|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DWS Enhanced Commodity Strategy Fund, Inc.
|
July 22,2010
|
23338Y100
|
GCS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
1. To consider and vote upon the election of Ms. Dawn-Marie Driscoll, Messrs. John W. Ballantine and Henry P. Becton,Jr. as Class I Directors of the Fund, each to hold office until the Fund's annual meeting of stockholders held during its 2012-2013 fiscal
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2. To consider and vote upon the election of Ms. Rebecca W. Rimel, Messrs. Paul K. Freeman, William McClayton, William N. Searcy, Jr. and Robert H. Wadsworth as Class III Directors of the Fund, each to hold office until the Fund's annual meeting of stockholders
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
3. To consider and vote upon an Agreement and Plan of Reorganization and the transactions it contemplates, including the transfer of all of the assets of DWS Enhanced Commodity Strategy Fund, Inc. (the "ECS Closed-End Fund") to DWS Enhanced Commodity Strat
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
If properly presented at the meeting, a stockholder proposal to terminate the Investment Management Agreement between the Fund and Deutsche Investment Management Americas, Inc.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Premium Income Muni Fund-Series W
|
July 27. 2010
|
67062T407
|
NPI APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2A- To approve the elimination of the Fund's fundamental policies relating to investments in Municipal Securities and below Investment Grade Securities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2B- To approve the new fundamental policy relating to investments in Municipal Securities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2C- To approve the elimination of the Fund's fundamental policy relating to investment in other Investment Companies.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2D- To approve the elimination of the Fund's fundamental policy relating to Commodities
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2E- To approve the new fundamental policy relating to Commodities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2F- To approve the elimination of the Fund's fundamental policies relation to Derivatives and Short Sales.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Premium Income Muni Fund-Series F
|
July 27. 2010
|
67062T605
|
NPI APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2A- To approve the elimination of the Fund's fundamental policies relating to investments in Municipal Securities and below Investment Grade Securities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2B- To approve the new fundamental policy relating to investments in Municipal Securities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2C- To approve the elimination of the Fund's fundamental policy relating to investment in other Investment Companies.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2D- To approve the elimination of the Fund's fundamental policy relating to Commodities
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2E- To approve the new fundamental policy relating to Commodities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2F- To approve the elimination of the Fund's fundamental policies relation to Derivatives and Short Sales.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Performance Plus Muni Fund-Series W.
|
July 27. 2010
|
67062P405
|
NPP ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2A- To approve the elimination of the Fund's fundamental policies relating to investments in Municipal Securities and below Investment Grade Securities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2B- To approve the new fundamental policy relating to investments in Municipal Securities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2C- To approve the elimination of the Fund's fundamental policy relating to investment in other Investment Companies.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2D- To approve the elimination of the Fund's fundamental policy relating to Commodities
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2E- To approve the new fundamental policy relating to Commodities.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2F- To approve the elimination of the Fund's fundamental policies relation to Derivatives and Short Sales.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Insured Quality Muni Fund-Series W
|
July 27. 2010
|
67062N301
|
NQI ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Insured Quality Muni Fund-Series M
|
July 27. 2010
|
67062E400
|
NQM ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Insured Quality Muni Fund-Series TH
|
July 27. 2010
|
67062N608
|
NQI ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DWS RREEF World Real Estate & Tactical Strategies Fund, Inc.
|
8/9/2010
|
23339T209
|
DRP
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
against
|
Western's proposal to elect four nominees to serve as Class III Directors of the Board of Directors of the Fund(the"Board") until the 2013 annual meeting of stockholders. 01) Neil Chelo 02) Robert H. Daniels 03) Gregory R. Dube 04) Arthur D. Lipson
|
shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
against
|
Western's Proposal that the Board take the necessary steps to declassify the Board so that all directors are elected on an annual basis.
|
shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DWS RREEF World Real Estate & Tactical Strategies Fund, Inc.
|
8/9/2010
|
23339T209
|
DRP
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Election of Class III Board Members: 01) Kenneth C. Froewiss 02) Rebecca W. Rimel 03) William N. Searcy, Jr. 04) Robert H. Wadsworth
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
against
|
If properly presented, a stockholder proposal regarding board declassification.
