|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Clough Global Equity Fund
|
7/15/2014
|
18914C100
|
GLQ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-Directors: 01-Edmund J. Burke,02-John F. Mee
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Clough Global Allocation Fund
|
7/15/2014
|
18913Y103
|
GLV
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-Directors: 01-Adam D. Crescenzi,02-Jerry G. Rutledge,03-
Vincent W. Versaci
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Montgomery Street Income
Securities Inc.
|
7/22/2014
|
614115103
|
MTS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-Directors: 01-Richard J. Bradshaw,02-Victor L. Hymes,03-
Wendell G. Van Auken, 04-Nancy E. Wallace
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Consent cut-off
|
CUSIP
|
Ticker
|
|
Single Touch Systems, Inc.
|
7/31/2014
|
82932T107
|
SITO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-NOW, THEREFORE, IT IS RESOLVED, THAT THE STOCKHOLDERS OF THE COMPANY HEREBY APPROVE AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO AUTHORIZE THE BOARD OF DIRECTORS (THE "BOARD") OF THE COMPANY TO EFFECT THE REVERSE STOCK SPLIT, INCLUDING HAVING THE DISCRETION AS TO WHETHER OR ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meetting date
|
CUSIP
|
Ticker
|
|
HELIOS STRATEGIC INCOME FUND
|
7/18/2014
|
42328A203
|
H S A
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE THE AGREEMENT AND PLAN OF REORGANIZATION BETWEEN BROOKFIELD HIGH INCOME FUND INC. ("HHY") AND HELIOS STRATEGIC INCOME FUND, INC. ("HSA") AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING, AMONG OTHER THINGS: (I) THE TRANSFER BY HSA OF ALL OF ITS ASSETS TO HHY IN EXCHANGE SOLELY FOR NEWLY ISSUED ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BLACKROCK MUNY 2018 TERM
TRUST W7
|
7/30/2014
|
09248C205
|
BPK ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Directors: 01-Paul L. Audet,02-Michael J. Castellano,03-Glenn
Hubbard, 04-W. Carl Kester
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MADISON STRATEGIC SECTOR
PREMIUM FUND
|
7/31/2014
|
558268108
|
MSP
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold all Nominees
|
For
|
1-Directors: 01- FRANK E. BURGESS ,02- STEVEN P. RIEGE
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2014 - June 30,2015
|
|
Company Name
|
Meetting date
|
ISIN
|
Ticker
|
|
INVESCO ASIA TRUST PLC ORD UIT
|
8/1/2014
|
GB0004535307
|
IAT LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO RECEIVE THE REPORT OF THE DIRECTORS' AND FINANCIAL STATEMENTS FOR THE YEAR ENDED 30 APRIL 2014
|
Issuer
|
|
For
|
For
|
2-TO DECLARE A FINAL DIVIDEND AS RECOMMENDED
|
Issuer
|
|
For
|
For
|
3-TO APPROVE THE DIRECTORS' REMUNERATION POLICY
|
Issuer
|
|
For
|
For
|
4-TO APPROVE THE CHAIRMAN'S ANNUAL STATEMENT AND REPORT ON REMUNERATION
|
Issuer
|
|
For
|
For
|
5- TO RE-ELECT CAROL FERGUSON AS A DIRECTOR OF THE COMPANY
|
Issuer
|
|
For
|
For
|
6-TO RE-APPOINT THE AUDITOR AND AUTHORISE THE DIRECTORS TO DETERMINE THEIR REMUNERATION
|
Issuer
|
|
For
|
For
|
7-TO AUTHORISE THE DIRECTORS TO ALLOT SECURITIES
|
Issuer
|
|
For
|
For
|
8-TO AUTHORISE THE DIRECTORS TO ALLOT SECURITIES DISAPPLYING STATUTORY PRE-EMPTION RIGHTS
|
Issuer
|
|
For
|
For
|
9-TO AUTHORISE THE DIRECTORS TO BUY BACK UP TO 14.99 PER CENT OF THE COMPANY'S ISSUED ORDINARY SHARES
|
Issuer
|
|
For
|
For
|
10-TO APPROVE THE CANCELLATION OF THE SHARE PREMIUM ACCOUNT
|
Issuer
|
|
For
|
For
|
11-THAT THE PERIOD OF NOTICE REQUIRED FOR GENERAL MEETINGS OF THE COMPANY (OTHER THAN AGM'S) SHALL NOT BE LESS THAN 14 DAYS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Consent cut-off
|
CUSIP
|
Ticker
|
|
Winthrop Realty Trust
|
8/5/2014
|
976391300
|
FUR
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
APPROVAL OF THE PLAN OF LIQUIDATION OF WINTHROP REALTY TRUST INCLUDING THE SALE OF OUR ASSETS AND THE DISSOLUTION OF OUR COMPANY DESCRIBED THEREIN, AND THE APPROVAL AND RATIFICATION OF THE TRANSACTIONS DESCRIBED IN THE PROXY STATEMENT WHICH WINTHROP REALTY TRUST AND ITS BOARD OF TRUSTEES HAVE UNDERTAKEN IN CONNECTION WITH THE PLAN OF LIQUIDATION.
|
Issuer
|
|
For
|
For
|
APPROVAL OF THE PROPOSAL TO PERMIT THE BOARD OF TRUSTEES TO ADJOURN THE SPECIAL MEETING, IF NECESSARY, TO PERMIT FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE ITEM 1.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
JETPAY CORPORATION
|
8/5/2014
|
477177109
|
JTPY
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Directors: 01- DIANE (VOGT) FARO ,02- ROBERT B. PALMER
|
Issuer
|
|
For
|
For
|
2- RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS JETPAY'S REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
TECHNOGLASS
|
8/12/2014
|
G87264100
|
TGLS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
ELECTION OF DIRECTOR: SAMUEL R. AZOUT
|
Issuer
|
|
For
|
For
|
ELECTION OF DIRECTOR: JUAN CARLOS VILARINO
|
Issuer
|
|
For
|
For
|
ELECTION OF DIRECTOR: MARTHA (STORMY) L. BYORUM
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
AMERICAN SELECT PORTFOLIO
|
8/15/2014
|
029570108
|
SLA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE AN AGREEMENT AND PLAN OF MERGER PURSUANT TO WHICH EACH TARGET FUND WILL MERGE WITH AND INTO DRAIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF DIVERSIFIED REAL ASSET INCOME FUND, A NEWLY ORGANIZED MASSACHUSETTS BUSINESS TRUST (THE "ACQUIRING FUND"), ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
For
|
For
|
2.A-TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC. AND NUVEEN FUND ADVISORS, LLC.
|
Issuer
|
|
For
|
For
|
2.B-TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC. AND NUVEEN ASSET MANAGEMENT, LLC.
