Welcome to our dedicated page for Special Opportunities Fund SEC filings (Ticker: SPE), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
The Special Opportunities Fund, Inc. (NYSE: SPE) SEC filings page on Stock Titan centralizes the Fund’s regulatory disclosures, including annual reports, semi-annual reports and proxy materials filed with the U.S. Securities and Exchange Commission. As a registered closed-end management investment company, SPE provides detailed information in these filings about its portfolio, capital structure, governance and stockholder rights.
Among the key documents is the Fund’s definitive proxy statement (DEF 14A), which explains how the Board of Directors is elected, the rights of common and preferred stockholders, record dates, quorum requirements and voting procedures. The proxy statement also describes how stockholders can vote by mail, telephone, Internet or in person, and how abstentions and broker non-votes are treated when determining outcomes on proposals such as the election of directors.
Periodic reports referenced in the proxy materials, including the most recent annual and semi-annual reports, provide additional insight into SPE’s operations. These documents disclose that the Fund is a closed-end, management investment company and outline its investment objective of total return, portfolio composition and use of instruments such as preferred stock. They also identify the Fund’s service providers and describe how stockholders can obtain copies of these reports.
Through this page, users can access SPE’s 10‑K‑equivalent annual reports for registered investment companies, semi-annual reports, proxy statements and related filings as they appear on the SEC’s EDGAR system. Stock Titan enhances this access with AI-powered summaries that highlight the most important points in lengthy documents, helping readers understand topics such as director elections, capital structure, distribution policies and governance provisions without reading every page.
Investors and researchers can also use this page to follow changes in SPE’s preferred stock terms, board composition and stockholder meeting procedures over time, as reflected in successive proxy statements and other filings.
A shareholder of SPE has filed a Form 144 notice to sell restricted shares under SEC Rule 144. The filing covers a proposed sale of 63,660 shares of common stock through Fidelity Brokerage Services LLC, with an aggregate market value of
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.
Kovitz Investment Group Partners, LLC filed an amended Schedule 13G reporting beneficial ownership in Special Opportunities Fund, Inc. (SPE) 2.75% Convertible Preferred C. Kovitz reports 1,216,712.22 shares, representing 47.9% of this class.
The firm has sole voting power and sole dispositive power over 1,216,712.22 shares, with no shared power disclosed. The filing cites that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control. The date of the reportable event is October 31, 2024.
Special Opportunities Fund, Inc. (SPE) filed its definitive proxy for the annual meeting scheduled for December 11, 2025 at 2:00 p.m. ET at Blank Rome LLP in New York. Stockholders will vote on electing six directors: four to be chosen by common and preferred holders voting together and two to be chosen by preferred holders voting separately. The Board recommends voting “FOR” all nominees.
The record date is October 20, 2025. Stockholders can vote by internet, telephone, mail, or in person, and may revoke a proxy by submitting a later vote or voting at the meeting. As of the record date, 10,623,154 shares of common stock and 2,235,775 shares of preferred stock were outstanding. Quorum requires a majority of votes entitled to be cast for the relevant class; director elections are decided by a plurality of votes cast.
The Board combined its Audit and Valuation functions into an Audit & Valuation Committee in September 2025. Tait, Weller & Baker LLP audited the 2024 financials and is selected for 2025; 2024 fees were $39,000 for audit, $2,000 audit‑related, and $4,000 tax. Independent Director retainers increase from $55,000 to $60,000 beginning January 1, 2026.
Special Opportunities Fund filed a Form 144 reporting a proposed sale of 790 common shares through Fidelity Brokerage Services LLC on
Form 144 notice for Special Opportunities Fund, Inc. (SPE): The filing reports a proposed sale of 53,541 shares of Common Stock through Fidelity Brokerage Services LLC on the NYSE with an aggregate market value of $1,346,556.15. The filing shows 2,235,775 shares outstanding and an approximate sale date of 09/12/2025. Acquisition details list Preferred-class purchases made in the open market on 01/26/2022 (49,586 units) and 03/09/2023 (3,955 units), paid by cash. Recent sales by Kovitz Investment Group for the Special Opportunities Fund are disclosed for six transactions between 05/14/2025 and 09/10/2025, with individual gross proceeds shown. The filer certifies no undisclosed material adverse information.
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.
Kovitz Investment Group Partners, LLC reports beneficial ownership of 1,439,321.49 common shares of Special Opportunities Fund, Inc., representing 13.6% of the class. The filing states Kovitz has sole voting and sole dispositive power over all reported shares, and certifies the position is held in the ordinary course of business and not for the purpose of changing or influencing control. The disclosure appears as an Amendment No. 2 to a Schedule 13G, identifying the issuer and CUSIP and providing Kovitz’s principal address and Delaware organization status.
Kovitz Investment Group Partners, LLC reports holding a majority stake in Special Opportunities Fund, Inc. The filer states it beneficially owns 1,279,365.51 shares of the 2.75% Convertible Preferred C (CUSIP 84741T401), representing 50.32% of that class. The filing indicates the shares are held with sole voting and dispositive power and were acquired and are held in the ordinary course of business, not for the purpose of changing or influencing control of the issuer. Contact and address details for the issuer and filer are provided in the statement.
Phillip Goldstein, identified as a director and officer (Chairman and Secretary) of Special Opportunities Fund, Inc. (SPE), reported transactions dated 08/22/2025. The filing shows a disposal of 34,822 shares of Common Stock in Table I. Table II reports a 2.75% Convertible Preferred Stock, Series C transaction dated 08/22/2025 with 3,000 shares (code S) and notes that those preferred shares convert immediately into common stock at a current conversion ratio of 1.5303 common shares per preferred share. The preferred shares will be redeemed by the issuer if not converted before January 21, 2027. The form is signed by Stephanie Darling as Power of Attorney for Mr. Goldstein on 08/25/2025. The filing shows an additional entry referencing 4,591 common shares at a price of $25.10 (Table II) and marks ownership forms as direct where specified.