|
shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Korea Equity Fund
|
8/24/2010
|
50063B104
|
KEF
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-William G. Baker,Jr.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Ratification of the selection of Ernst & Young as the Fund's independent Registered Public Accounting Firm for the fiscal year ending October 31, 2010
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
A Shareholder proposal requesting that the Board of Directors take action seeking to convert the Fund to an internal Fund and to establish a fundamental policy requiring the Fund to make periodic offers to repurchase between 5% and 25% of its outstanding shares at approximately net asset value, as more particularly described in the proxy statement.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Korea Equity Fund
|
8/24/2010
|
50063B104
|
KEF
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
Election of one Director 01) Phillip Goldstein
|
Shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Ratification of the selection of Ernst & Young as the Fund's independent Registered Public Accounting Firm for the fiscal year ending October 31, 2010
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
To request that the Board take action to convert the Fund to an interval Fund and establish related Fundamental Policy.
|
Shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
To Terminate the management agreement between the Fund and Nomura Asset Management USA Inc.
|
Shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
To request that the Board authorize a self-tender offer for all outstanding common shares of the Fund at net asset value (NAV).
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BLK CA INV QLTY MUNI TR
|
9/2/2010
|
09247U107
|
RAA
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve the liquidation and dissolution of the fund pursuant to the plan of liquidation and dissolution.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To transact such other business as may properly come before the meeting or any adjournments, postponements or delays thereof.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BLK CA INV QLTY MUNI TR W7
|
9/2/2010
|
09247U206
|
RAA APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve the liquidation and dissolution of the fund pursuant to the plan of liquidation and dissolution.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To transact such other business as may properly come before the meeting or any adjournments, postponements or delays thereof.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BR CR Allocation Income TR III R7
|
9/2/2010
|
09249V400
|
BPP ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Kathleen F. Feldstein,03-Henry Gabbay,04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Insured Muni Income TR F7
|
9/2/2010
|
092479401
|
BYM APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Kathleen F. Feldstein,03-Henry Gabbay,04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock CA Muni 2018 Term Trust M7
|
9/2/2010
|
09249C204
|
BYM APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Kathleen F. Feldstein,03-Henry Gabbay,04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muni 2018 Term Trust W7
|
9/2/2010
|
09248C205
|
BPK APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Kathleen F. Feldstein,03-Henry Gabbay,04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muni Bond Trust T7
|
9/2/2010
|
09249H203
|
BBK APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Kathleen F. Feldstein,03-Henry Gabbay,04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2010 - June 30, 2011
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muni Bond Trust R7
|
9/2/2010
|
09249H302
|
BBK APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Kathleen F. Feldstein,03-Henry Gabbay,04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock NY Muni Bond Trust T7
|
9/2/2010
|
09249P205
|
BQH ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Kathleen F. Feldstein,03-Henry Gabbay,04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muniholdings NY Insured E
|
9/2/2010
|
09255C601
|
MHN APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Richard S. Davis,03-Frank J. Fabozzi,04-Kathleen F. Feldstein,05-James T. Flynn,06-Henry Gabbay,07Jerrold B. Harris,08-R.Glenn Hubbard,09-W. Carl Kester,10-Karen P.Robards
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muniholdings Fund Inc C
|
9/2/2010
|
09253N401
|
MHD APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Richard S. Davis,03-Frank J. Fabozzi,04-Kathleen F. Feldstein,05-James T. Flynn,06-Henry Gabbay,07Jerrold B. Harris,08-R.Glenn Hubbard,09-W. Carl Kester,10-Karen P.Robards
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muniholdings NY Insured D
|
9/2/2010
|
09255C502
|
MHN APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Richard S. Davis,03-Frank J. Fabozzi,04-Kathleen F. Feldstein,05-James T. Flynn,06-Henry Gabbay,07Jerrold B. Harris,08-R.Glenn Hubbard,09-W. Carl Kester,10-Karen P.Robards
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muniholdings Fund II, Inc Class A
|
9/2/2010
|
09253P208
|
MUH APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Richard S. Davis,03-Frank J. Fabozzi,04-Kathleen F. Feldstein,05-James T. Flynn,06-Henry Gabbay,07Jerrold B. Harris,08-R.Glenn Hubbard,09-W. Carl Kester,10-Karen P.Robards
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muniholdings NY Insured B
|
9/2/2010
|
09255C304
|
MHN APRS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1 - 01-Richard E. Cavanaugh,02-Richard S. Davis,03-Frank J. Fabozzi,04-Kathleen F. Feldstein,05-James T. Flynn,06-Henry Gabbay,07Jerrold B. Harris,08-R.Glenn Hubbard,09-W. Carl Kester,10-Karen P.Robards
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Global Income & Currency Fund Inc.