|
Issuer
|
|
For
|
For
|
1-Directors: 01- ROGER A. GIBSON ,02- JOHN P. KAYSER ,03-LEONARD W. KEDROWSKI,04- RICHARD K. RIEDERER ,05-JAMES M. WADE
|
Issuer
|
|
*** UNDER SEPARATE PROXY FORM
WITH CUSIP 029570N11
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
AMERICAN STRATEGIC INCOME II
|
8/15/2014
|
030099105
|
BSP
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE AN AGREEMENT AND PLAN OF MERGER PURSUANT TO WHICH EACH TARGET FUND WILL MERGE WITH AND INTO DRAIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF DIVERSIFIED REAL ASSET INCOME FUND, A NEWLY ORGANIZED MASSACHUSETTS BUSINESS TRUST (THE "ACQUIRING FUND"), ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
For
|
For
|
2.A-TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC. AND NUVEEN FUND ADVISORS, LLC.
|
Issuer
|
|
For
|
For
|
2.B-TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC. AND NUVEEN ASSET MANAGEMENT, LLC.
|
Issuer
|
|
For
|
For
|
1-Directors: 01- ROGER A. GIBSON ,02- JOHN P. KAYSER ,03-LEONARD W. KEDROWSKI,04- RICHARD K. RIEDERER ,05-JAMES M. WADE
|
Issuer
|
|
*** UNDER SEPARATE PROXY FORM
WITH CUSIP 030099K88
|
|||
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
AMERICAN STRATEGIC INCOME III
|
8/15/2014
|
03009T101
|
CSP
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE AN AGREEMENT AND PLAN OF MERGER PURSUANT TO WHICH EACH TARGET FUND WILL MERGE WITH AND INTO DRAIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF DIVERSIFIED REAL ASSET INCOME FUND, A NEWLY ORGANIZED MASSACHUSETTS BUSINESS TRUST (THE "ACQUIRING FUND"), ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
For
|
For
|
2.A-TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC. AND NUVEEN FUND ADVISORS, LLC.
|
Issuer
|
|
For
|
For
|
2.B-TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC. AND NUVEEN ASSET MANAGEMENT, LLC.
|
Issuer
|
|
For
|
For
|
1-Directors: 01- ROGER A. GIBSON ,02- JOHN P. KAYSER ,03-LEONARD W. KEDROWSKI,04- RICHARD K. RIEDERER ,05-JAMES M. WADE
|
Issuer
|
|
*** UNDER SEPARATE PROXY FORM WITH CUSIP 03009TM99
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
COLLABRIUM JAPAN ACQUISITION
|
8/18/2014
|
G2266G102
|
JACQ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO CONSIDER AND VOTE UPON AN AMENDMENT TO THE COMPANY'S MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY MUST CONSUMMATE ITS INITIAL BUSINESS COMBINATION FROM AUGUST 24, 2014 TO FEBRUARY 24, 2015
|
Issuer
|
|
For
|
For
|
2-TO CONSIDER AND VOTE UPON AN AMENDMENT TO THE INVESTMENT MANAGEMENT TRUST AGREEMENT GOVERNING THE FUNDS HELD IN THE COMPANY'S TRUST ACCOUNT TO PERMIT DISTRIBUTIONS TO SHAREHOLDERS WHO EXERCISE THEIR REDEMPTION RIGHTS IN CONNECTION WITH PROPOSAL 1 AND TO EXTEND THE TERMINATION DATE TO FEBRUARY 24, 2015 ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DELAWARE INVEST DIVIDEND &
INC FUND
|
8/20/2014
|
245915103
|
DDF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Directors: 01-THOMAS L. BENNETT,02- JOSEPH W. CHOW ,03-PATRICK P. COYNE, 04- JOHN A. FRY ,05- LUCINDA S. LANDRETH ,06- F.A. SEVILLA-SACASA ,07- THOMAS K. WHITFORD ,08-JANET L. YEOMANS,09-J. RICHARD ZECHER
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meetting date
|
ISIN
|
Ticker
|
|
PROSPECT JAPAN FUND LTD
|
8/27/2014
|
GB00B011QL44
|
PJF LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE THE ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2013
|
Issuer
|
|
For
|
For
|
2-TO RE-APPOINT ERNST & YOUNG LLP AS AUDITOR OF THE COMPANY UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING
|
Issuer
|
|
For
|
For
|
3-TO AUTHORISE THE BOARD OF DIRECTORS TO DETERMINE THE AUDITOR'S REMUNERATION
|
Issuer
|
|
For
|
For
|
4-TO RE-ELECT JOHN HAWKINS TO THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTION B.7.1 OF THE UK CORPORATE GOVERNANCE CODE
|
Issuer
|
|
For
|
For
|
5-TO RE-ELECT RICHARD BATTEY TO THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTION B.7.1 OF THE UK CORPORATE GOVERNANCE CODE AND ARTICLE 26.2 OF THE ARTICLES OF INCORPORATION OF THE COMPANY
|
Issuer
|
|
For
|
For
|
6-TO RE-ELECT RUPERT EVANS TO THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTION B.7.1 OF THE UK CORPORATE GOVERNANCE CODE
|
Issuer
|
|
For
|
For
|
7-THAT THE COMPANY BE AND IS HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED IN ACCORDANCE WITH THE COMPANIES (GUERNSEY) LAW, 2008, AS AMENDED (the "COMPANIES LAW"), TO MAKE MARKET ACQUISITIONS OF ITS OWN SHARES
|
Issuer
|
|
For
|
For
|
8.1-THAT PURSUANT TO THE OBLIGATIONS IMPOSED BY ARTICLE 49.2 OF THE ARTICLES OF INCORPORATION THE COMPANY BE WOUND UP
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2014 - June 30,2015
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
LIBERY ALL-STAR EQUITY FUND
|
8/28/2014
|
530158104
|
USA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Directors: 01- THOMAS W. BROCK ,02-
GEORGE R. GASPARI
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DWS GLOBAL HIGH INCOME FUND
|
9/3/2014
|
23338W104
|
LBF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR:1) WILLIAN MCCKAYTON, 2) REBECCA W. RIMEL,03-WILLIAM N. SEARCY, JR
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DWS HIGH INCOME OPP FUND
|
9/3/2014
|
23339M204
|
DHG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR:1) JOHN W. BALLANTINE, 2) DAWN-MARIE DRISCOLL, 3) KENNETH C. FROEWISS 4) REBECCA W. RIMEL
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
CHART ACQUISITION CORP.
