SPECIAL OPPORTUNITIES FUND, INC. - Common Stock, par value $0.001 per share (SPE)
CUSIP: 84741T104
Q3 2014 13F Holders as of 30 Sep 2014
- Type / Class
- Equity / Common Stock, par value $0.001 per share
- Shares outstanding
- 10,626,898
- Total 13F shares
- 4,845,623
- Share change
- +89,878
- Total reported value
- $80,778,000
- Price per share
- $16.67
- Number of holders
- 27
- Value change
- +$1,497,394
- Number of buys
- 12
- Number of sells
- 10
Quarterly Holders Quick Answers
What is CUSIP 84741T104?
CUSIP 84741T104 identifies SPE - SPECIAL OPPORTUNITIES FUND, INC. - Common Stock, par value $0.001 per share in SEC institutional holdings data.
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Recent filing periods for CUSIP 84741T104:
Top shareholders of SPE - SPECIAL OPPORTUNITIES FUND, INC. - Common Stock, par value $0.001 per share (13F + 13D/G + 3/4/5)
Grouped by holder across the latest SEC ownership disclosures. Ownership % is shown only when it is directly reported or safely comparable across share classes.
Methodology: rows are grouped by holder and ranked by the holder's primary source value. — indicates unavailable or non-comparable values; "mixed-class rows" means the latest filing spans non-comparable classes.
| Holder | Source | Role / Reporting | Ownership % | Shares | Holdings Value | 12M Net Δ | As of | Details |
|---|---|---|---|---|---|---|---|---|
| Relative Value Partners, LLC |
13F
|
Company |
22%
|
2,380,860
|
$39,760,000 | — | 30 Jun 2014 | |
| Horizon Kinetics LLC |
13F
|
Company |
6.4%
|
685,312
|
$11,444,000 | — | 30 Jun 2014 | |
| Ancora Advisors LLC |
13F
|
Company |
3.4%
|
357,003
|
$5,962,000 | — | 30 Jun 2014 | |
| CSS LLC/IL |
13F
|
Company |
2.9%
|
303,687
|
$5,072,000 | — | 30 Jun 2014 | |
| BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC |
13F
|
Company |
2.8%
|
292,313
|
$4,882,000 | — | 30 Jun 2014 | |
| Shaker Financial Services, LLC |
13F
|
Company |
1.2%
|
124,129
|
$2,073,000 | — | 30 Jun 2014 | |
| SIT INVESTMENT ASSOCIATES INC |
13F
|
Company |
1.2%
|
123,135
|
$2,056,000 | — | 30 Jun 2014 | |
| MORGAN STANLEY |
13F
|
Company |
1.1%
|
119,375
|
$1,993,000 | — | 30 Jun 2014 | |
| RIVERNORTH CAPITAL MANAGEMENT, LLC |
13F
|
Company |
1.1%
|
119,119
|
$1,989,000 | — | 30 Jun 2014 | |
| Commonwealth Equity Services, Inc |
13F
|
Company |
0.57%
|
60,288
|
$1,007,000 | — | 30 Jun 2014 | |
| FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD |
13F
|
Company |
0.56%
|
59,537
|
$994,000 | — | 30 Jun 2014 | |
| Independence Trust CO |
13F
|
Company |
0.24%
|
25,270
|
$422,000 | — | 30 Jun 2014 | |
| WELLS FARGO & COMPANY/MN |
13F
|
Company |
0.23%
|
24,165
|
$404,000 | — | 30 Jun 2014 | |
| NWAM LLC |
13F
|
Company |
0.16%
|
17,369
|
$290,000 | — | 30 Jun 2014 | |
| UBS AG |
13F
|
Company |
0.14%
|
14,795
|
$247,000 | — | 30 Jun 2014 | |
| Thomas J. Herzfeld Advisors, Inc. |
13F
|
Company |
0.11%
|
11,387
|
$190,000 | — | 30 Jun 2014 | |
| Financial Architects, Inc |
13F
|
Company |
0.09%
|
9,154
|
$153,000 | — | 30 Jun 2014 | |
| FIRST MANHATTAN CO. LLC. |
13F
|
Company |
0.08%
|
8,608
|
$143,000 | — | 30 Jun 2014 | |
| LADENBURG THALMANN FINANCIAL SERVICES INC. |
13F
|
Company |
0.05%
|
4,897
|
$82,000 | — | 30 Jun 2014 | |
| PNC FINANCIAL SERVICES GROUP, INC. |
13F
|
Company |
0.04%
|
4,142
|
$70,000 | — | 30 Jun 2014 | |
| PRELUDE CAPITAL MANAGEMENT, LLC |
13F
|
Company |
0.03%
|
3,570
|
$60,000 | — | 30 Jun 2014 | |
| BANK OF AMERICA CORP /DE/ |
13F
|
Company |
0.03%
|
2,688
|
$45,000 | — | 30 Jun 2014 | |
| Plante Moran Financial Advisors, LLC |
13F
|
Company |
0.02%
|
1,827
|
$31,000 | — | 30 Jun 2014 | |
| Carroll Financial Associates, Inc. |
13F
|
Company |
0.01%
|
1,200
|
$20,000 | — | 30 Jun 2014 | |
| ROYAL BANK OF CANADA |
13F
|
Company |
0.01%
|
980
|
$16,000 | — | 30 Jun 2014 | |
| US BANCORP \DE\ |
13F
|
Company |
0.01%
|
769
|
$13,000 | — | 30 Jun 2014 | |
| Ground Swell Capital, LLC |
13F
|
Company |
0%
|
166
|
$3,000 | — | 30 Jun 2014 |
Institutional Holders of SPECIAL OPPORTUNITIES FUND, INC. - Common Stock, par value $0.001 per share (SPE) as of Q3 2014
As of 30 Sep 2014,
SPECIAL OPPORTUNITIES FUND, INC. - Common Stock, par value $0.001 per share (SPE) was held by
27 institutional
shareholders
that filed Form 13F with the SEC.
Together, they reported ownership of
4,845,623 shares.
The largest 10 holders included
Relative Value Partners, LLC, Horizon Kinetics LLC, Ancora Advisors, LLC, BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC, CSS LLC/IL, Shaker Financial Services, LLC, SIT INVESTMENT ASSOCIATES INC, MORGAN STANLEY, RIVERNORTH CAPITAL MANAGEMENT, LLC, and Bares Capital Management, Inc..
This page lists
27
institutional shareholders reporting positions in this security
for the Q3 2014 filing period.
| Investor | Option | Weight % | Change % | Value $ | * Price | Shares | Share Change | Activity | Report Period |
|---|
Compare Q3 2014 vs Q2 2014 Across Filers
Q2 2014 holders
27
Q3 2014 holders
27
Holder diff
0
| Investor | Q2 2014 Shares | Q3 2014 Shares | Share Diff | Share Chg % | Q2 2014 Value $ | Q3 2014 Value $ | Value Diff $ | Value Chg % |
|---|
Trend: ostatnie 8 kwartałów (+ wybrane okresy porównania).
Quarterly Holders Trend
Quarterly Value Trend
Quarterly Shares Trend
* Reported Price is the price of the security as of the portfolio date. This value is significant in that it is the last known price at which the security was still held.
An asterisk sign (*) next to the price indicates that the price is likely invalid.
An asterisk sign (*) next to the price indicates that the price is likely invalid.