SPE on NYSE

SPECIAL OPPORTUNITIES FUND, INC.

American company, incorporated in Maryland, listed on NYSE (SPE). Summary from the record

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Last updated Oct 19, 2026.

Overview

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TickerSPE on NYSE¹
HeadquartersCincinnati, Ohio¹
Incorporated inMD²
Business addressC/O Ultimus Fund Solutions, Llc, 225 Pictoria Drive, Suite 450, Cincinnati, Oh 45246²

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Leadership

Who has led SPECIAL OPPORTUNITIES FUND, INC., and when. Pick a name to see everywhere that person has worked.

Chief executive

Andrew Dakos2026–now

Chair

Phillip Goldstein2012–now

President

Chief financial officer

Gerald Hellerman2012–2016

Chief operating officer

Andrew Shoup2006

2010201520202025

Chief executive officerAndrew Dakos Jun 4, 2026 to now³
ChairPhillip Goldstein Jun 26, 2012 to now⁴
PresidentAndrew Dakos Jul 6, 2012 to now⁵
PresidentKai Sotorp Sep 26, 2006 to Sep 26, 2006⁶
Chief financial officerGerald Hellerman Jun 29, 2012 to Nov 2, 2016⁷
Chief operating officerAndrew Shoup Sep 26, 2006 to Sep 26, 2006⁸

Board members and other officers (19)

CCOGerald Hellerman Aug 30, 2016 to Mar 10, 2020⁹
Vice President and TreasurerRajeev P. Das Jan 26, 2010 to Apr 8, 2022¹⁰
VP & Assistant TreasurerNancy Osborn Feb 13, 2007 to Feb 13, 2007¹¹
VP and Assistant TreasurerSteven J. Lemire Nov 15, 2007 to Nov 15, 2007¹²
Vice President & Asst.TreasureMichael Flook Jul 20, 2006 to Jul 20, 2006¹³
Vice Pres. & Asst. TreasurerRose Ann Bubloski Sep 26, 2006 to Sep 26, 2006¹⁴
Board memberMoritz A. Sell Apr 1, 2026 to now¹⁵
Board memberJaclyn L. Shapiro Mar 26, 2025 to now¹⁶
Board memberMarc Lunder Jan 7, 2015 to Jan 28, 2022¹⁷
Board memberGerald Hellerman Aug 24, 2009 to Apr 7, 2022¹⁸
Board memberJames M. Chadwick Sep 11, 2009 to Oct 11, 2012¹⁹
Board memberAndrew Dakos Sep 14, 2009 to now²⁰
Board memberPhillip Goldstein Sep 14, 2009 to Aug 26, 2011²¹
Board memberRajeev P. Das Sep 14, 2009 to Sep 14, 2009²²
Board memberBen H. Harris Sep 16, 2009 to May 12, 2021²³
Board memberCharles C. Walden Dec 11, 2009 to Jan 2, 2024²⁴
Board memberAlan S. Bernikow Feb 7, 2006 to Feb 7, 2006²⁵
Board memberBernard H. Garil Feb 7, 2006 to Feb 7, 2006²⁶
Board memberHeather R. Higgins Feb 7, 2006 to Feb 7, 2006²⁷

Former names

INSURED MUNICIPAL INCOME FUND INCDec 4, 1996 to Dec 11, 2009²
PAINEWEBBER PREMIER INSURED MUNICIPAL INCOME FUND INCNov 29, 1994 to Jan 19, 1996²

Timeline

Jun 4, 2026New chief executive Andrew Dakos becomes CEO³

Filings

152 filings to the SEC since October 2021: 1 major events, 30 insider forms, 22 large holders, 99 other. The latest 20:

Sep 4, 2026N-CSRS CERTIFIED SEMI-ANNUAL SHAREHOLDER REPORT EDGAR
Aug 31, 2026NPORT-P EDGAR
Aug 20, 2026N-PX EDGAR
Aug 7, 2026SCHEDULE 13G/A EDGAR
Jun 11, 2026144 EDGAR
Jun 4, 20264 EDGAR
Jun 2, 2026144 EDGAR
Jun 1, 2026NPORT-P EDGAR
May 11, 2026SCHEDULE 13G/A EDGAR
Apr 1, 20263 EDGAR
Mar 25, 2026144 EDGAR
Mar 25, 2026144 EDGAR
Mar 10, 2026N-CSR CERTIFIED ANNUAL SHAREHOLDER REPORT EDGAR
Mar 9, 20264 EDGAR
Mar 6, 2026144 EDGAR
Mar 5, 2026N-CEN EDGAR
Mar 2, 20264 OWNERSHIP DOCUMENT EDGAR
Feb 26, 2026144 EDGAR
Feb 25, 20264 OWNERSHIP DOCUMENT EDGAR
Feb 19, 2026144 EDGAR

The 152 filings since October 2021 can be filtered by form type and year here when JavaScript is on.

