Special Opportunities Fund, Inc. (SPE) shareholders
SPENYSEFiscal year ends March 31Also trades as SPE.PC
$12.10−0.07 (-0.58%)
Close on Nov 13, 2026Market cap –P/E –Yield –
Ownership
Institutional holdings as of Jun 30, 2026, from 13F filings
Held by institutions
3M
Shares held, 13F filers
Institutional holders
45
7 new, 5 sold out
Net institutional buying
0M
In Q2 2026
Insider trades, 12 months
0 buys · 4 sales
Net sold $150.19K
Shares held by institutions
Holders of more than 5%
Latest Schedule 13D (active) or 13G (passive) filed by each holder
| Holder | Shares | % of class | Filing | As of |
|---|---|---|---|---|
| Relative Value Partners Group, LLC Tin | 1,338,762 | 59.38% | 13G (passive) | Dec 31, 2023 |
| Kovitz Investment Group Partners, LLC | 1,216,712 | 47.90% | 13G (passive) amendment | Oct 31, 2024 |
| Css LLC/Il | 816,968 | 7.23% | 13G (passive) amendment | Oct 30, 2026 |
| Css, LLC | 647,000 | 5.68% | 13G (passive) amendment | Dec 31, 2023 |
| Focus Partners Wealth | 0 | 42.05% | 13G (passive) amendment | Jul 31, 2026 |
Top institutional holders
13F holdings as of Jun 30, 2026
| Holder | Shares | % of SPE | Value | Change | % of portfolio |
|---|---|---|---|---|---|
| Focus Partners Wealth | 1,245,185 | – | $16.77M | −90,333 | 0.02% |
| Shaker Financial Services, LLC | 664,992 | – | $8.96M | +292,949 | 2.81% |
| Blue Bell Private Wealth Management, LLC | 356,979 | – | $4.81M | +62,085 | 0.60% |
| Css LLC/Il | 122,529 | – | $1.65M | +3,780 | 0.06% |
| Scotia Capital Inc. | 108,784 | – | $1.47M | −1,259 | 0.01% |
| Advisors Asset Management, Inc. | 106,335 | – | $1.43M | −919 | 0.02% |
| Morgan Stanley | 96,684 | – | $1.30M | +5,922 | 0.00% |
| GatePass Capital, LLC | 57,374 | – | $772.83K | −55,485 | 0.29% |
| First Manhattan Co. LLC. | 44,280 | – | $596.45K | – | 0.00% |
| Oppenheimer & Co Inc | 36,489 | – | $491.51K | +15,117 | 0.01% |
| Raymond James Financial Inc | 34,054 | – | $458.71K | +2,014 | 0.00% |
| Nbc Securities, Inc. | 26,664 | – | $359.17K | +10,007 | 0.02% |
| Permanent Capital Management, LP | 22,114 | – | $297.88K | New | 0.04% |
| Commonwealth Equity Services, LLC | 21,854 | – | $294.37K | +5,644 | 0.00% |
| Cetera Investment Advisers | 20,443 | – | $275.37K | +571 | 0.00% |
| Guggenheim Capital LLC | 20,419 | – | $275.04K | −359 | 0.00% |
| Osaic Holdings, Inc. | 19,187 | – | $258.44K | −105 | 0.00% |
| Sowell Financial Services LLC | 17,933 | – | $241.56K | – | 0.01% |
| TrueMark Investments, LLC | 17,348 | – | $233.68K | +1,140 | 0.03% |
| Rivernorth Capital Management, LLC | 17,348 | – | $233.68K | −64,721 | 0.01% |
Institutional buying and selling by quarter
Positions opened, added to, reduced and closed by 13F filers
| Quarter | Holders | Shares held | New / added | Reduced / closed | Shares bought | Shares sold |
|---|---|---|---|---|---|---|
| Q2 2026 | 45 | 3M | 7 / 13 | 13 / 5 | 0M | 0M |
| Q1 2026 | 43 | 3M | 4 / 29 | 9 / 4 | 0M | 0M |
| Q4 2025 | 44 | 3M | 5 / 15 | 10 / 2 | 1M | 2M |
| Q3 2025 | 41 | 3M | 8 / 12 | 11 / 3 | 0M | 0M |
| Q2 2025 | 36 | 3M | 2 / 14 | 7 / 3 | 0M | 0M |
| Q1 2025 | 37 | 3M | 7 / 11 | 9 / 8 | 0M | 0M |
| Q4 2024 | 39 | 3M | 13 / 4 | 12 / 10 | 0M | 0M |
| Q3 2024 | 37 | 3M | 5 / 11 | 7 / 5 | 2M | 0M |
| Q2 2024 | 37 | 2M | 3 / 8 | 17 / 3 | 0M | 2M |
| Q1 2024 | 37 | 4M | 5 / 9 | 12 / 4 | 0M | 0M |
| Q4 2023 | 36 | 4M | 6 / 10 | 13 / 8 | 0M | 0M |
| Q3 2023 | 38 | 4M | 7 / 11 | 9 / 4 | 0M | 0M |
Top mutual fund and ETF holders
Latest monthly portfolio reports (Form N-PORT)
3 funds held SPE in Q2 2026, 98% of their shares through ETFs. Each fund counts once per quarter, from its quarter-end report.
