Vault-13

SPECIAL OPPORTUNITIES FD INC SPE

COM · Closed-End Fund · CUSIP 84741T104

45 institutional holders +2 vs Q1 2026
3,231,2753.2m shares reported held*
$43.5mreported value*
6 new 13 added 13 reduced 5 sold out net bought ≈ $1.6m (+118.9k shares)

* Summed across managers. Shares that two managers' reports both contain – a subsidiary's holdings that its parent's report includes too, or a sub-adviser's in its client's – are counted once. Holder counts are more reliable. Implied quarter-end price ≈ $13.47.

Trends to Q2 2026

Institutional holders

Managers reporting a position, each quarter

0204060Q3 22: 35Q4 22: 35Q1 23: 37Q2 23: 36Q3 23: 39Q4 23: 37Q1 24: 38Q2 24: 38Q3 24: 38Q4 24: 40Q1 25: 38Q2 25: 37Q3 25: 41Q4 25: 44Q1 26: 43Q2 26: 4545Q3 22Q3 23Q3 24Q3 25Q2 26
Numbers
QuarterHolders
Q3 202235
Q4 202235
Q1 202337
Q2 202336
Q3 202339
Q4 202337
Q1 202438
Q2 202438
Q3 202438
Q4 202440
Q1 202538
Q2 202537
Q3 202541
Q4 202544
Q1 202643
Q2 202645

Buyers vs sellers

Managers adding to or starting a position, vs cutting or selling out

Bought or addedCut or sold out
40040Q3 24: 16 bought or addedQ3 24: 12 cut or sold outQ4 24: 14 bought or addedQ4 24: 22 cut or sold outQ4 24Q1 25: 18 bought or addedQ1 25: 17 cut or sold outQ2 25: 14 bought or addedQ2 25: 10 cut or sold outQ2 25Q3 25: 20 bought or addedQ3 25: 14 cut or sold outQ4 25: 19 bought or addedQ4 25: 12 cut or sold outQ4 25Q1 26: 33 bought or addedQ1 26: 13 cut or sold outQ2 26: 19 bought or addedQ2 26: 18 cut or sold outQ2 26
Numbers
QuarterBought or addedCut or sold out
Q3 20241612
Q4 20241422
Q1 20251817
Q2 20251410
Q3 20252014
Q4 20251912
Q1 20263313
Q2 20261918

Biggest buyers

Shaker Financial Services, LLC Added +292,949+292.9k
BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC Added +62,085+62.1k
Permanent Capital Management, LP New +22,114+22.1k
LEAVELL INVESTMENT MANAGEMENT, INC. New +16,800+16.8k
OPPENHEIMER & CO INC Added +15,117+15.1k
XTX Topco Ltd New +10,990+11.0k
PMG Family Office LLC New +10,137+10.1k
LANARK FINANCIAL, INC. Added +10,007+10.0k
MORGAN STANLEY Added +5,922+5.9k
COMMONWEALTH EQUITY SERVICES, LLC Added +5,644+5.6k

Biggest sellers

Focus Partners Wealth Reduced -90,333-90.3k
WOLVERINE ASSET MANAGEMENT LLC Reduced -80,793-80.8k
RIVERNORTH CAPITAL MANAGEMENT, LLC Reduced -64,721-64.7k
GatePass Capital, LLC Reduced -55,485-55.5k
Independent Advisor Alliance Sold out -21,188-21.2k
WELLS FARGO & COMPANY/MN Reduced -10,282-10.3k
Ancora Advisors LLC Reduced -6,637-6.6k
MAI Capital Management Sold out -5,372-5.4k
Keating Financial Advisory Services, Inc. Reduced -3,885-3.9k
HARBOUR INVESTMENTS, INC. Reduced -3,813-3.8k

Major shareholders (over 5%)

Anyone who owns more than 5% of a class of the company's shares has to say so: on Schedule 13D if they may try to influence or control the company, on 13G if they're a passive investor, and update it as the stake changes. Each holder's latest filing, from 19 Dec 2024 on; percentages are of the share class, as the holder worked them out.

HolderStakeChangeShares Last filed
Kovitz Investment Group Partners, LLC 13G · institution filed 2025-09-10 13.6% 1.4m≈ $19.4m 2025-09-10
Focus Partners Wealth 13G · institution new · filed 2026-01-08 13.0% new 1.4m≈ $18.6m 2026-01-08

Insider purchases and sales since 1 Apr 2026

Shares bought or sold by the company's own officers, directors and 10% owners, in the open market or privately, as they reported to the SEC on Form 4 (due within two business days of the trade). Grants, option exercises, shares withheld for tax and gifts aren't included.