Every filing from the last five years, summarized. The full record is on SEC EDGAR.

Insider trades

17 open-market trades by officers, directors and large owners since October 2021: 12 buys and 5 sales. Grants, option exercises and gifts are left out.

Date	Who	Trade	Shares	Price	Value	Filing
Jun 3, 2026	Dakos AndrewPresident and CEO	Sale	5,317	$14.11	$75.0K	Form 4
Jun 2, 2026	Dakos AndrewPresident and CEO	Sale	1,077	$14.02	$15.1K	Form 4
Dec 30, 2025	Dakos AndrewPresident and CEO	Sale	4,098	$14.66	$60.1K	Form 4
Apr 4, 2025	GOLDSTEIN PHILLIPChairman and Secretary	Buy	3,000	$13.80	$41.4K	Form 4
Sep 20, 2024	Dakos AndrewPresident and CEO	Sale	377	$13.74	$5.2K	Form 4
Dec 28, 2023	GOLDSTEIN PHILLIPChairman and Secretary	Buy	1,363	$11.78	$16.1K	Form 4
Apr 6, 2023	GOLDSTEIN PHILLIPChairman and Secretary	Buy	5,000	$10.85	$54.2K	Form 4
Apr 5, 2023	GOLDSTEIN PHILLIPChairman and Secretary	Buy	2,400	$10.85	$26.0K	Form 4
Mar 30, 2023	GOLDSTEIN PHILLIPChairman and Secretary	Buy	1,568	$10.85	$17.0K	Form 4
Mar 29, 2023	GOLDSTEIN PHILLIPChairman and Secretary	Buy	675	$10.74	$7.2K	Form 4
Feb 3, 2023	GOLDSTEIN PHILLIPChairman and Secretary	Buy	2,000	$11.85	$23.7K	Form 4
Jan 30, 2023	GOLDSTEIN PHILLIPChairman and Secretary	Buy	2,000	$11.63	$23.3K	Form 4
Apr 6, 2022	HELLERMAN GERALDDirector	Buy	5,600	$14.79	$82.8K	Form 4
Feb 7, 2022	GOLDSTEIN PHILLIPChairman and Secretary	Buy	2,000	$14.76	$29.5K	Form 4
Jan 28, 2022	HELLERMAN GERALDDirector	Buy	600	$14.51	$8.7K	Form 4
Jan 26, 2022	HELLERMAN GERALDDirector	Buy	1,070	$14.65	$15.7K	Form 4
Dec 16, 2021	GOLDSTEIN PHILLIPChairman and Secretary	Sale	2,542	$15.55	$39.5K	Form 4

From Forms 4 filed with the SEC.

Major holders

Investors who own more than 5% of the shares must tell the SEC: a 13D if they may seek to influence the company, a 13G if they hold passively.

Focus Partners WealthSCHEDULE 13G/A, 4 filings Jan 8, 2026 to Aug 7, 2026²⁸
NorthCoast Asset Management LLCSCHEDULE 13G/A, 6 filings Sep 17, 2024 to Nov 6, 2025²⁹
Relative Value Partners Group, LLCSC 13G, 8 filings Feb 11, 2022 to Feb 12, 2024³⁰
CSS LLC/ILSC 13G/A, 2 filings Dec 29, 2023 to Feb 9, 2024³¹
RIVERNORTH CAPITAL MANAGEMENT, LLCSC 13G, 1 filing Feb 14, 2022³²

Held by these funds

The largest holders among investment managers' 13F reports for the quarter ending Jun 30, 2026, the top 25 of 45. Change is in shares since the quarter before.