|
9/5/2014
|
161151105
|
CACG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO AMEND THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE BEFORE WHICH THE COMPANY MUST COMPLETE A BUSINESS COMBINATION (THE "TERMINATION DATE") FROM SEPTEMBER 13, 2014 (THE "CURRENT TERMINATION DATE") TO MARCH 13, 2015 (THE "EXTENDED TERMINATION DATE"), AND PROVIDE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
For
|
For
|
2-TO AMEND THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO ALLOW HOLDERS OF THE COMPANY'S PUBLIC SHARES TO REDEEM THEIR PUBLIC SHARES FOR A PRO RATA PORTION OF THE FUNDS AVAILABLE IN THE TRUST ACCOUNT (THE "TRUST ACCOUNT") ESTABLISHED IN CONNECTION WITH THE COMPANY'S INITIAL PUBLIC OFFERING ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
For
|
For
|
3-TO AMEND AND RESTATE THE COMPANY'S INVESTMENT MANAGEMENT TRUST AGREEMENT, DATED DECEMBER 13, 2012 (THE "TRUST AGREEMENT") BY AND BETWEEN THE COMPANY AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY (THE "TRUSTEE") TO PERMIT DISTRIBUTIONS FROM THE TRUST ACCOUNT TO PAY PUBLIC STOCKHOLDERS PROPERLY DEMANDING REDEMPTION ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
For
|
None
|
4-EXERCISE REDEMPTION RIGHTS: IF YOU HOLD SHARES OF THE COMPANY'S COMMON STOCK ISSUED IN ITS INITIAL PUBLIC OFFERING, YOU MAY EXERCISE YOUR REDEMPTION RIGHTS AND DEMAND THAT THE COMPANY REDEEM YOUR SHARES OF COMMON STOCK FOR A PRO RATA PORTION OF THE TRUST ACCOUNT BY MARKING THE FOR BOX ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
OXFORD LANE CAPITAL CORP
|
9/9/2014
|
691543201
|
OXLCP
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
ELECTION OF DIRECTOR: JOHN REARDON
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
MARWYN VALUE INVESTORS LTD
|
9/17/2014
|
KYG5897M1583
|
MVI LN
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1- TO RECEIVE AND ADOPT THE COMPANY'S ANNUAL ACCOUNTS FOR THE YEAR ENDED 31 DECEMBER 2013
|
Issuer
|
|
For
|
For
|
2- TO RE-ELECT PAUL EVERITT AS A DIRECTOR
|
Issuer
|
|
For
|
For
|
3- TO RE-ELECT RONALD HOBBS AS A DIRECTOR
|
Issuer
|
|
For
|
For
|
4- TO RE-ELECT LOUISA BONNEY AS A DIRECTOR
|
Issuer
|
|
For
|
For
|
5- TO APPROVE THE RE-APPOINTMENT OF PRICEWATERHOUSECOOPERS AS AUDITORS AND AUTHORISE THE DIRECTORS TO FIX THE AUDITOR'S REMUNERATION
|
Issuer
|
|
For
|
For
|
6- TO AUTOHRISE MARKET PURCHASES OF THE COMPANY'S ORDINARY A B ORDINARY SHARES
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ROYCE VALUE TRUST INC
|
9/24/2014
|
780910105
|
RVT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
DIRECTOR:1) RICHARD M. GALKIN, 2) STEPHEN L. ISAACS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ROYCE MICRO-CAP TRUST
|
9/24/2014
|
780915104
|
RMT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
DIRECTOR:1) RICHARD M. GALKIN, 2) STEPHEN L. ISAACS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
QUARTET MERGER CORP.
|
9/29/2014
|
747717106
|
QTET
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1.TO ADOPT THE AGREEMENT AND PLAN OF REORGANIZATION, DATED AS OF APRIL 30, 2014, BY AND AMONG QUARTET, QUARTET HOLDCO LTD. ("HOLDCO"), QUARTET MERGER SUB, LTD., PANGAEA LOGISTICS SOLUTIONS LTD. ("PANGAEA") AND THE SECURITYHOLDERS OF PANGAEA, AND TO APPROVE THE BUSINESS COMBINATION CONTEMPLATED BY THE MERGER AGREEMENT.
|
Issuer
|
|
Yes
|
None
|
1A.I HEREBY EXERCISE MY CONVERSION RIGHTS. MARK "FOR" = YES OR "AGAINST" = NO.
|
Issuer
|
|
No Vote
|
None
|
1B.I COMMUNICATED WITH JEFFERIES IN DETERMINING HOW TO DIRECT MY VOTE ON THE MERGERS. MARK "FOR" = YES OR "AGAINST" = NO.
|
Issuer
|
|
Yes
|
None
|
1C.SHAREHOLDER CERTIFICATION - I HEREBY CERTIFY THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER SHAREHOLDER WITH RESPECT TO THE SHARES OF COMMON STOCK OF QUARTET OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN QUARTET AND PANGAEA. MARK "FOR" = YES OR "AGAINST" = NO.
|
Issuer
|
|
For
|
For
|
2A.TO APPROVE THE FOLLOWING DIFFERENCE BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO TO BE IN EFFECT FOLLOWING THE MERGERS AND THE CURRENT AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF QUARTET: THE NAME OF THE NEW PUBLIC ENTITY WILL BE "PANGAEA LOGISTICS SOLUTIONS LTD." AS OPPOSED TO "QUARTET MERGER CORP."
|
Issuer
|
|
For
|
For
|
2B.TO APPROVE THE FOLLOWING DIFFERENCE BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO TO BE IN EFFECT FOLLOWING THE MERGERS AND THE CURRENT AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF QUARTET: HOLDCO WILL HAVE 100,000,000 AUTHORIZED COMMON SHARES AND 1,000,000 AUTHORIZED PREFERRED SHARES, AS OPPOSED TO QUARTET HAVING 15,000,000 AUTHORIZED SHARES OF COMMON STOCK AND 1,000,000 AUTHORIZED SHARES OF PREFERRED STOCK.
|
Issuer
|
|
For
|
For
|
2C.TO APPROVE THE FOLLOWING DIFFERENCE BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO TO BE IN EFFECT FOLLOWING THE MERGERS AND THE CURRENT AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF QUARTET: HOLDCO'S CORPORATE EXISTENCE WILL BE PERPETUAL AS OPPOSED TO QUARTET'S CORPORATE EXISTENCE TERMINATING IF A BUSINESS COMBINATION IS NOT CONSUMMATED BY QUARTET WITHIN A SPECIFIED PERIOD OF TIME.
|
Issuer
|
|
For
|
For
|
2D.TO APPROVE THE FOLLOWING DIFFERENCE BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO TO BE IN EFFECT FOLLOWING THE MERGERS AND THE CURRENT AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF QUARTET: HOLDCO'S BYE-LAWS WILL NOT INCLUDE THE VARIOUS PROVISIONS APPLICABLE ONLY TO SPECIFIED PURPOSE ACQUISITION CORPORATIONS THAT QUARTET'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION CONTAINS.
|
Issuer
|
|
For
|
For
|
3.TO APPROVE THE ADOPTION OF THE 2014 SHARE INCENTIVE PLAN WHICH AUTHORIZES THE AWARD OF SHARE-BASED INCENTIVES IN ORDER TO ATTRACT, RETAIN, MOTIVATE, AND REWARD CERTAIN KEY EMPLOYEES, OFFICERS, DIRECTORS, AND CONSULTANTS OF HOLDCO.
