Vault-13

SPECIAL OPPORTUNITIES FD INC SPE

COM · Closed-End Fund · CUSIP 84741T104

38 institutional holders +0 vs Q1 2024
1,637,5031.6m shares reported held*
$21.4mreported value*
3 new 8 added 17 reduced 3 sold out net sold ≈ $27.2m (-2.1m 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 ≈ $13.07.

Trends to Q2 2024

Institutional holders

Managers reporting a position, each quarter

02040Q3 22: 35Q4 22: 35Q1 23: 37Q2 23: 36Q3 23: 39Q4 23: 37Q1 24: 38Q2 24: 3838Q3 22Q1 23Q3 23Q1 24Q2 24
Numbers
QuarterHolders
Q3 202235
Q4 202235
Q1 202337
Q2 202336
Q3 202339
Q4 202337
Q1 202438
Q2 202438

Buyers vs sellers

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

Bought or addedCut or sold out
40040Q4 22: 17 bought or addedQ4 22: 14 cut or sold outQ4 22Q1 23: 15 bought or addedQ1 23: 15 cut or sold outQ2 23: 12 bought or addedQ2 23: 14 cut or sold outQ2 23Q3 23: 17 bought or addedQ3 23: 13 cut or sold outQ4 23: 16 bought or addedQ4 23: 21 cut or sold outQ4 23Q1 24: 14 bought or addedQ1 24: 16 cut or sold outQ2 24: 11 bought or addedQ2 24: 20 cut or sold outQ2 24
Numbers
QuarterBought or addedCut or sold out
Q4 20221714
Q1 20231515
Q2 20231214
Q3 20231713
Q4 20231621
Q1 20241416
Q2 20241120

Biggest buyers

HUB Investment Partners, LLC New +12,900+12.9k
COMMONWEALTH EQUITY SERVICES, LLC New +12,322+12.3k
Atlas Wealth LLC New +10,371+10.4k
Ancora Advisors LLC Added +3,976+4.0k
NewEdge Advisors, LLC Added +2,904+2.9k
Private Advisor Group, LLC Added +2,000+2.0k
HighTower Advisors, LLC Added +1,439+1.4k
HARBOUR INVESTMENTS, INC. Added +360+360
SCOTIA CAPITAL INC. Added +209+209
LANARK FINANCIAL, INC. Added +125+125

Biggest sellers

Relative Value Partners Group, LLC Sold out -1,599,294-1.6m
MORGAN STANLEY Reduced -274,920-274.9k
RIVERNORTH CAPITAL MANAGEMENT, LLC Reduced -56,347-56.3k
OSAIC HOLDINGS, INC. Reduced -53,584-53.6k
Shaker Financial Services, LLC Reduced -43,836-43.8k
EPIQ PARTNERS, LLC Reduced -32,301-32.3k
Alpine Global Management, LLC Reduced -21,424-21.4k
RPO LLC Sold out -17,158-17.2k
Cresset Asset Management, LLC Sold out -10,000-10.0k
WELLS FARGO & COMPANY/MN Reduced -4,299-4.3k

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 in Q2 2024

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
101Q3 22: 0 buyingQ3 22: 0 sellingQ4 22: 0 buyingQ4 22: 0 sellingQ4 22Q1 23: 1 buyingQ1 23: 0 sellingQ2 23: 1 buyingQ2 23: 0 sellingQ2 23Q3 23: 0 buyingQ3 23: 0 sellingQ4 23: 1 buyingQ4 23: 0 sellingQ4 23Q1 24: 0 buyingQ1 24: 0 sellingQ2 24: 0 buyingQ2 24: 0 sellingQ2 24
Numbers
QuarterBuyingBoughtSellingSoldSold under a plan
Q3 20220—0——
Q4 20220—0——
Q1 20231$71.2k0——
Q2 20231$80.3k0——
Q3 20230—0——
Q4 20231$16.1k0——
Q1 20240—0——
Q2 20240—0——

None reported in Q2 2024.

