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.
Form 144 notice for Special Opportunities Fund, Inc. (SPE) reports a proposed sale of 410 shares of Common Stock on the NYSE, with an aggregate market value of $10,086.00 and approximately 2,235,775 shares outstanding. The seller acquired the 410 shares via an open market purchase on 01/26/2022 and paid in cash. The form lists recent disposition activity by Kovitz Investment Group in the issuer's Special Opportunities Fund totaling 4,967 shares sold across four transactions from 05/29/2025 through 07/15/2025 for combined gross proceeds of $120,150.72. The filer certifies no undisclosed material adverse information is known and includes the standard attestation language regarding Rule 10b5-1 plans and criminal penalties for misstatement.
Special Opportunities Fund, Inc. (NYSE: SPE) – Form 144 filing
Kovitz Investment Group, acting on behalf of an unnamed account, has filed a Form 144 indicating its intent to sell 134 common shares of Special Opportunities Fund, Inc. through Fidelity Brokerage Services on or after 15 July 2025. The shares to be sold represent less than 0.01 % of the fund’s 2,235,775 shares outstanding and have an aggregate market value of $3,266.93.
The filing also discloses that the same account has disposed of 6,055 shares of the fund in the previous three-month period across four transactions, generating gross proceeds of approximately $147,334. All reported sales were executed on public markets and appear to be routine portfolio activity rather than insider disposition, as the filing does not identify the seller as an officer, director or affiliate of the issuer.
Rule 144 notices are procedural and do not obligate the filer to complete the sale; they merely provide advance disclosure that the shares are eligible for public resale under the Securities Act. Given the small size of the proposed sale relative to the float, the filing is unlikely to exert meaningful market pressure or materially affect the fund’s capital structure.