|
Issuer
|
|
For
|
For
|
4.TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED ON THE TABULATED VOTE AT THE TIME OF THE SPECIAL MEETING, QUARTET IS NOT AUTHORIZED TO CONSUMMATE THE MERGERS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015 |
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
TERRA CATALYST FUND
|
9/30/2014
|
KYG8761F1357
|
TCF LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- RECEIVE AND ADOPT THE AUDITED FINANCIAL STATEMENTS
|
Issuer
|
|
For
|
For
|
2- RE-APPOINTMENT OF MARTIN ADAMS
|
Issuer
|
|
For
|
For
|
2- RE-APPOINTMENT OF KPMG AUDIT LLC
|
Issuer
|
|
For
|
For
|
4- AUTHORISATION FOR THE DIRECTORS TO FIX THE REMUNERATION OF THE AUDITORS
|
Issuer
|
|
For
|
For
|
5- TO FIX THE FEES OF THE DIRECTORS FOR THE YEAR ENDED 30 MARCH 2015
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS INTERMARKET INCOME TRUST
|
10/2/2014
|
59318R103
|
CMK
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR:1) STEVEN E. BULLER, 2)WILLIAM R. GUTOW, 3) MICHAEL HEGARTY 4) JOHN P. KAVANAUGH, 05- ROBERT W. UEK
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
ATLANTIS JAPAN GROWTH FUND LTD
|
10/3/2014
|
GG00B61ND550
|
AJG LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE AND ADOPT THE ANNUAL REPORT AND FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 30 APRIL 2
|
Issuer
|
|
For
|
For
|
2-TO CONSIDER AND APPROVE THE DIRECTORS' REMUNERATION REPORT AS DETAILED IN THE ANNUAL REPORT AND FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 30 APRIL 2014
|
Issuer
|
|
For
|
For
|
3-TO RE-APPOINT GRANT THORNTON LIMITED AS AUDITOR OF THE COMPANY UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING
|
Issuer
|
|
For
|
For
|
4-TO AUTHORISE THE BOARD OF DIRECTORS TO DETERMINE THE AUDITOR'S REMUNERATION
|
Issuer
|
|
For
|
For
|
5-TO RE-APPOINT PHILIP EHRMANN
|
Issuer
|
|
For
|
For
|
6-TO RE-APPOINT ERIC BOYLE
|
Issuer
|
|
For
|
For
|
7-TO RE-APPOINT ANDREW MARTIN SMITH
|
Issuer
|
|
For
|
For
|
8-THAT, THE COMPANY BE GENERALLY AND UNCONDITIONALLY AUTHORISED TO MAKE MARKET ACQUISITIONS OF ITS ISSUED ORDINARY SHARES
|
Issuer
|
|
For
|
For
|
9-THAT, THE COMPANY BE GENERALLY AND UNCONDITIONALLY AUTHORISED TO MAKE MARKET ACQUISITIONS OF ITS ISSUED ORDINARY SHARES
|
Issuer
|
|
For
|
For
|
10-THAT, THE COMPANY BE GENERALLY AND UNCONDITIONALLY AUTHORISED TO MAKE MARKET ACQUISITIONS OF ITS ISSUED C SHARES
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
ATLANTIS JAPAN GROWTH FUND LTD
|
10/22/2014
|
GG00B61ND550
|
AJG LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-THAT THE NEW ARTICLES OF INCORPORATION PRODUCED TO THE MEETING AND SIGNED BY THE CHAIRMAN OF THE MEETING FOR THE PURPOSES OF IDENTIFICATION BE ADOPTED AS THE ARTICLES OF INCORPORATION OF THE COMPANY IN SUBSTITUTION FOR THE EXISTING ARTICLES OF INCORPORATION OF THE COMPANY
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
NUVEEN DIVERSIFIED CURRENCY
|
10/31/2014
|
67090N109
|
JGT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1-DIRECTOR 1)WILLIAM ADAMS IV, 2)DAVID J. KUNDERT,3)JOHN K. NELSON,4) TERENCE J. TOTH
|
Issuer
|
|
Mirror Vote
|
For
|
2-TO APPROVE AN AGREEMENT AND PLAN OF MERGER PURSUANT TO WHICH NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND WILL MERGE WITH AND INTO NGHIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF NUVEEN GLOBAL HIGH INCOME FUND, A NEWLY ORGANIZED MASSACHUSETTS BUSINESS TRUST .. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
Mirror Vote
|
For
|
3A-TO APPROVE A NEW INVESTMENT MANAGEMENT AGREEMENT BETWEEN NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND AND NUVEEN FUND ADVISORS, LLC.
|
Issuer
|
|
Mirror Vote
|
None
|
3B-TO APPROVE A NEW INVESTMENT MANAGEMENT AGREEMENT BETWEEN NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND AND NUVEEN FUND ADVISORS, LLC.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
NUVEEN GLOBAL INCOME OPPORTUNITIES FD
|
10/31/2014
|
67090N109
|
JGT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1-DIRECTOR 1)WILLIAM ADAMS IV, 2)DAVID J. KUNDERT,3)JOHN K. NELSON,4) TERENCE J. TOTH
|
Issuer
|
|
Mirror Vote
|
For
|
2-TO APPROVE AN AGREEMENT AND PLAN OF MERGER PURSUANT TO WHICH NUVEEN GLOBAL INCOME OPPORTUNITIES FUND WILL MERGE WITH AND INTO NGHIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF NUVEEN GLOBAL HIGH INCOME FUND, A NEWLY ORGANIZED MASSACHUSETTS BUSINESS TRUST (THE "ACQUIRING .. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
Mirror Vote
|
For
|
3A-TO APPROVE A NEW INVESTMENT MANAGEMENT AGREEMENT BETWEEN NUVEEN GLOBAL INCOME OPPORTUNITIES FUND AND NUVEEN FUND ADVISORS, LLC.
|
Issuer
|
|
Mirror Vote
|
None
|
3B-TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS, LLC AND NUVEEN ASSET MANAGEMENT, LLC, WITH RESPECT TO NUVEEN GLOBAL INCOME OPPORTUNITIES FUND.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THE HERZFELD CARIBBEAN BASIN
FUND, INC.
|
11/10/2014
|
42804T106
|
CUBA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1-DIRECTOR 1) MR. THOMAS J. HERZFELD
|
Issuer
|
|
Mirror Vote
|
For
|
2-TO APPROVE A REVISION TO THE FUNDAMENTAL INVESTMENT RESTRICTION REGARDING BORROWING MONEY, AND ISSUING SENIOR SECURITIES.
|
Issuer
|
|
Mirror Vote
|
For
|
3-TO APPROVE AN AMENDMENT TO THE INVESTMENT ADVISORY AGREEMENT TO REFLECT THE INCLUSION OF BORROWING FOR INVESTMENT PURPOSES AND OTHER FINANCIAL LEVERAGE IN THE CALCULATION OF THE ADVISORY FEES.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FIRST OPPORTUNITY FUND INC.
|
11/14/2014
|
33587T108
|
FOFI
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1-TO APPROVE AN AMENDMENT TO ARTICLE IV OF FIRST OPPORTUNITY FUND, INC.'S ARTICLES OF AMENDMENT AND RESTATEMENT ELIMINATING THE RIGHT TO DEMAND THE FAIR VALUE FOR SHARES BUT ONLY UPON REORGANIZATION OF FIRST OPPORTUNITY FUND, INC. WITH AND INTO ANOTHER AFFILIATED REGISTERED INVESTMENT COMPANY.