Officers and directors buying vs selling

Number of people, by quarter (10% owners not included)

BuyingSelling
101Q4 24: 0 buyingQ4 24: 0 sellingQ1 25: 0 buyingQ1 25: 0 sellingQ1 25Q2 25: 1 buyingQ2 25: 0 sellingQ3 25: 0 buyingQ3 25: 0 sellingQ3 25Q4 25: 0 buyingQ4 25: 1 sellingQ1 26: 0 buyingQ1 26: 0 sellingQ1 26Q2 26: 0 buyingQ2 26: 1 sellingQ3 26: 0 buyingQ3 26: 0 sellingQ3 26
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q4 20240—0——
Q1 20250—0——
Q2 20251$41.4k0——
Q3 20250—0——
Q4 20250—1$60.1k—
Q1 20260—0——
Q2 20260—1$90.1k—
Q3 20260—0——
DateInsiderTradeSharesPrice ValueTheir holding
2026-06-03 Dakos Andrew President and CEO, director Sold 5,184 $14.11 $73.1k5.2k shares -100%
2026-06-03 Dakos Andrew President and CEO, director Sold 133 $14.07 $1.9k133 shares -100%
2026-06-02 Dakos Andrew President and CEO, director Sold 1,077 $14.02 $15.1k1.1k shares -17%

Their holding: how much the trade added to or took from the insider's holding (direct, or the trust or fund named). The same trade is sometimes reported by more than one insider, such as a fund and the director who represents it; totals count it once. A value is left blank where the reported price is far from the market price (usually a typo).

