Special Opportunities Fund, Inc. (SPE-PC) — SEC Filings
Special Opportunities Fund, Inc. (SPE-PC) — 5 SEC filings. Latest: DEF 14A (Oct 31, 2025). Includes 2 DEF 14A, 1 DEFA14A, 1 SC 13G.
View Special Opportunities Fund, Inc. on SEC EDGAR
Overview
Special Opportunities Fund, Inc. (SPE-PC) is a publicly traded company tracked on ReadTheFiling. The most recent enriched filing is a DEF 14A filed on Oct 31, 2025: SPECIAL OPPORTUNITIES FUND, INC. (SPE-PC) is holding its Annual Meeting of Stockholders on December 11, 2025, to elect six Directors. Four Directors, Andrew Dakos, Gerald Hellerman, Jaclyn Rothchild, and Ben Harris, will be elected by common and preferred stockholders voting as a single class. Two D
Sentiment Summary
Across 5 filings, the sentiment breakdown is: 1 bullish, 4 neutral. The dominant filing sentiment for Special Opportunities Fund, Inc. is neutral.
Filing Type Overview
Special Opportunities Fund, Inc. (SPE-PC) has filed 2 DEF 14A, 1 DEFA14A, 1 SC 13G, 1 SC 13G/A with the SEC between Feb 2024 to Oct 2025.
Filings by Year
Recent SEC Filings (5)
| Date | Form | Description | Risk |
|---|---|---|---|
| Oct 31, 2025 | DEF 14A | Special Opportunities Fund Sets Dec. 11 Meeting to Elect Six Directors | low |
| May 1, 2025 | DEFA14A | Special Opportunities Fund Proxy Filing | low |
| Oct 31, 2024 | DEF 14A | Special Opportunities Fund Files Proxy Statement | low |
| Feb 12, 2024 | SC 13G | Relative Value Partners Takes 5.0% Stake in Special Opportunities Fund | low |
| Feb 9, 2024 | SC 13G/A | CSS, LLC Amends Special Opportunities Fund Stake | low |
Risk Profile
Risk Assessment: Of SPE-PC's 5 recent filings, 0 were flagged as high-risk, 0 as medium-risk, and 5 as low-risk. The overall risk profile suggests relatively low risk with generally favorable filings.
Key Executives
- Phillip Goldstein
- Andrew Dakos
- Gerald Hellerman
- Jaclyn Rothchild
- Ben Harris
- Marc Lunder
Industry Context
Special Opportunities Fund, Inc. operates within the closed-end fund sector, a segment of the broader asset management industry. This sector is characterized by a fixed number of shares and trading on exchanges, differentiating it from open-end mutual funds. The industry faces ongoing competition from various investment vehicles and requires continuous adaptation to market conditions and investor preferences to maintain assets under management and performance.
Top Tags
proxy-statement (2) · institutional-ownership (2) · Proxy Statement (1) · Director Election (1) · Closed-End Fund (1) · Corporate Governance (1) · Annual Meeting (1) · Shareholder Vote (1) · Board of Directors (1) · sec-filing (1)
Key Numbers
| Metric | Value | Context |
|---|---|---|
| Annual Meeting Date | 2025-12-11 | Date for the election of directors |
| Record Date | 2025-10-20 | Date for determining stockholders entitled to vote |
| Number of Directors to be Elected | 6 | Total directors up for election |
| Directors Elected by Common & Preferred Stock | 4 | Number of directors elected by both classes voting together |
| Directors Elected by Preferred Stock | 2 | Number of directors elected by preferred stockholders separately |
| Common Stock Shares Outstanding | 10,623,154 | As of the record date, October 20, 2025 |
| Preferred Stock Shares Outstanding | 2,235,775 | As of the record date, October 20, 2025 |
| Andrew Dakos Birthyear | 1966 | President and Interested Director |
| Phillip Goldstein Birthyear | 1945 | Chairman and Secretary, Interested Director |
| Jaclyn Rothchild Birthyear | 1978 | New Independent Director Nominee |
| Filing Date | 20241031 | The date the Definitive Proxy Statement was filed with the SEC. |
| Fiscal Year End | 0331 | Indicates the end of the company's fiscal year. |
| Beneficial Ownership | 5.0% | Percentage of SPECIAL OPPORTUNITIES FUND, INC. Common Shares owned by Relative Value Partners Group, LLC. |
Forward-Looking Statements
- {"claim":"Other institutional investors may take notice of Relative Value Partners Group, LLC's stake and potentially initiate their own positions in SPECIAL OPPORTUNITIES FUND, INC.","entity":"SPECIAL OPPORTUNITIES FUND, INC.","targetDate":"Q2 2024","confidence":"medium"}
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Frequently Asked Questions
What are the latest SEC filings for Special Opportunities Fund, Inc. (SPE-PC)?
Special Opportunities Fund, Inc. has 5 recent SEC filings from Feb 2024 to Oct 2025, including 2 DEF 14A, 1 DEFA14A, 1 SC 13G. Each filing includes an AI-generated plain-English summary.
What is the overall sentiment of SPE-PC filings?
Across 5 filings, the sentiment breakdown is: 1 bullish, 4 neutral. The dominant sentiment is neutral.
Where can I find Special Opportunities Fund, Inc. SEC filings explained simply?
ReadTheFiling provides AI-powered plain-English summaries of all Special Opportunities Fund, Inc. (SPE-PC) SEC filings, including 10-K annual reports, 10-Q quarterly reports, 8-K current reports, and insider trades.
What are the key financial highlights for Special Opportunities Fund, Inc.?
Financial highlights for Special Opportunities Fund, Inc. are available when 10-K or 10-Q filings are enriched with AI analysis. Check back as new filings are processed.
What is the investment thesis for SPE-PC?
The investment thesis for SPE-PC includes bull, base, and bear case scenarios derived from AI analysis of recent SEC filings.
Who are the key executives at Special Opportunities Fund, Inc.?
Key executives identified across Special Opportunities Fund, Inc.'s filings include Phillip Goldstein, Andrew Dakos, Gerald Hellerman, Jaclyn Rothchild, Ben Harris and 1 others.
What are the main risk factors for Special Opportunities Fund, Inc. stock?
Of SPE-PC's 5 assessed filings, 0 were flagged high-risk, 0 medium-risk, and 5 low-risk.
What are recent predictions and forward guidance from Special Opportunities Fund, Inc.?
Recent forward-looking statements from Special Opportunities Fund, Inc. include guidance on {"claim":"Other institutional investors may take notice of Relative Value Partners Group, LLC's stake and potentially in.