|
Issuer
|
|
Mirror Vote
|
For
|
2-TO APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PURSUANT TO WHICH FIRST OPPORTUNITY FUND, INC. WOULD TRANSFER ALL OF ITS ASSETS TO BOULDER GROWTH & INCOME FUND, INC. IN EXCHANGE FOR SHARES OF BOULDER GROWTH & INCOME FUND, INC., AND THE ASSUMPTION BY BOULDER GROWTH & INCOME FUND, INC. OF ALL OF THE LIABILITIES OF FIRST OPPORTUNITY FUND, INC.
|
Issuer
|
|
Mirror Vote
|
For
|
9TO APPROVE A MOTION TO ADJOURN OR POSTPONE THE SPECIAL MEETING TO ANOTHER TIME AND/OR PLACE FOR THE PURPOSE OF SOLICITING ADDITIONAL PROXIES IN FAVOR OF THE PROPOSALS TO BE SUBMITTED AT THE SPECIAL MEETING, IF NECESSARY.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BOULDER TOTAL RETURN FUND,
INC.
|
11/14/2014
|
101541100
|
BTF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
3-TO APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PURSUANT TO WHICH BOULDER TOTAL RETURN FUND, INC. WOULD TRANSFER ALL OF ITS ASSETS TO BOULDER GROWTH & INCOME FUND, INC. IN EXCHANGE FOR SHARES OF BOULDER GROWTH & INCOME FUND, INC., AND THE ASSUMPTION BY BOULDER GROWTH & INCOME FUND, INC. OF ALL OF THE LIABILITIES OF BOULDER TOTAL RETURN FUND, INC.
|
Issuer
|
|
Mirror Vote
|
For
|
9-TO APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PURSUANT TO WHICH BOULDER TOTAL RETURN FUND, INC. WOULD TRANSFER ALL OF ITS ASSETS TO BOULDER GROWTH & INCOME FUND, INC. IN EXCHANGE FOR SHARES OF BOULDER GROWTH & INCOME FUND, INC., AND THE ASSUMPTION BY BOULDER GROWTH & INCOME FUND, INC. OF ALL OF THE LIABILITIES OF BOULDER TOTAL RETURN FUND, INC.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BOULDER GROWTH & INCOME FD,
INC.
|
11/21/2014
|
101507101
|
BIF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
5-TO APPROVE THE ISSUANCE OF ADDITIONAL COMMON SHARES OF BOULDER GROWTH & INCOME FUND, INC. IN CONNECTION WITH THE REORGANIZATIONS PURSUANT TO AN AGREEMENT AND PLAN OF REORGANIZATION AMONG BOULDER GROWTH & INCOME FUND, INC., BOULDER TOTAL RETURN FUND, INC., THE DENALI FUND INC. AND FIRST OPPORTUNITY FUND, INC. (THE "REORGANIZATIONS").
|
Issuer
|
|
Mirror Vote
|
For
|
6-TO APPROVE THE ELIMINATION OF A FUNDAMENTAL INVESTMENT POLICY LIMITING THE ABILITY TO INVEST MORE THAN 4% OF TOTAL ASSETS IN ANY SINGLE ISSUER.
|
Issuer
|
|
Mirror Vote
|
For
|
7-TO APPROVE THE ELIMINATION OF A FUNDAMENTAL INVESTMENT POLICY LIMITING THE ABILITY TO INVEST MORE THAN 4% OF TOTAL ASSETS IN ANY SINGLE ISSUER.
|
Issuer
|
|
Mirror Vote
|
For
|
8-TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN BOULDER GROWTH & INCOME FUND, INC. AND STEWART WEST INDIES TRADING COMPANY, LTD. (DOING BUSINESS AS STEWART INVESTMENT ADVISERS), EFFECTIVE UPON COMPLETION OF THE REORGANIZATIONS, AND PURSUANT TO WHICH STEWART INVESTMENT ADVISERS WILL PROVIDE INVESTMENT ADVISORY SERVICES AS A CO-INVESTMENT ADVISER.
|
Issuer
|
|
Mirror Vote
|
For
|
9-TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN BOULDER GROWTH & INCOME FUND, INC. AND STEWART WEST INDIES TRADING COMPANY, LTD. (DOING BUSINESS AS STEWART INVESTMENT ADVISERS), EFFECTIVE UPON COMPLETION OF THE REORGANIZATIONS, AND PURSUANT TO WHICH STEWART INVESTMENT ADVISERS WILL PROVIDE INVESTMENT ADVISORY SERVICES AS A CO-INVESTMENT ADVISER.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GYRODYNE COMPANY OF
AMERICA
|
12/5/2014
|
403820103
|
GYRO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
NO VOTE
|
For
|
1- DIRECTOR - 1) Elliot H. Levine
|
Issuer
|
|
NO VOTE
|
For
|
2- TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THIS PROXY STATEMENT
|
Issuer
|
|
NO VOTE
|
For
|
3- TO RATIFY THE ENGAGEMENT OF BAKER TILLY VINCHOW KRAUSE, LLP (SUCCESSOR TO HOLTZ RUBENSTEIN REMINICK LLP) AS INDEPENDENT ACCOUNTANTS OF THE COMPANY AND ITS SUBSIDIARIES FOR THE 2014 FISCAL YEAR
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
ARC CAPITAL HOLDINGS LTD
|
12/10/2014
|
KYG0450H1002
|
ARCH LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-THAT THE FOLLOWING NEW ARTICLES 148-151 ARE TO BE INSERTED INTO THE EXISTING ARTICLES OF ASSOCIATION OF THE COMPANY IMMEDIATELY FOLLOWING THE EXISTING ARTICLE 147: " DISCLOSURE OF INTERESTS IN SHARES AND COMPANY'S POWER TO INVESTIGATE INTERESTS IN SHARES 148 EACH MEMBER SHALL COMPLY WITH THE NOTIFICATION AND DISCLOSURE OBLIGATIONS TO THE COMPANY CONTAINED IN CHAPTER 5 OF THE DISCLOSURE AND TRANSPARENCY RULES PUBLISHED BY THE UK FINANCIAL CONDUCT AUTHORITY FROM TIME TO TIME AS IF THE COMPANY WAS A NON-UK ISSUER FOR THE PURPOSES OF SUCH RULES. 149 IF IT SHALL COME TO THE NOTICE OF THE DIRECTORS THAT ANY MEMBER HAS NOT, WITHIN THE REQUISITE PERIOD, MADE OR, AS THE CASE MAY BE, PROCURED THE MAKING OF ANY NOTIFICATION REQUIRED BY THIS ARTICLE, THE DIRECTORS MAY SERVE A NOTICE ON SUCH MEMBER AND THE PROVISIONS OF ARTICLE 150 CONTD