Holders, Q2 2026

#ManagerLocationShares Value% of their portfolioChangeShares change
1 Focus Partners Wealth 0.02% of their portfolio ST LOUIS, MO 1,245,1851.2m $16.8m $16.8m 0.02% Reduced -90.3k -90,333
2 Shaker Financial Services, LLC 2.81% of their portfolio Arlington, VA 664,992665.0k $9.0m $9.0m 2.81% Added +292.9k +292,949
3 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.60% of their portfolio BLUE BELL, PA 356,979357.0k $4.8m $4.8m 0.60% Added +62.1k +62,085
4 CSS LLC/IL 0.07% of their portfolio CHICAGO, IL 122,529122.5k $1.7m $1.7m 0.07% Added +3.8k +3,780
5 SCOTIA CAPITAL INC. 0.01% of their portfolio TORONTO, A6 108,784108.8k $1.5m $1.5m 0.01% Reduced -1.3k -1,259
6 Advisors Asset Management, Inc. 0.02% of their portfolio Monument, CO 106,335106.3k $1.4m $1.4m 0.02% Reduced -919 -919
7 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 96,68496.7k $1.3m $1.3m 0.00% Added +5.9k +5,922
8 GatePass Capital, LLC 0.30% of their portfolio INDEPENDENCE, OH 57,37457.4k $772.8k $772.8k 0.30% Reduced -55.5k -55,485
9 FIRST MANHATTAN CO. LLC. 0.00% of their portfolio NEW YORK, NY 44,28044.3k $596.5k $596.5k 0.00% Unchanged
10 OPPENHEIMER & CO INC 0.01% of their portfolio NEW YORK, NY 36,48936.5k $491.5k $491.5k 0.01% Added +15.1k +15,117
11 RAYMOND JAMES FINANCIAL INC 0.00% of their portfolio ST. PETERSBURG, FL 34,05434.1k $458.7k $458.7k 0.00% Added +2.0k +2,014
12 LANARK FINANCIAL, INC. 0.02% of their portfolio BIRMINGHAM, AL 26,66426.7k $359.2k $359.2k 0.02% Added +10.0k +10,007
13 Permanent Capital Management, LP 0.04% of their portfolio CHICAGO, IL 22,11422.1k $297.9k $297.9k 0.04% New
14 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 21,85421.9k $294.4k $294.4k 0.00% Added +5.6k +5,644
15 Cetera Investment Advisers 0.00% of their portfolio SCHAUMBURG, IL 20,44320.4k $275.4k $275.4k 0.00% Added +571 +571
16 GUGGENHEIM CAPITAL LLC 0.00% of their portfolio CHICAGO, IL 20,41920.4k $275.0k $275.0k 0.00% Reduced -359 -359
17 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 19,18719.2k $258.4k $258.4k 0.00% Reduced -105 -105
18 Sowell Financial Services LLC 0.01% of their portfolio NORTH LITTLE ROCK, AR 17,93317.9k $241.6k $241.6k 0.01% Unchanged
19 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.01% of their portfolio WEST PALM BEACH, FL 17,34817.3k $233.7k $233.7k 0.01% Reduced -64.7k -64,721
20 TrueMark Investments, LLC 0.03% of their portfolio CHICAGO, IL 17,34817.3k $233.7k $233.7k 0.03% Added +1.1k +1,140
21 LEAVELL INVESTMENT MANAGEMENT, INC. 0.01% of their portfolio MOBILE, AL 16,80016.8k $226.3k $226.3k 0.01% New
22 Ancora Advisors LLC 0.00% of their portfolio Cleveland, OH 16,25016.2k $218.9k $218.9k 0.00% Reduced -6.6k -6,637
23 SUSQUEHANNA INTERNATIONAL GROUP, LLP 0.00% of their portfolio BALA CYNWYD, PA 15,43515.4k $207.9k $207.9k 0.00% Added +3.6k +3,614
24 Live Oak Private Wealth LLC 0.03% of their portfolio WILMINGTON, NC 15,33315.3k $206.5k $206.5k 0.03% Unchanged
25 WOLVERINE ASSET MANAGEMENT LLC 0.00% of their portfolio CHICAGO, IL 14,49014.5k $195.2k $195.2k 0.00% Reduced -80.8k -80,793
26 PATRON PARTNERS, LLC 0.07% of their portfolio HOUSTON, TX 14,27414.3k $192.3k $192.3k 0.07% Unchanged
27 NWF Advisory Services Inc. 0.02% of their portfolio Los Angeles, CA 13,60613.6k $183.3k $183.3k 0.02% Reduced -628 -628
28 HARBOUR INVESTMENTS, INC. 0.00% of their portfolio MADISON, WI 13,00013.0k $175.1k $175.1k 0.00% Reduced -3.8k -3,813
29 XTX Topco Ltd 0.00% of their portfolio LONDON, X0 10,99011.0k $148.0k $148.0k 0.00% New
30 Detalus Advisors, LLC 0.03% of their portfolio ST. LOUIS, MO 10,82310.8k $145.8k $145.8k 0.03% Added +380 +380
31 PMG Family Office LLC 0.13% of their portfolio PLANO, TX 10,13710.1k $136.5k $136.5k 0.13% New
32 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 5,2505.2k $71.0k $71.0k 0.00% Added +3.0k +3,000
33 UBS Group AG 0.00% of their portfolio ZURICH, V8 5,1635.2k $69.5k $69.5k 0.00% Unchanged
34 Global Retirement Partners, LLC 0.00% of their portfolio San Rafael, CA 3,7053.7k $49.9k $49.9k 0.00% First filing
35 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 2,2622.3k $30.5k $30.5k 0.00% Unchanged
36 WINMILL & CO. INC 0.01% of their portfolio WALPOLE, NH 2,0932.1k $28.2k $28.2k 0.01% Unchanged
37 Keating Financial Advisory Services, Inc. 0.00% of their portfolio MANHATTAN, KS 1,7301.7k $23.3k $23.3k 0.00% Reduced -3.9k -3,885
38 Rockefeller Capital Management L.P. 0.00% of their portfolio NEW YORK, NY 918918 $12.4k $12.4k 0.00% Unchanged
39 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 887887 $11.9k $11.9k 0.00% Reduced -10.3k -10,282
40 EASTERN BANK 0.00% of their portfolio BOSTON, MA 750750 $10.1k $10.1k 0.00% Unchanged
41 HIGHLINE WEALTH PARTNERS LLC 0.00% of their portfolio SHERMAN OAKS, CA 206206 $2.8k $2.8k 0.00% Unchanged
42 FIRST HORIZON CORP 0.00% of their portfolio MEMPHIS, TN 103103 $1.4k $1.4k 0.00% New
43 CVA Family Office, LLC 0.00% of their portfolio DENVER, CO 3939 $525 $525 0.00% Unchanged
44 Indiana Trust & Investment Management Co 0.00% of their portfolio MISHAWAKA, IN 2626 $350 $350 0.00% Unchanged
45 Aspect Partners, LLC 0.00% of their portfolio FAIRFAX, VA 1010 $135 $135 0.00% New