| Fund | Shares | % of SPE | Value | % of fund | As of |
|---|---|---|---|---|---|
| RiverNorth Active Income ETF | 17,456 | – | $229.20K | 0.58% | Jul 31, 2026 |
| Multi-Hedge Strategies Fund | 218 | – | $2.94K | 0.01% | Jun 30, 2026 |
| Guggenheim Multi-Hedge Strategies Fund | 77 | – | $1.04K | 0.01% | Jun 30, 2026 |
Officers, directors and major owners
People who filed Forms 3, 4 or 5 in the last two years
| Name | Role | Shares owned | Latest filing |
|---|---|---|---|
| Andrew Dakos | President and CEO, Director | 5,845 | Jun 4, 2026 |
| Phillip Goldstein | Chairman and Secretary, Director | 35,822 | Mar 9, 2026 |
| Moritz A. Sell | Director | 1,961 | Apr 1, 2026 |
| Jaclyn L. Rothchild | Director | – | Mar 26, 2025 |
| Charles C. Walden | – | 29,574 | Mar 21, 2025 |
Insider trades
Common stock transactions reported on Form 4, newest first
| Insider | Date | Transaction | Shares | Price | Value | Shares after |
|---|---|---|---|---|---|---|
| Andrew Dakos President and CEO, Director | Jun 3, 2026 | Sale | −5,184 | $14.11 | $73.15K | 0 |
| Andrew Dakos President and CEO, Director | Jun 3, 2026 | Sale | −133 | $14.07 | $1.87K | 0 |
| Andrew Dakos President and CEO, Director | Jun 2, 2026 | Sale | −1,077 | $14.02 | $15.10K | 5,184 |
| Andrew Dakos President, Director | Dec 30, 2025 | Sale | −4,098 | $14.66 | $60.08K | 6,064 |
| Phillip Goldstein Chairman and Secretary, Director | Apr 4, 2025 | Buy | +3,000 | $13.80 | $41.40K | 34,822 |
| Andrew Dakos President, Director | Sep 20, 2024 | Sale | −377 | $13.74 | $5.18K | 4,880 |
| Phillip Goldstein Chairman and Secretary, Director | Dec 28, 2023 | Buy | +44 | $11.75 | $517 | 30,503 |
| Phillip Goldstein Chairman and Secretary, Director | Dec 28, 2023 | Buy | +1,319 | $11.78 | $15.54K | 31,822 |
| Phillip Goldstein Chairman and Secretary, Director | Apr 6, 2023 | Buy | +5,000 | $10.85 | $54.25K | 31,459 |
| Phillip Goldstein Chairman and Secretary, Director | Apr 5, 2023 | Buy | +2,400 | $10.85 | $26.04K | 26,459 |
| Phillip Goldstein Chairman and Secretary, Director | Mar 30, 2023 | Buy | +1,568 | $10.85 | $17.01K | 24,059 |
| Phillip Goldstein Chairman and Secretary, Director | Mar 29, 2023 | Buy | +675 | $10.74 | $7.25K | 22,491 |
| Phillip Goldstein Chairman and Secretary, Director | Feb 3, 2023 | Buy | +2,000 | $11.85 | $23.70K | 21,816 |
| Phillip Goldstein Chairman and Secretary, Director | Jan 30, 2023 | Buy | +2,000 | $11.63 | $23.26K | 19,816 |
| Gerald Hellerman Director | Apr 6, 2022 | Buy | +1,000 | $14.73 | $14.73K | 42,484 |
| Gerald Hellerman Director | Apr 6, 2022 | Buy | +1,000 | $14.66 | $14.66K | 43,584 |
| Gerald Hellerman Director | Apr 6, 2022 | Buy | +100 | $14.65 | $1.47K | 42,584 |
| Gerald Hellerman Director | Apr 6, 2022 | Buy | +2,000 | $14.77 | $29.54K | 41,484 |
| Gerald Hellerman Director | Apr 6, 2022 | Buy | +1,500 | $14.94 | $22.41K | 39,484 |
| Rajeev P. Das Vice President | Apr 5, 2022 | Returned to company | −513 | $15.69 | $8.05K | 2,583 |
| Andrew Dakos President, Director | Apr 5, 2022 | Returned to company | −154 | $15.69 | $2.42K | 782 |
| Andrew Dakos President, Director | Apr 5, 2022 | Returned to company | −968 | $15.69 | $15.19K | 5,257 |