|
Issuer
|
|
|
|
CONTD SHALL APPLY. RESTRICTION ON VOTING IN PARTICULAR CIRCUMSTANCES 150 IF ANY MEMBER, OR ANY OTHER PERSON APPEARING TO BE INTERESTED IN SHARES HELD BY SUCH MEMBER, HAS BEEN DULY SERVED WITH A NOTICE UNDER ARTICLE 149 AND IS IN DEFAULT FOR A PERIOD OF 14 DAYS OR MORE IN SUPPLYING TO THE COMPANY THE INFORMATION THEREBY REQUIRED, THEN (UNLESS THE DIRECTORS OTHERWISE DETERMINE) IN RESPECT OF: 150.1 THE SHARES COMPRISING THE SHAREHOLDING ACCOUNT IN THE REGISTER WHICH COMPRISES OR INCLUDES THE SHARES IN RELATION TO WHICH THE DEFAULT OCCURRED AND INCLUDING FURTHER SHARES WHICH ARE ISSUED IN RESPECT OF SUCH SHARES (ALL OR THE RELEVANT NUMBER AS APPROPRIATE OF SUCH SHARES BEING THE DEFAULT SHARES, WHICH EXPRESSION SHALL INCLUDE ANY FURTHER SHARES WHICH ARE ISSUED IN RESPECT OF SUCH SHARES); AND 150.2 ANY OTHER SHARES HELD BY CONTD
|
|
|
|
|
CONTD THE MEMBER, THE MEMBER SHALL NOT (FOR SO LONG AS THE DEFAULT CONTINUES) NOR SHALL ANY TRANSFEREE TO WHOM ANY OF SUCH SHARES ARE TRANSFERRED BE ENTITLED TO ATTEND OR VOTE EITHER PERSONALLY OR BY PROXY AT A SHAREHOLDERS' MEETING OR TO EXERCISE ANY OTHER RIGHT CONFERRED BY MEMBERSHIP IN RELATION TO SHAREHOLDERS' MEETINGS. 151 FOR THE PURPOSES OF ARTICLE 150 A PERSON SHALL BE TREATED AS APPEARING TO BE INTERESTED IN ANY SHARES IF THE MEMBER HOLDING SUCH SHARES HAS BEEN SERVED WITH A NOTICE UNDER ARTICLE 149 AND EITHER: (I) THE MEMBER HAS NAMED SUCH PERSON AS BEING SO INTERESTED; OR (II) (AFTER TAKING INTO ACCOUNT THE RESPONSE OF THE MEMBER TO THE SAID NOTICE AND ANY OTHER RELEVANT INFORMATION) THE COMPANY KNOWS OR HAS REASONABLE CAUSE TO BELIEVE THAT THE PERSON IN QUESTION IS OR MAY BE INTERESTED IN THE SHARES. "
|
|
|
For
|
For
|
2-THAT THE FOLLOWING ARTICLES 152-164 BE INSERTED INTO THE EXISTING ARTICLES OF ASSOCIATION OF THE COMPANY IMMEDIATELY FOLLOWING ARTICLE 151, AS PROPOSED ABOVE IN RESOLUTION 1 (OR IMMEDIATELY FOLLOWING THE EXISTING ARTICLE 147 IF RESOLUTION 1 IS NOT PASSED): TAKEOVER PROVISIONS FOR THE PURPOSES OF THE FOLLOWING ARTICLES 152-164 ONLY THE FOLLOWING WORDS AND PHRASES SHALL HAVE THE MEANINGS INDICATED: "BOARD" MEANS THE BOARD OF DIRECTORS OR THE DIRECTORS PRESENT AT A DULY CONVENED AND QUORATE MEETING OF DIRECTORS OR A DULY AUTHORISED COMMITTEE OF THE DIRECTORS AS THE CONTEXT REQUIRES. 152 IF AT ANY TIME WHEN THE COMPANY IS NOT SUBJECT TO THE UK CITY CODE ON TAKEOVERS AND MERGERS AS MAY FROM TIME TO TIME BE PUBLISHED (THE "CITY CODE") OR ANY SUCCESSOR REGIME (WHETHER STATUTORY OR NON-STATUTORY) GOVERNING THE CONDUCT CONTD
|
Issuer
|
|
|
|
CONTD OF TAKEOVERS AND MERGERS IN THE UK OR ANY OTHER REGIME GOVERNING THE CONDUCT OF TAKEOVERS AND MERGERS IN ANY OTHER COUNTRY (ANY OF SUCH BEING THE "TAKEOVER REGIME"): 152.1 ANY PERSON WHO, TOGETHER WITH PERSONS ACTING IN CONCERT WITH HIM, ACQUIRES, WHETHER BY A SERIES OF TRANSACTIONS OVER A PERIOD OF TIME OR NOT, INTERESTS IN SHARES WHICH (TAKEN TOGETHER WITH INTERESTS IN SHARES HELD OR ACQUIRED BY PERSONS ACTING IN CONCERT WITH HIM) CARRY 30% OR MORE OF THE VOTING RIGHTS OF THE COMPANY; OR 152.2 ANY PERSON WHO, TOGETHER WITH PERSONS ACTING IN CONCERT WITH HIM, HOLDS INTERESTS IN SHARES REPRESENTING NOT LESS THAN 30% BUT NOT MORE THAN 50% OF THE VOTING RIGHTS AND SUCH PERSON, OR ANY PERSON ACTING IN CONCERT WITH HIM, ACQUIRES AN INTEREST IN ADDITIONAL SHARES WHICH INCREASE HIS PERCENTAGE OF THE VOTING RIGHTS; CONTD
|
|
|
|
|
CONTD THE BOARD SHALL BE ENTITLED, BUT NOT OBLIGED, TO REQUIRE SUCH PERSON (THE "OFFEROR") TO EXTEND AN OFFER, ON THE BASIS SET OUT IN THESE ARTICLES 152-164, TO THE HOLDERS OF ALL THE ISSUED SHARES IN THE COMPANY. 153 ANY OFFER MADE UNDER ARTICLES 152-164 MUST BE UNCONDITIONAL IF THE OFFEROR HOLDS SHARES AND ANY PERSON ACTING IN CONCERT WITH IT HOLDS SHARES CARRYING MORE THAN 50% OF THE VOTING RIGHTS BEFORE THE OFFER IS MADE. 154 NO ACQUISITION OF SHARES WHICH WOULD GIVE RISE TO A REQUIREMENT FOR ANY OFFER UNDER THE ARTICLES MAY BE MADE OR REGISTERED IF THE MAKING OR IMPLEMENTATION OF SUCH OFFER WOULD OR MIGHT BE DEPENDENT ON THE PASSING OF A RESOLUTION AT ANY MEETING OF MEMBERS OF THE OFFEROR OR UPON ANY OTHER CONDITIONS, CONSENTS OR ARRANGEMENTS. 155 OFFERS MADE UNDER ARTICLES 152-164 MUST, IN RESPECT OF EACH CONTD
