Focus Partners reports 46.5% voting power in SPE preferred

Rhea-AI Filing Summary

Special Opportunities Fund, Inc. disclosed that Focus Partners Wealth filed an amendment reporting sole voting power over 1,111,521 shares, representing 46.5% of the 2.75% Convertible Preferred C class (CUSIP 84741T401); the amendment lists Amount beneficially owned: 0. The filing lists Focus Partners Wealth's address in St. Louis and is signed by Vincent J. Gratch as Deputy Chief Compliance Officer on 05/11/2026.

Insights

Corporate Governance Analyst

Amendment reports voting power concentration without beneficial ownership.

The filing shows sole voting power of 1,111,521 shares (46.5%) in the 2.75% Convertible Preferred C class while listing Amount beneficially owned: 0. This indicates voting authority reported separately from beneficial ownership in the schedule.

Key dependencies include the legal basis for the voting categorization and any footnotes or underlying agreements not present here; subsequent filings or disclosures may clarify the relationship between voting power and beneficial ownership.

Key Figures

Security class: 2.75% Convertible Preferred C CUSIP: 84741T401 Sole voting power: 1,111,521 shares +4 more

7 metrics

Security class 2.75% Convertible Preferred C class described in Item 2(d)

CUSIP 84741T401 identifier for the Preferred C class

Sole voting power 1,111,521 shares Item 4(c)(i)

Percent of class 46.5 % Item 4(b)

Amount beneficially owned 0 Item 4(a)

Filer address 190 Carondelet Plaza, Suite 600, St. Louis, MO 63105 Item 2(b)

Signature date 05/11/2026 signature block date

Key Terms

2.75% Convertible Preferred C, Schedule 13G/A, CUSIP 84741T401, Amount beneficially owned

4 terms

2.75% Convertible Preferred C financial

"Name of the security class in Item 2(d)"

Schedule 13G/A regulatory

"Form type provided in metadata and amendment header"

A Schedule 13G/A is an amended public filing with the U.S. securities regulator that updates a previous Schedule 13G, disclosing when an individual or group holds a substantial (typically over 5%) stake in a company and is claiming a passive, non‑controlling intent. Investors monitor these updates because rising or falling holdings can signal changing confidence, potential future moves, or shifts in voting power — like watching a public ledger where large shareholders quietly adjust their positions.

CUSIP 84741T401 financial

"CUSIP number listed next to the security class"

Amount beneficially owned regulatory

"Item 4(a) showing '0' in the filing"

FAQ

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

What does the 13G/A for SPE say about Focus Partners Wealth's holdings?

The amendment states Focus Partners Wealth has sole voting power over 1,111,521 shares of the 2.75% Convertible Preferred C class, representing 46.5%; it also lists Amount beneficially owned: 0.

Does the filing show beneficial ownership of the preferred shares for SPE?

The filing reports Amount beneficially owned: 0 for Focus Partners Wealth while simultaneously reporting voting power over 1,111,521 shares (46.5%) of the class in question.

What class and CUSIP are referenced in the Schedule 13G/A for SPE?

The Schedule 13G/A references the 2.75% Convertible Preferred C class with CUSIP 84741T401, as shown in the amendment's itemized details.

Who signed the amendment and when was it dated?

The amendment was signed by Vincent J. Gratch, Deputy Chief Compliance Officer, with the signature date shown as 05/11/2026 on the filing.

Where is Focus Partners Wealth's address listed in the filing?

The filing lists Focus Partners Wealth's principal business address as 190 Carondelet Plaza, Suite 600, St. Louis, Missouri 63105 in Item 2(b).

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

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Accepted by SEC EDGAR 05/11/2026 - 04:13 PM Learn about SEC filing dates

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934

(Amendment No. 1)

SPECIAL OPPORTUNITIES FUND, INC.

(Name of Issuer)

2.75% CONVERTIBLE PREFERRED C

(Title of Class of Securities)

84741T401

(CUSIP Number)

04/30/2026

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

Rule 13d-1(b)

Rule 13d-1(c)

Rule 13d-1(d)

schemaVersion:

SCHEDULE 13G

CUSIP Number(s): 84741T401

1

Names of Reporting Persons

Focus Partners Wealth

2

Check the appropriate box if a member of a Group (see instructions)

(a)
(b)

3

Sec Use Only

4

Citizenship or Place of Organization

MISSOURI

Number of Shares Beneficially Owned by Each Reporting Person With:

5	Sole Voting Power 1,111,521.00
6	Shared Voting Power 0.00
7	Sole Dispositive Power 0.00
8	Shared Dispositive Power 0.00

9

Aggregate Amount Beneficially Owned by Each Reporting Person

0.00

10

Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)

11

Percent of class represented by amount in row (9)

46.5 %

12

Type of Reporting Person (See Instructions)

IA

SCHEDULE 13G

Item 1.
(a)	Name of issuer: SPECIAL OPPORTUNITIES FUND, INC.
(b)	Address of issuer's principal executive offices: C/O US BANCORP FUND SERVICES, LLC, 615 EAST MICHIGAN AVENUE, MILWAUKEE, WISCONSIN 53202
Item 2.
(a)	Name of person filing: Focus Partners Wealth
(b)	Address or principal business office or, if none, residence: 190 CARONDELET PLAZA SUITE 600 ST LOUIS, Missouri 63105
(c)	Citizenship: Focus Partners Wealth - MISSOURI
(d)	Title of class of securities: 2.75% CONVERTIBLE PREFERRED C
(e)	CUSIP No.: 84741T401
Item 3.	If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
(a)	Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
(b)	Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c)	Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
(d)	Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
(e)	An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E);
(f)	An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
(g)	A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
(h)	A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i)	A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
(j)	A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
(k)	Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
Item 4.	Ownership
(a)	Amount beneficially owned: 0
(b)	Percent of class: 46.5 %
(c)	Number of shares as to which the person has:
	(i) Sole power to vote or to direct the vote: Focus Partners Wealth - 1,111,521
	(ii) Shared power to vote or to direct the vote: Focus Partners Wealth - 0
	(iii) Sole power to dispose or to direct the disposition of: Focus Partners Wealth - 0
	(iv) Shared power to dispose or to direct the disposition of: Focus Partners Wealth - 0
Item 5.	Ownership of 5 Percent or Less of a Class.
	Not Applicable
Item 6.	Ownership of more than 5 Percent on Behalf of Another Person.
	Not Applicable
Item 7.	Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
	Not Applicable
Item 8.	Identification and Classification of Members of the Group.
	Not Applicable
Item 9.	Notice of Dissolution of Group.
	Not Applicable

Item 10.

Certifications:

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect, other than activities solely in connection with a nomination under ?? 240.14a-11.

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

Focus Partners Wealth

Signature:	Vincent J. Gratch
Name/Title:	Deputy Chief Compliance Officer
Date:	05/11/2026