Holders, Q2 2024

#ManagerLocationShares Value% of their portfolioChangeShares change
1 RIVERNORTH CAPITAL MANAGEMENT, LLC 0.20% of their portfolio WEST PALM BEACH, FL 324,207324.2k $4.2m $4.2m 0.20% Reduced -56.3k -56,347
2 BLUE BELL PRIVATE WEALTH MANAGEMENT, LLC 0.70% of their portfolio BLUE BELL, PA 259,190259.2k $3.4m $3.4m 0.70% Reduced -2.5k -2,516
3 CSS LLC/IL 0.25% of their portfolio CHICAGO, IL 258,384258.4k $3.4m $3.4m 0.25% Unchanged
4 MORGAN STANLEY 0.00% of their portfolio NEW YORK, NY 132,873132.9k $1.7m $1.7m 0.00% Reduced -274.9k -274,920
5 SCOTIA CAPITAL INC. 0.01% of their portfolio TORONTO, A6 88,34688.3k $1.2m $1.2m 0.01% Added +209 +209
6 EPIQ PARTNERS, LLC 0.77% of their portfolio MINNEAPOLIS, MN 87,13487.1k $1.1m $1.1m 0.77% Reduced -32.3k -32,301
7 Shaker Financial Services, LLC 0.31% of their portfolio Arlington, VA 58,92358.9k $770.7k $770.7k 0.31% Reduced -43.8k -43,836
8 FIRST MANHATTAN CO. LLC. 0.00% of their portfolio NEW YORK, NY 30,50030.5k $398.9k $398.9k 0.00% Reduced -3.5k -3,500
9 RAYMOND JAMES & ASSOCIATES 0.00% of their portfolio ST PETERSBURG, FL 30,16030.2k $394.5k $394.5k 0.00% Reduced -2.3k -2,334
10 SkyView Investment Advisors, LLC 0.07% of their portfolio SHREWSBURY, NJ 29,92329.9k $391.0k $391.0k 0.07% Reduced -2.6k -2,567
11 Ancora Advisors LLC 0.01% of their portfolio Cleveland, OH 29,47629.5k $385.5k $385.5k 0.01% Added +4.0k +3,976
12 Matisse Capital 0.15% of their portfolio PORTLAND, OR 22,78622.8k $298.0k $298.0k 0.15% Unchanged
13 OSAIC HOLDINGS, INC. 0.00% of their portfolio SCOTTSDALE, AZ 21,87321.9k $286.1k $286.1k 0.00% Reduced -53.6k -53,584
14 Alpine Global Management, LLC 0.05% of their portfolio NEW YORK, NY 21,42421.4k $280.2k $280.2k 0.05% Reduced -21.4k -21,424
15 Sowell Financial Services LLC 0.01% of their portfolio NORTH LITTLE ROCK, AR 17,36917.4k $227.0k $227.0k 0.01% Unchanged
16 Private Advisor Group, LLC 0.00% of their portfolio MORRISTOWN, NJ 16,46216.5k $215.3k $215.3k 0.00% Added +2.0k +2,000
17 HARBOUR INVESTMENTS, INC. 0.01% of their portfolio MADISON, WI 16,28416.3k $213.0k $213.0k 0.01% Added +360 +360
18 NWF Advisory Services Inc. 0.03% of their portfolio Los Angeles, CA 15,90015.9k $208.0k $208.0k 0.03% Reduced -600 -600
19 LANARK FINANCIAL, INC. 0.02% of their portfolio BIRMINGHAM, AL 15,60315.6k $204.0k $204.0k 0.02% Added +125 +125
20 Live Oak Private Wealth LLC 0.03% of their portfolio WILMINGTON, NC 14,85314.9k $194.3k $194.3k 0.03% Unchanged
21 NewEdge Advisors, LLC 0.00% of their portfolio NEW ORLEANS, LA 14,10414.1k $184.5k $184.5k 0.00% Added +2.9k +2,904
22 WELLS FARGO & COMPANY/MN 0.00% of their portfolio SAN FRANCISCO, CA 14,08914.1k $184.3k $184.3k 0.00% Reduced -4.3k -4,299
23 PATRON PARTNERS, LLC 0.11% of their portfolio HOUSTON, TX 13,82513.8k $180.8k $180.8k 0.11% Unchanged
24 BRIGHTON JONES LLC 0.01% of their portfolio SEATTLE, WA 13,24613.2k $173.3k $173.3k 0.01% Unchanged
25 HUB Investment Partners, LLC 0.01% of their portfolio AUSTIN, TX 12,90012.9k $168.7k $168.7k 0.01% New
26 HighTower Advisors, LLC 0.00% of their portfolio CHICAGO, IL 12,78012.8k $153.0k $153.0k 0.00% Added +1.4k +1,439
27 COMMONWEALTH EQUITY SERVICES, LLC 0.00% of their portfolio WALTHAM, MA 12,32212.3k $161.0k $161.0k 0.00% New
28 LANDSCAPE CAPITAL MANAGEMENT, L.L.C. 0.01% of their portfolio Englewood, NJ 12,03212.0k $157.4k $157.4k 0.01% Reduced -2.6k -2,612
29 Atlas Wealth LLC 0.02% of their portfolio CINCINNATI, OH 10,37110.4k $138.3k $138.3k 0.02% New
30 Dynamic Advisor Solutions LLC 0.00% of their portfolio PHOENIX, AZ 10,35510.4k $135.4k $135.4k 0.00% Reduced -190 -190
31 Crewe Advisors LLC 0.01% of their portfolio SALT LAKE CITY, UT 6,9707.0k $91.2k $91.2k 0.01% Unchanged
32 UBS Group AG 0.00% of their portfolio ZURICH, V8 6,5036.5k $85.1k $85.1k 0.00% Reduced -780 -780
33 ROYAL BANK OF CANADA 0.00% of their portfolio TORONTO, A6 2,1492.1k $28.0k $28.0k 0.00% Reduced -221 -221
34 WINMILL & CO. INC 0.01% of their portfolio WALPOLE, NH 2,0002.0k $26.2k $26.2k 0.01% Unchanged
35 TUCKER ASSET MANAGEMENT LLC 0.01% of their portfolio LITTLETON, CO 1,9241.9k $25.2k $25.2k 0.01% Reduced -768 -768
36 BESSEMER GROUP INC 0.00% of their portfolio WOODBRIDGE, NJ 224224 $3.0k $3.0k 0.00% Added +48 +48
37 CVA Family Office, LLC 0.00% of their portfolio DENVER, CO 3939 $510 $510 0.00% Unchanged
38 CONCOURSE FINANCIAL GROUP SECURITIES, INC. 0.00% of their portfolio BIRMINGHAM, AL 00 $0 $0 0.00% Unchanged