|
9/8/2010
|
378968A22
|
GCF
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 01- Robert P. Bremner,02-Jack B. Evans,03-Willian C. Hunter,04-David J. Kundert,05-William J. Schneider,06-Judith M. Stockdale,07-Carole E. Stone,08-Terence J. Toth,09-John P.Amboian
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve a new investment management agreement between the fund and Nuveen Asset Management.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Value Micro-Cap Trust Inc.
|
9/22/2010
|
780915104
|
RMT
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for the following Nominees: 01-Richard M. Galkin,02-mark R. Fetting,03_Arthur S. Mehlman
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Value Trust Inc.
|
9/22/2010
|
780910105
|
RVT
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for the following Nominees: 01-Richard M. Galkin,02-mark R. Fetting,03_Arthur S. Mehlman
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Claymore Dividend & Income Fund
|
9/23/2010
|
18385J105
|
DCS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for the following Nominees: 01-Robert B. Karn III,02-Ronald E. Toupin, Jr.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Casey's General Stores,Inc.
|
9/23/2010
|
147528103
|
CASY
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or Opposition
|
|
SPE voted "For"
|
against
|
Election of Directors. (01) Howard W. bates (02) Hugh L. Cooley (03) G terrence Coriden (04) Mickey Kim (05) D.O. Mann (06) Kevin J. Martin (07) David B. McKinney (08) Marc E. Rothbart
|
Opposition
|
|
SPE voted "For"
|
against
|
Repeal any new by-laws or amendments to the Second Amended and Restated By-Laws of Casey's General Stores, Inc. (the"By-Laws") adopted by the Board of Directors of Casey's General Stores, Inc., without shareholder approval, after june 10, 2009 (which is the date of the last publicly disclosed amendment to the By-Laws as of the date of the proxy statement) and prior to the time of adoption of this proposal by the shareholders of Casey's General Stores, Inc.
|
Opposition
|
|
SPE voted "For"
|
against
|
Ratify the appointment of KPMG LLP as the independent registered public accounting firm of Casey's General Stores, Inc. for the fiscal year ending April 30, 2011
|
Opposition
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen CA Performance Plus Muni Fund-W
|
11/16/2010
|
67062Q403
|
NCP ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen CA Dividend Adv Muni FD-Sem TH
|
11/16/2010
|
67066Y204
|
NAC ARPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1A - 01-John P. Amboian,02-Robert P. Bremner,03-Jack B. Evans,04-David J. Kundert,05-Judith M. Stockdale,06-Carole E. Stone,07-Terence J. Toth,08-William C. Hunter,09-William J. Schneider
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Accuride Corporation CV 7.5% 2/26/20
|
11/18/2010
|
00439TAA5
|
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or Opposition
|
|
SPE voted "For"
|
For
|
Approval of an amendment to Accuride's amended and restated certificate of incorporation to implement a reverse stock split of Accuride's outstanding common stock at an exchange ratio of 1-for-10 and the related proportional decrease in the number of authorized shares of accuride's common stock and preferred stock.
|
Issuer
|
|
SPE voted "For"
|
For
|
Approval of the adjournment of the special meeting, if necessary, to solicit additional proxies in favor of item 1.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Macquarie/1st Tr GL Ifra/UT Div & Inc.
