Focus Partners Wealth filed a Form 144 notice of proposed sale of 10,465 preferred shares of Special Opportunities Fund, Inc. on November 12, 2026, through Fidelity Brokerage Services LLC on the NYSE.

Key Highlights

  • Seller: Focus Partners Wealth, identified as a 10% stockholder of Special Opportunities Fund, Inc.
  • Shares to be sold: 10,465 preferred shares with an aggregate market value of $260,264.55, according to the filing.
  • Shares outstanding: The filing reports 2,235,775 preferred shares outstanding.
  • Approximate sale date: November 12, 2026, via Fidelity Brokerage Services LLC, 245 Summer Street, Boston, MA 02110.
  • Acquisition history: The shares were acquired through multiple open market purchases between December 30, 2022, and February 24, 2026, all paid by cash or check.
  • Prior sales: The filing reports nothing to report for securities sold during the past 3 months.
  • Remark: The filing states "shares are being sold by an underlying shareholder."

Focus Partners Wealth Discloses Proposed Preferred Stock Sale on NYSE

According to the Form 144 filing, Focus Partners Wealth, a 10% stockholder of Special Opportunities Fund, Inc. (NYSE:SPE), is proposing to sell 10,465 preferred shares with a stated aggregate market value of $260,264.55. The proposed sale is to be executed through Fidelity Brokerage Services LLC on the NYSE, with an approximate sale date of November 12, 2026. The filing was signed by Audrey Skillern as a duly authorized representative of Fidelity Brokerage Services LLC, acting as attorney-in-fact for Focus Partners Wealth.

The filing details the acquisition history of the shares proposed for sale. According to the disclosure, the shares were acquired through a series of open market purchases spanning from December 30, 2022, through February 24, 2026. Individual purchase lots ranged from 17 shares to 6,937 shares, with all transactions described as cash or check payments. The filing notes that no securities of the issuer were sold by Focus Partners Wealth during the past three months.

Special Opportunities Fund, Inc. is listed on the NYSE and is addressed care of Ultimus Fund Solutions, LLC, 225 Pictoria Drive, Suite 450, Cincinnati, Ohio 45246, according to the issuer information section of the filing. The SEC file number for the issuer is listed as 811-07528. The filing represents a notice of proposed sale only and does not confirm that a transaction has been completed.

What Was Disclosed

Focus Partners Wealth filed a Form 144 on November 12, 2026, disclosing a proposed sale of 10,465 preferred shares of Special Opportunities Fund, Inc. with an aggregate market value of $260,264.55, to be executed on the NYSE through Fidelity Brokerage Services LLC.