| Andrew Dakos President, Director | Apr 5, 2022 | Returned to company | −2,016 | $15.69 | $31.63K | 10,162 |
| Phillip Goldstein Chairman and Secretary, Director | Apr 5, 2022 | Returned to company | −3,534 | $15.69 | $55.45K | 17,816 |
| Gerald Hellerman Director | Apr 5, 2022 | Returned to company | −5,333 | $15.69 | $83.67K | 37,984 |
| Charles C. Walden Director | Apr 5, 2022 | Returned to company | −5,014 | $15.69 | $78.67K | 25,271 |
| Phillip Goldstein Chairman and Secretary, Director | Feb 7, 2022 | Buy | +2,000 | $14.76 | $29.52K | 21,350 |
| Gerald Hellerman Director | Jan 28, 2022 | Buy | +68 | $14.59 | $992 | 42,786 |
| Gerald Hellerman Director | Jan 28, 2022 | Buy | +532 | $14.50 | $7.71K | 43,318 |
| Gerald Hellerman Director | Jan 26, 2022 | Buy | +785 | $14.63 | $11.48K | 42,718 |
| Gerald Hellerman Director | Jan 26, 2022 | Buy | +285 | $14.72 | $4.20K | 41,933 |
| Phillip Goldstein Chairman and Secretary, Director | Dec 16, 2021 | Sale | −2,542 | $15.55 | $39.53K | 19,350 |
| Gerald Hellerman Director | Sep 20, 2021 | Buy | +824 | $15.17 | $12.50K | 40,824 |
| Gerald Hellerman Director | Sep 20, 2021 | Buy | +824 | $15.17 | $12.50K | 40,000 |
| Gerald Hellerman Director | Sep 20, 2021 | Buy | +824 | $15.16 | $12.49K | 41,648 |
| Gerald Hellerman Director | Jul 19, 2021 | Buy | +1,000 | $15.00 | $15.00K | 39,175 |
| Andrew Dakos President, Director | Jul 9, 2021 | Option exercise | +303 | – | – | 936 |
| Andrew Dakos President, Director | Jul 9, 2021 | Option exercise | +6,257 | – | – | 12,178 |
| Andrew Dakos President, Director | Jul 9, 2021 | Option exercise | +1,889 | – | – | 6,225 |
| Charles C. Walden Director | Jun 24, 2021 | Option exercise | +9,779 | – | – | 30,285 |
| Phillip Goldstein Chairman and Secretary, Director | Jun 24, 2021 | Option exercise | +5,475 | – | – | 21,892 |
| Marc Lunder Director | Jun 23, 2021 | Option exercise | +1,369 | – | – | 4,869 |
| Marc Lunder Director | Jun 23, 2021 | Option exercise | +1,290 | – | – | 4,590 |
| Phillip Goldstein Chairman and Secretary, Director | Jun 7, 2021 | Sale | −10,000 | $15.43 | $154.30K | 16,417 |
| Phillip Goldstein Chairman and Secretary, Director | Jun 4, 2021 | Sale | −88,330 | $15.32 | $1.35M | 26,417 |
| Ben H. Harris Director | May 11, 2021 | Option exercise | +771 | – | – | 11,014 |
| Ben H. Harris Director | May 5, 2021 | Option exercise | +346 | – | – | 3,061 |
| Gerald Hellerman Director | Oct 28, 2020 | Buy | +2,000 | $11.48 | $22.96K | 35,684 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 22, 2020 | Buy | +5,000 | $11.80 | $59.00K | 113,747 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 22, 2020 | Buy | +5,000 | $11.80 | $59.00K | 123,721 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 21, 2020 | Buy | +5,000 | $11.85 | $59.25K | 108,747 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 21, 2020 | Buy | +5,000 | $11.85 | $59.25K | 118,721 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 15, 2020 | Sale | −4,987 | $11.74 | $58.55K | 103,747 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 15, 2020 | Sale | −1,431 | $11.74 | $16.80K | 1,000 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 15, 2020 | Buy | +6,418 | $11.74 | $75.35K | 108,734 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 15, 2020 | Buy | +11,405 | $11.74 | $133.89K | 113,721 |