|
12/6/2010
|
55607w100
|
MFD
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Proposal to approve a new investment management agreement with First Trust Advisors L.P. for the Fund.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Proposal to approve a new sub-advisory agreement with Macquarie Capital Investment Management LLC for the Fund.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Proposal to approve a new sub-advisory agreement with Four Corners Capital Management, LLC for the Fund.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DWS RREEF World Real Estate & Tactical Strategies Fund, Inc.
|
1/12/2011
|
23339T209
|
DRP
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To consider and vote upon agreement and plan of reorganization and the transactions it contemplates, including the transfer of all of the assets of DWS RREEF World Real Estate Securities Fund, a series of DWS Advisor Funds ("RREEF GLOBAL"), all as more fully described in the proxy statement.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
General Motors 7.5% Pfd 7/1/44 Series
|
2/11/2011
|
370442121
|
GMS
|
|
General Motors 5.25% Pfd Ser B
|
2/11/2011
|
370442733
|
GBM
|
|
General Motors 6.25% Pfd Ser C
|
2/11/2011
|
370442717
|
-
|
|
General Motors 7.375% Pfd
|
2/11/2011
|
370442766
|
HGM
|
|
General Motors 7.375% Pfd
|
2/11/2011
|
370442725
|
BGM
|
|
General Motors 7.25% Pfd
|
2/11/2011
|
370442758
|
RGM
|
|
General Motors 7.25% Pfd
|
2/11/2011
|
370442774
|
XGM
|
|
General Motors 7.25% Pfd
|
2/11/2011
|
370442816
|
GMW
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
Votes cast on-line 1/28/11 - all shares FOR
|
For
|
To accept the plan,as further described in the consent solicitation package.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
RVS LaSalle International Real Estate Fund
|
2/15/2011
|
76932W102
|
SLS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve an agreement and plan of reorganization between Riversource Real Estate Fund, Riversource LaSalle Global Real Estate Fund, Riversource LaSalle Monthly Dividend Real Estate Fund, Riversource LaSalle International Real Estate Fund and Columbia Real Estate Equity Fund.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Bancroft Fund Ltd.
|
2/18/2011
|
59695106
|
BCV
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Thomas H. Dinsmore,02-Daniel D. Harding
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Proposal to ratify selection of accountants
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MVC Capital, Inc.
|
3/10/2011
|
553829102
|
MVC
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Emilio Dominianni,02-Gerald Hellerman,03-Warren Holtsberg,04-Rpbert Knapp,05-William Taylor,06-Michael Tokarz
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To Ratify the selection of Ernst & Young LLP as the Fund's independent registered Public Accounting Firm.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Adams Express Company
|
3/22/2011
|
006212104
|
ADX
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Enrique R. Arzac,02-Phyllis O. Bonanno,03-Kenneth J. Dale,04-Daniel E. Emerson,05-Frederic A. Escherich,06-Roger W. Gale,07-Thomas H. Lenach,08-Kathleen T. McGahran,09-Douglas G. Ober,10-Craig R. Smith
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
The selection of Pricewaterhousecoopers LLP as independent public auditors.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
If properly presented, to act upon a stockholder proposal recommending that the Board of Directors consider causing the company to conduct a self-tender offer.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Tri-Continental Corporation
|
4/14/2011
|
895436103
|
TY
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-patricia M. Flynn,02-Stephen R. Lewis Jr.,03-Catherine James Paglia
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To ratify the selection of Ernst & Young LLP as the Corporation's independent registered Public Accounting Firm.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve the changes to the Corporation's fundamental investment policy regarding securities lending.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Liberty All-Star Equity Fund
|
4/14/2011
|
530158104
|
USA
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Thomas W. Brock,02-George R. Gaspari
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Macquarie/1st Tr GL Ifra/UT Div & Inc.
|
4/18/2011
|
55607w100
|
MFD
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommended: A vote for the following nominees 1-01-Robert F. Keith
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
LMP Capital & Income Fund Inc.
|
4/29/2011
|
50208A102
|
SCD
|
|
Vote
|
Management
Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Riordan Roett,02-Jeswald W. Salacuse
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
First Opportunity Fund Inc.
