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. 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.
SPECIAL OPPORTUNITIES FUND, INC. director Moritz A. Sell has filed an initial Form 3 stating beneficial ownership of 1,961 shares of the fund’s Common Stock. These shares are reported as held with direct ownership, and the filing does not reflect any recent purchase or sale activity.
Focus Partners Wealth LLC reported proposed sales of Preferred shares in a Form 144 filing. The filing lists multiple dated transactions with share counts and proceeds, including 15,427 shares on 03/06/2026 and 5,652 shares on 02/25/2026.
The entries show cash transactions and open-market activity across 01/22/2026 through 03/06/2026
SPE reports a Form 144 notice for proposed sales of Preferred Stock.
The filing lists prior and recent transactions by Focus Partners Wealth showing multiple sales: 02/25/2026 (5,652 shares for 141,808.68) and 03/06/2026 (15,427 shares for 389,377.48), among others. The excerpt also lists an open market purchase entry dated 01/26/2022 through Fidelity Brokerage Services LLC.
Special Opportunities Fund, Inc. reports year-end NAV of $16.31 and a net asset value return of 11.59% for the year ended 12/31/2025.
The report notes a Managed Distribution Plan paying monthly distributions at an annual rate of 8%, a minimum monthly distribution for 2026 of $0.1087 per share, and ongoing share repurchases (834,810 common shares repurchased since April 2023). The portfolio held 51.33% in closed-end funds and 18.21% in SPACs as of 12/31/2025. The Fund’s Series C Convertible Preferred Stock carries a $25 liquidation preference, matures January 2027, and had an adjusted conversion ratio of 1.6813 (conversion price $14.87) as of 02/20/2026.
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.
SPE submitted a Form 144 notice regarding preferred stock transactions, listing broker Fidelity Brokerage Services LLC and multiple sales by Kovitz Investment Group's Special Opportunities Fund. Examples shown include 01/22/2026 — 353 shares for $8,871.24 and 02/25/2026 — 5,652 shares for $141,808.68.
SPE submitted a Form N-CEN annual report containing standardized fund disclosures and operational tables. The filing lists $338,267.29 in aggregate brokerage commissions and several principal-dealer transaction values, including $5,650,000 and $3,550,000.
The report is largely a completed template with many identification and narrative fields left blank; the disclosed brokerage and principal-transaction figures are the primary quantitative items in the excerpt.
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.