|
|
|
CONTD CLASS OF SHARES INVOLVED, BE IN CASH OR BE ACCOMPANIED BY A CASH ALTERNATIVE AT NOT LESS THAN THE HIGHEST PRICE PAID BY THE OFFEROR OR ANY PERSON ACTING IN CONCERT WITH IT FOR SHARES OF THAT CLASS DURING THE OFFER PERIOD AND WITHIN 12 MONTHS PRIOR TO ITS COMMENCEMENT. OFFERS MADE UNDER ARTICLES 152-164 MUST BE MADE IN WRITING AND PUBLICLY DISCLOSED AND MUST BE OPEN FOR ACCEPTANCE FOR A PERIOD OF NOT LESS THAN 30 DAYS. THE CASH OFFER OR THE CASH ALTERNATIVE MUST REMAIN OPEN AFTER THE OFFER HAS BECOME OR IS DECLARED UNCONDITIONAL AS TO ACCEPTANCES FOR NOT LESS THAN 14 DAYS AFTER THE DATE OF WHICH IT WOULD OTHERWISE HAVE EXPIRED. 156 NO NOMINEE OF AN OFFEROR OR PERSONS ACTING IN CONCERT WITH IT MAY BE APPOINTED AS A DIRECTOR, NOR MAY AN OFFEROR AND PERSONS ACTING IN CONCERT WITH IT EXERCISE THE VOTES ATTACHING TO CONTD
|
|||
|
CONTD ANY SHARES HELD IN THE COMPANY UNTIL THE OFFER DOCUMENT HAS BEEN POSTED. IF A DIRECTOR IS AFFILIATED WITH AN OFFEROR HIS OFFICE SHALL BE VACATED. 157 ANY OFFER REQUIRED TO BE MADE PURSUANT TO ARTICLES 152-164 SHALL BE MADE ON TERMS THAT WOULD BE REQUIRED BY THE CITY CODE SAVE TO THE EXTENT THAT THE BOARD OTHERWISE DETERMINES. EXCEPT WITH THE CONSENT OF THE BOARD, MEMBERS SHALL COMPLY WITH THE REQUIREMENTS OF THE CITY CODE IN RELATION TO ANY DEALINGS IN ANY SHARES OF THE COMPANY AND IN RELATION TO THEIR DEALINGS WITH THE COMPANY IN RELATION TO ALL OTHER MATTERS. ANY MATTER WHICH UNDER THE CITY CODE WOULD FALL TO BE DETERMINED BY THE UNITED KINGDOM PANEL ON TAKEOVERS AND MERGERS (THE "PANEL") SHALL BE DETERMINED BY THE BOARD IN ITS ABSOLUTE DISCRETION OR BY SUCH PERSON APPOINTED BY THE BOARD TO MAKE SUCH CONTD
|
|||
|
CONTD DETERMINATION PROVIDED THAT NO INFRINGEMENT IS EVER MADE OF THE
GENERAL PRINCIPAL OF EQUALITY BETWEEN MEMBERS. ANY NOTICE WHICH UNDER THE CITY CODE IS REQUIRED TO BE GIVEN TO THE PANEL OR ANY PERSON (OTHER THAN THE COMPANY) SHALL BE GIVEN TO THE COMPANY AT ITS REGISTERED OFFICE. 158 IF AT ANY TIME THE BOARD IS SATISFIED THAT ANY MEMBER HAVING INCURRED AN OBLIGATION UNDER ARTICLES 152-164 TO EXTEND AN OFFER TO THE HOLDERS OF ALL ISSUED SHARES SHALL HAVE FAILED TO DO SO, OR THAT ANY MEMBER IS IN DEFAULT OF ANY OTHER OBLIGATION IMPOSED UPON MEMBERS PURSUANT TO ARTICLES 152-164, THEN THE BOARD MAY, IN ITS ABSOLUTE DISCRETION AT ANY TIME THEREAFTER BY NOTICE (A "DISCRETION NOTICE") TO SUCH MEMBERS AND ANY OTHER MEMBERS ACTING IN CONCERT WITH SUCH MEMBERS (TOGETHER THE "DEFAULTERS") DIRECT THAT: 158.1 THE CONTD
|
|||
|
CONTD DEFAULTERS PROVIDE SUCH INFORMATION AS THE BOARD CONSIDERS APPROPRIATE; 158.2 MAKE AN AWARD FOR COSTS AGAINST THE DEFAULTERS; 158.3 THE DEFAULTERS SELL SOME OR ALL OF THE SHARES HELD BY THEM (THE "DEFAULT SHARES"); 158.4 IN RESPECT OF THE DEFAULT SHARES THE DEFAULTERS SHALL NOT BE ENTITLED TO VOTE AT A GENERAL MEETING EITHER PERSONALLY OR BY PROXY OR TO EXERCISE ANY OTHER RIGHT CONFERRED BY MEMBERSHIP IN RELATION TO MEETINGS OF THE COMPANY; 158.5 EXCEPT IN A LIQUIDATION OF THE COMPANY, NO PAYMENT SHALL BE MADE OF ANY SUMS DUE FROM THE COMPANY ON THE DEFAULT SHARES, WHETHER IN RESPECT OF CAPITAL OR DIVIDEND OR OTHERWISE, AND THE COMPANY SHALL NOT MEET ANY LIABILITY TO PAY INTEREST ON ANY SUCH PAYMENT WHEN IT IS FINALLY PAID TO THE MEMBERS; AND 158.6 NO OTHER DISTRIBUTION SHALL BE MADE IN RESPECT OF THE DEFAULT CONTD
|
|
CONTD SHARES. THE BOARD MAY AT ANY TIME GIVE NOTICE CANCELLING A DISCRETION NOTICE. 159 IF AN OFFER SHALL BE MADE PURSUANT TO ARTICLES 152-164 AND: 159.1 THE OFFEROR (TOGETHER WITH PERSONS ACTING IN CONCERT WITH HIM) HAS BY VIRTUE OF ACCEPTANCE OF THE OFFER ACQUIRED OR CONTRACTED TO ACQUIRE SOME (BUT NOT ALL) OF THE SHARES TO WHICH THE OFFER RELATES; AND 159.2 THOSE SHARES, WITH OR WITHOUT ANY OTHER SHARES WHICH THE OFFEROR (TOGETHER WITH PERSONS ACTING IN CONCERT WITH HIM) HOLDS OR HAS ACQUIRED OR CONTRACTED TO ACQUIRE, WOULD RESULT IN THE OFFEROR (TOGETHER WITH PERSONS ACTING IN CONCERT WITH HIM) OBTAINING OR HOLDING AN INTEREST IN SHARES CONFERRING IN AGGREGATE 90 PER CENT. OR MORE OF THE VOTING RIGHTS CONFERRED BY ALL THE SHARES THEN IN ISSUE THEN THE OFFEROR SHALL BE ENTITLED TO GIVE A NOTICE (THE "SQUEEZE OUT CONTD
|
|||
|