|
5/2/2011
|
33587T108
|
FOFI
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors recommend: a vote for election of the following nominees 2-01-Richard I. Barr,02-John S. Horejsi,03-Susan L. Ciciora,04-Dr. Dean L. Jacobsen,05-Joel W. Looney
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve an amendment to the charter classifying the Board of Directors into three separate classes and making related changes to the charter.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
H&Q Life Sciences Investors
|
5/2/2011
|
404053100
|
HQL
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve and adopt the amendment to the declaration of trust as discussed in the attached proxy statement.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Boulder Total Return Fund
|
5/2/2011
|
101541100
|
BTF
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve the elimination of the fund's fundamental investment policy prohibiting the fund from purchasing securities on margin.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To approve amendment to the fund's charter that would permit the fund's Directors that are elected by holders of the fund's preferred stock, at such time that the fund's Pref Stock is no longer outstanding, to continue to serve as Directors of the fund for the remainder of his or her term and until his or her successor is duly elected and qualified.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Boulder Growth & Income Fund
|
5/2/2011
|
101507101
|
BIF
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
1 -To approve amendment to the fund's charter that would permit the fund's Directors that are elected by holders of the fund's preferred stock, at such time that the fund's Pref Stock is no longer outstanding, to continue to serve as Directors of the fund for the remainder of his or her term and until his or her successor is duly elected and qualified.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2- To approve the removal of the fund's fundamental investment policy requiring the fund to invest at least 25% of its total assets in Real Estarte related companied
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Multi-Strategy Income & Growth Fund 2
|
5/6/2011
|
67073D102
|
JQC
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-john P. Amboian.,02-David J. Kundertr,03-Terence J. Toth
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Multi-Strategy Income & Growth Fund
|
5/6/2011
|
67073B106
|
JPC
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-john P. Amboian.,02-David J. Kundertr,03-Terence J. Toth
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
| Period: | July 1, 2010 - June 30, 2011 |
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Alpine Global Premier Properties Fund
|
5/9/2011
|
02083A103
|
AWP
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Jeffrey E. Wacksman
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Zweig Total Return Fund, Inc.
|
5/10/2011
|
989837109
|
ZTR
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Wendy Luscombe,02-R.Keith Walton
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GDL Fund Common
|
5/16/2011
|
361570104
|
GDL
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Clarence A. Davis,02-Arthur V. Ferrara
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Gabelli Global Multimedia Trust
|
5/16/2011
|
36239Q109
|
GGT
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Frank J. Fahrenkopf Jr.,02-Werner J. Roeder,03-Salvatore J. Zizza
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset Premier Bond Fund
|
5.17.11
|
957664204
|
WEA APRPS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-Ronald J. Arnault,02-Anita L. Defrantz,03-William E.B. Siart,04-Jaynie M. Studenmund,05-Avedick B. Poladian,06-R. Jay Gerken,07-Ronald L. Olson
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Sunamerica Focused Alpha Growth Fund
|
5/19/2011
|
867037103
|
FGF
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors recommend: a vote for election of the following nominees 1-01-Richard W. Grant,02-Stephen J. Gutman,03-Peter A. Harbeck
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
AGN
|
2B- Shareholder Proposal Requesting that all advisory and management agreements between Sunamerica Focused Alpha Growth Fund, Inc. and Sunamerica Asset Management Corp. be terminated as soon as possible.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Taiwan Greater China Fund
|
5/27/2011
|
874037104
|
TFC
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or Opposition
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
A vote for election of the following nominees 1- 01-Mr. James W. Miller, Jr.,02-Mr. Kevin T.Kogler,03-Mr. Steven H. Sutro
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2A - To approve the conversion of the trust from a closed-end investment company into an open-end investment company.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2B - Consider whether to approve an investment advisory agreement between CCM Partners L.P.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2C- Consider whether to approve an investment sub-advisory agreement between CCM Partners L.P. and Nikko Asset Management Co. Ltd.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2D - Approve an amendment to trust's amended and restated declaration of trust ("Declaration of Trust") eliminating staggered nature of trust's board of trustees ("Board of Trustees" or "Board")