| Phillip Goldstein Chairman and Secretary, Director | Jul 15, 2020 | Buy | +1,431 | $11.74 | $16.80K | 3,862 |
| Gerald Hellerman Director | Apr 3, 2020 | Buy | +10 | $8.70 | $87 | 32,694 |
| Gerald Hellerman Director | Apr 3, 2020 | Buy | +140 | $8.75 | $1.23K | 33,684 |
| Gerald Hellerman Director | Apr 3, 2020 | Buy | +220 | $8.73 | $1.92K | 33,544 |
Awards, option exercises, tax withholding and gifts are shown alongside open-market buys and sales. Each name links to the filing on SEC EDGAR.
Short interest
Shares sold short and not yet bought back, as of Oct 30, 2026 (FINRA, reported twice a month)
Short % of shares outstanding
–
0M shares short
Days to cover
1.0
At 0M shares a day
Change since last report
-68.9%
From 0M shares
Short volume, 20 days
26.3%
Of volume reported to FINRA
Shares sold short, last 12 months
Short sale volume counts trades marked short on any given day, including market-maker hedging, so it runs far higher than the share of Special Opportunities Fund's stock actually held short. Settlement fails (shares not delivered on time) peaked at 421 shares on Sep 25, 2026 over the last 90 days.
Planned insider sales
Notices of proposed sale filed on Form 144 before shares are sold
| Seller | Filed | Shares | Market value | Planned sale | Acquired through |
|---|---|---|---|---|---|
| Focus Partners Wealth 10% Stockholder | Jun 11, 2026 | 1,126 | $28.01K | Jun 11, 2026 | open Market Purchase |
| Andrew Dakos Director | Jun 2, 2026 | 6,461 | $92.83K | Jun 2, 2026 | Right Offering |
| Focus Partners Wealth 10% Stockholder | Mar 25, 2026 | 1,686 | $41.88K | Mar 25, 2026 | open Market Purchase |
| Focus Partners Wealth 10% Stockholder | Mar 25, 2026 | 769 | $19.10K | Mar 25, 2026 | Open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Mar 6, 2026 | 15,427 | $387.06K | Mar 6, 2026 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Feb 26, 2026 | 5,652 | $1 | Feb 26, 2026 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Feb 19, 2026 | 155 | $3.88K | Feb 19, 2026 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Jan 22, 2026 | 63,660 | $1.59M | Nov 28, 2025 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Nov 28, 2025 | 63,660 | $1.59M | Nov 28, 2025 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Nov 21, 2025 | 912 | $22.62K | Nov 21, 2025 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Oct 7, 2025 | 790 | $19.75K | Oct 7, 2025 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Sep 12, 2025 | 53,541 | $1.35M | Sep 12, 2025 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Sep 10, 2025 | 1,602 | $40.13K | Sep 10, 2025 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Aug 19, 2025 | 410 | $10.09K | Aug 19, 2025 | open Market Purchase |
| Kovitz Investment Group Partners, LLC 10% Stockholder | Jul 15, 2025 | 134 | $3.27K | Jul 15, 2025 | open Market Purchase |
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