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.
Special Opportunities Fund, Inc. filings document governance and shareholder voting for a Maryland closed-end investment fund with common stock and preferred stock outstanding. The definitive proxy materials describe annual-meeting procedures, voting rights for common and preferred stockholders, Board matters and other governance disclosures tied to the Fund’s registered investment company structure.
The filing record also provides formal context for the Fund’s capital structure, including preferred-stock securities, and for stockholder-control, meeting and proxy-solicitation matters that accompany a listed closed-end fund.
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.
Kovitz Investment Group Special Opportunities Fund reports proposed sales of common stock via Form 144. The filing lists three sale entries: 11/26/2025 — 63,660 shares for $1,598,502; 01/02/2026 — 353 shares for $8,871.24; and 02/20/2026 — 155 shares for $3,890.50.
The sales are recorded with Fidelity Brokerage Services LLC as broker. The filing records these transactions and standard Form 144 sale details; timing and cash‑flow treatment follow the sale entries shown.
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.
Kovitz Investment Group filed a Form 144 reporting proposed sales of Common Stock. The excerpt shows 3,878.00 shares tied to an aggregate value of $2,235,775 with a 02/19/2026 trade indicator. The filing also lists prior sales by Kovitz Investment Group on 11/20/2025 (912 shares, $22,617.60), 11/26/2025 (63,660 shares, $1,598,502.00) and 01/22/2026 (215 shares, $1,585,134.00).
Kovitz Investment Group’s Special Opportunities Fund has filed a notice to sell 63,660 shares of common stock of SPE under Rule 144. The shares are to be sold through Fidelity Brokerage Services LLC on or about 11/28/2025 on the NYSE, with an aggregate market value of 1,585,134.00 for this proposed transaction. The filing states that 2,235,775 shares of this class of common stock are outstanding.
The notice also reports that an affiliated seller disposed of 912 Special Opportunities Fund securities for 22,617.60 on 11/20/2025 and 63,660 Special Opportunities Fund securities for 1,598,502.00 on 11/26/2025. The person on whose behalf the shares are to be sold represents that they are not aware of any undisclosed material adverse information about SPE’s current or prospective operations.
Focus Partners Wealth has filed a Schedule 13G reporting a significant passive ownership position in Special Opportunities Fund, Inc. It reports beneficial ownership of 1,377,246 shares of common stock, representing 12.96% of the outstanding class.
The firm has sole power to vote and dispose of all 1,377,246 shares and no shared voting or dispositive power. It certifies that the shares were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the fund.
Focus Partners Wealth reported a large ownership position in the 2.75% Convertible Preferred C shares of Special Opportunities Fund, Inc. The firm disclosed beneficial ownership of 1,147,665 preferred shares, representing 48% of that class.
Focus Partners Wealth, a Missouri investment adviser, reported sole voting and sole dispositive power over all of these shares, with no shared authority. It states that the securities were acquired and are held in the ordinary course of business and not for the purpose of changing or influencing control of the fund.
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.
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 1,585,134.00, to be sold on or around 11/28/2025 on the NYSE. The notice also shows prior acquisitions of preferred securities in open market purchases and several recent sales of Special Opportunities Fund units over the past three months, indicating ongoing portfolio activity by the reporting holder.
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.