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2E - Consider whether to approve an amendment to the declaration of trust to allow for the trust to have multiple funds.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2F -Consider whether to approve an amendment to the declaration of trust to allow for the trust to make in-kind redemptions.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2G - To approve an amendment to investment objective of trust to expand the primary geographic scope of the trust's investments from Republic of China to Greater China region.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2H - To approve an amendment to the investment policies of the trust to expand the Geographic region in which the trust must invest, under normal circumstances, at least 80% of its net assets, from the Republic of China to the Greater China region.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2I - Consider whether to approve an amendment to the investment policies of the trust removing restrictions on certain investment activities of the trust.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DWS High Income Opportunities Fund
|
6/3/2011
|
23339M204
|
DHG
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-John W. Ballantine#,02-Dawn-Marie Driscoll#,03-Kenneth C. Froewiss#,04-Rebecca W. Rimel#,05-Henry P.Becton,Jr.*,06-Paul K. Freeman*,07-William Mcclayton*,08-Jean Gleason Stromberg*
|
Issuer
|
|
Note - # Class I Directors
|
|||
|
* Class III Directors
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Equus Total Return, Inc.
|
6/10/2011
|
294766100
|
EQS
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or Opposition
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Election of Directors. (01) Fraser Atkinson(02) Alessandro Benedetti (03) Richard F. Bergner (04) Kenneth I. Denos (05) Gregory J. Flanagan (06) Henry W. Hankinson (07) john A. Hardy (08) Robert L Knauss (09) Bertrand Des Pallieres
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2 - To ratify the selection of UHY as the fund's independent registered Public Accountant Firm for the fiscal year ending December 31, 2011
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
3 - To approve ,in a non-binding vote, the compensation paid to the fund's executive officers, as disclosed pursuant to item 402 of regulation S-K, including the compensation discussion and analysis, compensation tables, and narrative discussion.
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
1 YR
|
4 - To recommend, in a non-binding vote, the frequency of an advisory vote to approve the compensation of the fund's executive officers.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The New Ireland Fund, Inc.
|
6/7/2011
|
645673104
|
IRL
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors recommend: a vote for election of the following nominees 1-01-Margaret Duffy
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
2- the approval of the investment advisory agreement between the fund and Kleinwort Benson Investors international LTD.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MACQUARIE Global Infrastructure Total Return
|
6/23/2011
|
55608D101
|
MGU
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors recommend: a vote for election of the following nominees 1-01-Brad Frishberg,02-Chris Lavictoire Mahai
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Neuberger Berman R/E Sec Income
|
6/29/2011
|
64190A103
|
NRO
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors recommend: a vote for election of the following nominees 1-01-Martha C. Goss,02-Crobert A. Kavesh,03-Edward I. O'brien,04-Candace L. Straight,05-Joseph V.Amato
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Liberty All-Star Growth Fund
|
6/30/2011
|
529900102
|
ASG
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors Recommend: A vote for election of the following nominees 1-01-john A. Benning,02-Richard C. Rantzow
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Morgan Stanley Asia-Pacific
|
6/30/2011
|
61744U106
|
APF
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors recommend: a vote for election of the following nominees 1-01-Kathleen A. Dennis,02-Joseph J. Kearns,03-Michael E. Nugent,04-Fergus Reid
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2010 - June 30, 2011
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
H&Q Life Sciences Investors
|
7/8/2011
|
404053100
|
HQL
|
|
Vote
|
Management Recommended
Vote
|
Proposal
|
Propose by issuer
or shareholder
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
Directors recommend: a vote for election of the following nominees 1-01-Eric Oddleifson,02-Oleg M. Pohotsky,03-William S. Reardon
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
For
|
To ratify the selection of Deloitte & Touche LLP as the independent registered public accountants of the fund for the fiscal year ending September 30, 2011
|
Issuer
|
|
SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
|
Against
|
Shareholder proposal regarding annual terms for trustees, if properly presented.
|
Shareholder
|