Fund	Shares	Value	Share of the fund	Change
Focus Partners Wealth	1,245,185	$16.8M	0.0%	−90,333
Shaker Financial Services, LLC	664,992	$9.0M	2.8%	+292,949
Blue Bell Private Wealth Management, LLC	356,979	$4.8M	0.6%	+62,085
Css Llc/il	122,529	$1.7M	0.1%	+3,780
Scotia Capital Inc.	108,784	$1.5M	0.0%	−1,259
Advisors Asset Management, Inc.	106,335	$1.4M	0.0%	−919
Morgan Stanley	96,684	$1.3M	0.0%	+5,922
GatePass Capital, LLC	57,374	$772.8K	0.3%	−55,485
First Manhattan Co. Llc.	44,280	$596.5K	0.0%	No change
Oppenheimer & Co Inc	36,489	$491.5K	0.0%	+15,117
Raymond James Financial Inc	34,054	$458.7K	0.0%	+2,014
Lanark Financial, Inc.	26,664	$359.2K	0.0%	+10,007
Permanent Capital Management, LP	22,114	$297.9K	0.0%	New
Commonwealth Equity Services, LLC	21,854	$294.4K	0.0%	+5,644
Cetera Investment Advisers	20,443	$275.4K	0.0%	+571
Guggenheim Capital LLC	20,419	$275.0K	0.0%	−359
Osaic Holdings, Inc.	19,187	$258.4K	0.0%	−105
Sowell Financial Services LLC	17,933	$241.6K	0.0%	No change
Rivernorth Capital Management, LLC	17,348	$233.7K	0.0%	−64,721
TrueMark Investments, LLC	17,348	$233.7K	0.0%	+1,140
Leavell Investment Management, Inc.	16,800	$226.3K	0.0%	New
Ancora Advisors LLC	16,250	$218.9K	0.0%	−6,637
Susquehanna International Group, Llp	15,435	$207.9K	0.0%	+3,614
Live Oak Private Wealth LLC	15,333	$206.5K	0.0%	No change
Wolverine Asset Management LLC	14,490	$195.2K	0.0%	−80,793

13F reports cover disclosed long positions in U.S. stocks only.

Sources

The numbers on this page point here. Each one links to the record it came from.

1
SEC EDGARSPECIAL OPPORTUNITIES FUND, INC. filings on SEC EDGAR
2
SEC EDGARSPECIAL OPPORTUNITIES FUND, INC. filings on SEC EDGAR
3
SEC EDGARAndrew Dakos, Chief executive officer
4
SEC EDGARPhillip Goldstein, Chair
5
SEC EDGARAndrew Dakos, President
6
SEC EDGARKai Sotorp, President
7
SEC EDGARGerald Hellerman, Chief financial officer
8
SEC EDGARAndrew Shoup, Chief operating officer
9
SEC EDGARGerald Hellerman, CCO
10
SEC EDGARRajeev P. Das, Vice President and Treasurer
11
SEC EDGARNancy Osborn, VP & Assistant Treasurer
12
SEC EDGARSteven J. Lemire, VP and Assistant Treasurer
13
SEC EDGARMichael Flook, Vice President & Asst.Treasure
14
SEC EDGARRose Ann Bubloski, Vice Pres. & Asst. Treasurer
15
SEC EDGARMoritz A. Sell, Board member
16
SEC EDGARJaclyn L. Shapiro, Board member
17
SEC EDGARMarc Lunder, Board member
18
SEC EDGARGerald Hellerman, Board member
19
SEC EDGARJames M. Chadwick, Board member
20
SEC EDGARAndrew Dakos, Board member
21
SEC EDGARPhillip Goldstein, Board member
22
SEC EDGARRajeev P. Das, Board member
23
SEC EDGARBen H. Harris, Board member
24
SEC EDGARCharles C. Walden, Board member
25
SEC EDGARAlan S. Bernikow, Board member
26
SEC EDGARBernard H. Garil, Board member
27
SEC EDGARHeather R. Higgins, Board member
28
SEC EDGARFocus Partners Wealth SCHEDULE 13G/A on SPECIAL OPPORTUNITIES FUND, INC.
29
SEC EDGARNorthCoast Asset Management LLC SCHEDULE 13G/A on SPECIAL OPPORTUNITIES FUND, INC.
30
SEC EDGARRelative Value Partners Group, LLC SC 13G on SPECIAL OPPORTUNITIES FUND, INC.
31
SEC EDGARCSS LLC/IL SC 13G/A on SPECIAL OPPORTUNITIES FUND, INC.
32
SEC EDGARRIVERNORTH CAPITAL MANAGEMENT, LLC SC 13G on SPECIAL OPPORTUNITIES FUND, INC.