Phillip Goldstein - 02 Mar 2026 Form 4 Insider Report for SPECIAL OPPORTUNITIES FUND, INC. (SPE)

Reporting relationship: Chairman and Secretary, Director, Affiliate of the Adviser
Issuer ticker: SPE
Reported as of: 02 Mar 2026
Net transaction value: $0
SEC form: 4
Accepted by SEC: 09 Mar 2026, 16:05:08 UTC
Prior SEC filing: 02 Mar 2026
Next SEC filing: 09 Mar 2026
Source filing: View source filing
Reporting owner signature: /s/ Stephanie Darling, Power of Attorney for Phillip Goldstein

Key filing fact

Phillip Goldstein filed Form 4 for SPECIAL OPPORTUNITIES FUND, INC. (SPE) on 09 Mar 2026.

Key facts

This page summarizes Phillip Goldstein's Form 4 filing for SPECIAL OPPORTUNITIES FUND, INC. (SPE).
3 reported transactions and 3 derivative rows are listed below.
Accepted by SEC: 09 Mar 2026, 16:05.

Change

Previous filing in this sequence was filed on 02 Mar 2026.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reporting Owners (1)

CIK 0001067621 Primary reporting owner

GOLDSTEIN PHILLIP

Relationship: Chairman and Secretary, Director, Affiliate of the Adviser
Address: 60 HERITAGE DRIVE, PLEASANTVILLE
Signature: /s/ Stephanie Darling, Power of Attorney for Phillip Goldstein
Signature date: 09 Mar 2026

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

SPE holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 34,822
Date: 02 Mar 2026
Ownership: Direct

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

SPE transaction Derivative

2.75% Convertible Preferred Stock, Series C

Small acquisition under Rule 16a-6

Transaction value
Shares: +100
Change %: +1.6%
Price: $25.09^*
Shares after: 6,198
Date: 02 Mar 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 168
Exercise price: $0.000000
Footnotes: F1, F2

SPE transaction Derivative

2.75% Convertible Preferred Stock, Series C

Small acquisition under Rule 16a-6

Transaction value
Shares: +100
Change %: +1.6%
Price: $25.09^*
Shares after: 6,298
Date: 04 Mar 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 168
Exercise price: $0.000000
Footnotes: F1, F2

SPE transaction Derivative

2.75% Convertible Preferred Stock, Series C

Purchase

Transaction value
Shares: +3,952
Change %: +63%
Price: $25.09
Shares after: 10,250
Date: 05 Mar 2026
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 6,645
Exercise price: $0.000000
Footnotes: F1, F2

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Explanation of responses 2 footnotes

Footnote F1

The shares of Preferred Stock are convertible into common stock immediately upon issuance at a conversion ratio which is subject to adjustment. The current conversion ratio is equal to 1.6813 shares of common stock for each share of Preferred Stock held.

Footnote F2

The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027.