shown in the excerpt; subsequent filings or trade reports would specify executed transactions and realized proceeds.

Key Figures

Numeric field: 1126 Value field: 28,014.88 Value field: 2,235,775 +3 more

6 metrics

Numeric field 1126 Listed in securities/transaction rows in the excerpt

Value field 28,014.88 Appears adjacent to securities information in the excerpt

Value field 2,235,775 Numeric entry shown near issuer/securities lines

Transaction date 03/26/2026 Date shown for a securities sale line (Focus Partners Wealth)

Filing date 06/11/2026 Date associated with filer/securities section

Transaction amount field 41,644.20 Appears on the line for Focus Partners Wealth on 03/26/2026

Key Terms

Form 144, Preferred Stock, Open Market Purchase, Fidelity Brokerage Services LLC

4 terms

Form 144 regulatory

"Filer Information | 144: Filer Information | 144: Issuer Information"

Form 144 is a document that investors must file with the government when they plan to sell a large number of shares of a company's stock. It helps ensure transparency so everyone knows how many shares are being sold and when, which can impact the stock's price.

Preferred Stock financial

"144: Securities Information Preferred Stock"

Preferred stock is a type of ownership in a company that typically offers investors higher and more consistent dividend payments than common stock. Unlike regular shares, preferred stock usually doesn’t come with voting rights but provides a priority claim on the company’s assets and profits, making it a more stable and predictable investment option. This makes preferred stock attractive to those seeking steady income with lower risk.

Open Market Purchase market

"01/26/2022 | open Market Purchase | Open Market Purchase"

An open market purchase is when a company buys its own shares on public stock exchanges the same way any investor would, rather than through a private deal. Investors care because these purchases reduce the number of shares available, can boost earnings per share and share price, signal that management thinks the stock is undervalued, and use company cash that might otherwise go to reinvestment or dividends — like a business quietly buying back its own tickets at the box office.

Fidelity Brokerage Services LLC other

"Fidelity Brokerage Services LLC 245 Summer Street Boston MA 02110"

FAQ

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

What does SPE's Form 144 disclose about the security type?

The Form 144 excerpt discloses proposed transactions in Preferred Stock. It lists the security type explicitly and ties listed transaction rows to that class of security.

Which transaction methods are shown in the SPE Form 144 excerpt?

The excerpt lists Open Market Purchase as a transaction method and records payment method as Cash/Check. These methods appear verbatim in the securities lines.

What dates appear in the SPE Form 144 excerpt and what do they reference?

The excerpt shows the dates 03/26/2026 and 06/11/2026. They appear near transaction and filer lines in the provided content, identifying activity dates in the notice.

Does the excerpt list counterparties or broker details for SPE transactions?

Yes. The excerpt names Fidelity Brokerage Services LLC with an address and lists Focus Partners Wealth and Special Opportunities Fund in selling/transaction rows.

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

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Accepted by SEC EDGAR 06/11/2026 - 02:13 PM 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	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	1126	28014.88	2235775	06/11/2026	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			1126	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
Focus Partners Wealth 10 S Wacker Dr, Suite 1860, Chicago IL 60606	Special Opportunities Fund	03/26/2026	1686	41644.20

144: Remarks and Signature

Remarks	shares are being sold on behalf of an underlying shareholder
Date of Notice	06/11/2026
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 Focus Partners Wealth
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001)