Every Form 4 that Special Opportunities Fund, Inc. (SPE) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow SPE and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full SPE filings page.
SPECIAL OPPORTUNITIES FUND, INC. director and President/CEO Andrew Dakos reported open-market sales of the fund’s securities. He sold 5,184 shares of common stock directly at prices around $14.02–$14.11 and 200 shares of 2.75% Convertible Preferred Stock, Series C at $25.00 per share. A limited partnership associated with him sold an additional 133 common shares, and he disclaims beneficial ownership of indirect holdings. After these transactions, he continues to have indirect exposure through 5,038 common shares held by his spouse and 807 shares held for his minor children, while his direct preferred stock position was reduced to zero.
Special Opportunities Fund’s chairman and secretary Phillip Goldstein reported acquiring additional 2.75% Convertible Preferred Stock, Series C. He made an open-market purchase of 3,952 preferred shares at $25.09 per share, plus two small 100-share acquisitions, and now directly holds 10,250 preferred shares. These preferred shares are immediately convertible into common stock at a current ratio of 1.6813 common shares per preferred share and will be redeemed by the fund if not converted before January 21, 2027. He also reports direct ownership of 34,822 common shares.
Special Opportunities Fund, Inc. director and officer Phillip Goldstein reported open-market purchases of the fund’s 2.75% Convertible Preferred Stock, Series C. He bought 5,821 shares on February 27, 2026 and 27 shares on February 26, 2026, both at $25.09 per share.
The filing notes that each preferred share is currently convertible into 1.6813 common shares, and that any preferred shares not converted will be redeemed by the fund if still outstanding on January 21, 2027. It also reports his direct holding of 34,822 common shares.
Phillip Goldstein, a director and officer of SPECIAL OPPORTUNITIES FUND, INC., reported open-market purchases of the fund’s 2.75% Convertible Preferred Stock, Series C. He bought 30 shares at $25.09 per share on February 24, 2026 and 100 shares at $25.05 per share on February 23, 2026, all held directly.
After these trades, he directly owned 250 shares of this preferred stock. Each preferred share is currently convertible into 1.6813 shares of common stock, and the preferred shares will be redeemed by the issuer if not converted before January 21, 2027. A separate line shows direct ownership of 34,822 common shares.
Special Opportunities Fund, Inc. insider activity shows a sale of common stock by a company leader. On 12/30/2025, a reporting person who serves as both director and president of the fund sold 4,098 shares of common stock at a weighted average price of $14.6571 per share, with individual trade prices ranging from $14.61 to $14.68. After this sale, the insider directly owned 6,064 shares of common stock. Additional holdings included 4,880 shares held by the insider’s spouse and 782 shares held by minor children, although the insider formally disclaims beneficial ownership of those indirect holdings.