Form 4 for SPE SPECIAL OPPORTUNITIES FUND, INC.
Accepted 2026-06-04 16:11:03 ET · period of report 2026-06-02 · accession 0001398344-26-010332 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2026-06-04 16:11 | 2026-06-02+ | SPE | Dakos Andrew | Pres, CEO, Dir, Affiliate of Adviser | S - Sale | $14.09 | -6,261 | 0 | -100% | -$88.2K |
| DI | 2026-06-04 16:11 | 2026-06-03 | SPE | Dakos Andrew | Pres, CEO, Dir, Affiliate of Adviser | S - Sale | $14.07 | -133 | 0 | -100% | -$1,871 |
| D | 2026-06-04 16:11 | 2026-06-02 | SPE | Dakos Andrew | Pres, CEO, Dir, Affiliate of Adviser | S - Sale | $25.00 | -200 | 0 | -100% | -$5,000 |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2026-06-02 | S | D | 1,077 | $14.02 | 5,184 | D | — | — | (F2) Amount includes shares acquired through the issuer's in-kind stock distribution in January 2026. |
| 2 | Common | Common Stock | 2026-06-03 | S | D | 5,184 | $14.11 | 0 | D | — | — | (F1) The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions ranging from $14.04 to $14.24, inclusive. The reporting person hereby undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote to this Form 4. |
| 3 | Common | Common Stock | 2026-06-03 | S | D | 133 | $14.07 | 0 | I By Limited Partnership | — | — | (F3) The Reporting Person disclaims beneficial ownership of the securities held Indirectly, and this report should not be deemed an admission that the Reporting Person is the beneficial owner of such securities for purposes of Section 16 or for any other purposes. (F4) Shares were acquired by the limited partnership through the issuer's in-kind stock distribution in January 2026. |
| 4 | Derivative | 2.75% Cconvertible Preferred Stock, Series C | 2026-06-02 | S | D | 200 | $25.00 | 0 | D | $0.00 · — to — | 343 Common Stock | (F5) 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 1.7190 shares of common stock for each share of Preferred Stock held. (F6) The shares of Preferred Stock will be redeemed by the Issuer if not converted prior to January 21, 2027. (F5) 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 1.7190 shares of common stock for each share of Preferred Stock held. |