CONTD NOTICE") TO ALL OTHER HOLDERS OF SHARES IN RESPECT OF ALL THE SHARES THEN IN ISSUE AND HELD BY THEM IN RESPECT OF WHICH THE OFFER HAS NOT YET BEEN ACCEPTED. THE SQUEEZE OUT NOTICE SHALL BE MADE IN WRITING, BE AT THE SAME PRICE AND ON THE SAME TERMS AS THE OFFER AND BE CAPABLE OF ACCEPTANCE FOR A PERIOD OF NOT LESS THAN 30 DAYS AFTER THE DATE OF THE SQUEEZE OUT NOTICE. 159.3 UPON DELIVERY OF THE SQUEEZE OUT NOTICE EACH OF THE RECIPIENTS ("CALLED SHAREHOLDERS") (A) SHALL BE DEEMED TO HAVE ACCEPTED THE OFFER IN RESPECT OF ALL SHARES HELD BY IT AND (B) SHALL BECOME OBLIGED TO DELIVER TO THE OFFEROR OR AS THE OFFEROR MAY DIRECT AN EXECUTED TRANSFER OF SUCH SHARES AND (IF IT EXISTS) THE CERTIFICATE(S) IN RESPECT OF THE SAME. SQUEEZE OUT NOTICES SHALL BE IRREVOCABLE BUT WILL LAPSE IF FOR ANY REASON THERE IS NOT A SALE CONTD
|
|||
|
CONTD OF THE CALLED SHAREHOLDERS' SHARES WITHIN 60 DAYS AFTER THE DATE OF SERVICE OF THE SQUEEZE OUT NOTICE. THE OFFEROR SHALL BE ENTITLED TO SERVE FURTHER SQUEEZE OUT NOTICES FOLLOWING THE LAPSE OF ANY PARTICULAR SQUEEZE OUT NOTICE. 160 COMPLETION OF THE SALE OF SHARES PURSUANT TO A SQUEEZE OUT NOTICE SHALL TAKE PLACE ON THE SAME DATE ON WHICH SHARES ARE SOLD UNDER THE OFFER (OR, IF LATER, WITHIN 7 DAYS OF EXPIRY OF THE PERIOD FOR ACCEPTANCES AS SET OUT IN THE SQUEEZE OUT NOTICE). 161 UPON ANY PERSON, FOLLOWING THE ISSUE OF A SQUEEZE OUT NOTICE, BECOMING A MEMBER OF THE COMPANY PURSUANT TO THE EXERCISE OF A PRE-EXISTING OPTION OR RIGHT TO ACQUIRE SHARES IN THE COMPANY (A "NEW MEMBER"), A SQUEEZE OUT NOTICE SHALL BE DEEMED TO HAVE BEEN SERVED UPON THE NEW MEMBER ON THE SAME TERMS AS THE PREVIOUS SQUEEZE OUT NOTICE WHO CONTD
|
|||
|
CONTD SHALL THEREUPON BE BOUND TO SELL AND TRANSFER ALL SUCH SHARES ACQUIRED BY HIM TO THE OFFEROR OR AS THE OFFEROR MAY DIRECT AND THE PROVISIONS OF ARTICLES 152-164 SHALL APPLY MUTATIS MUTANDIS TO THE NEW MEMBER SAVE THAT COMPLETION OF THE SALE OF SUCH SHARES SHALL TAKE PLACE FORTHWITH UPON THE SQUEEZE OUT NOTICE BEING DEEMED SERVED ON THE NEW MEMBER. 162 AT COMPLETION OF THE SALE OF ANY SHARES PURSUANT TO ARTICLES 152-164 AND UPON PAYMENT OF THE CONSIDERATION FOR THE SHARES (WHETHER TO THE RELEVANT MEMBERS OR TO THE COMPANY) AND THE COMPANY RECEIVING A TRANSFER (DULY STAMPED IF APPROPRIATE), IN RESPECT OF THE RELEVANT SHARES (WHETHER EXECUTED BY A HOLDER OF SHARES OR BY ANY PERSON ON BEHALF OF ANY HOLDER OF SHARES PURSUANT TO ARTICLE 163 THE OFFEROR OR ITS NOMINEE SHALL BE ENTERED IN THE RELEVANT REGISTER OF CONTD
|
|
CONTD MEMBERS. THE CERTIFICATE(S) IN RESPECT OF ANY SHARES SO TRANSFERRED, IN THE NAME OF THE ORIGINAL MEMBER SHALL BE DEEMED TO BE CANCELLED AND (IF REQUIRED BY THE OFFEROR) A NEW CERTIFICATE SHALL BE ISSUED IN THE NAME OF OFFEROR OR ITS NOMINEE. THE RECEIPT OF THE COMPANY FOR THE CONSIDERATION SHALL BE A GOOD DISCHARGE TO OFFEROR WHO SHALL NOT BE BOUND TO SEE TO THE APPLICATION OF IT, AND AFTER SUCH REGISTRATION IN EXERCISE OF THE ABOVE POWERS THE VALIDITY OF THE PROCEEDINGS SHALL NOT BE QUESTIONED BY ANY PERSON. THE COMPANY SHALL HOLD THE SAID CONSIDERATION ON BEHALF OF ANY SUCH MEMBER IN A SEPARATE BANK ACCOUNT ON TRUST FOR THE RELEVANT MEMBER PENDING DELIVERY UP OF THE CANCELLED CERTIFICATE(S) (IF SUCH EXIST) BUT SHALL NOT BE BOUND TO EARN OR PAY INTEREST THEREON. 163 IF ANY HOLDER OF SHARES DOES NOT ON COMPLETION CONTD
|
|||
|
CONTD OF THE SALE OF ANY SHARES EXECUTE TRANSFER(S) IN RESPECT OF ALL THE SHARES HELD BY HIM THE DEFAULTING HOLDER SHALL BE DEEMED TO HAVE IRREVOCABLY APPOINTED ANY PERSON NOMINATED FOR THE PURPOSE BY THE COMPANY TO BE HIS AGENT AND ATTORNEY TO EXECUTE ALL NECESSARY TRANSFER(S) ON HIS BEHALF AND AGAINST RECEIPT BY THE COMPANY (ON TRUST FOR SUCH HOLDER) OF THE PURCHASE MONIES OR ANY OTHER CONSIDERATION PAYABLE FOR THE RELEVANT SHARES DELIVER SUCH TRANSFER(S) TO THE OFFEROR (OR AS IT MAY DIRECT) AND THE DIRECTORS SHALL FORTHWITH REGISTER THE OFFEROR (OR ITS NOMINEE) AS THE HOLDER THEREOF AND, AFTER THE OFFEROR (OR ITS NOMINEE) HAS BEEN REGISTERED AS THE HOLDER, THE VALIDITY OF SUCH PROCEEDINGS SHALL NOT BE QUESTIONED BY ANY SUCH PERSON. IT SHALL BE NO IMPEDIMENT TO REGISTRATION OF SHARES UNDER ARTICLES 152-164 THAT NO CONTD
|
|||
|
CONTD SHARE CERTIFICATE HAS BEEN PRODUCED. 164 IN CONSTRUING THESE ARTICLES 152-164: 164.1 WORDS AND EXPRESSIONS USED IN OR DEFINED IN THE CITY CODE SHALL BEAR THE SAME MEANINGS GIVEN BY THE CITY CODE; AND 164.2 THE BOARD SHALL HAVE NO LIABILITY TO ANY MEMBER, ANY PERSON WHO HAS ANY INTEREST IN SHARES, OR ANY OTHER PERSON FOR THE MANNER IN WHICH THEY EXERCISE OR REFRAIN FROM EXERCISING ANY SUSPENSION POWERS UNDER ARTICLES 152-164 OR FOR ANY DETERMINATION WHICH THE BOARD MAKES AS TO THE APPLICATION OF THE PROVISIONS OF ARTICLES 152-164 TO ANY PARTICULAR CIRCUMSTANCES
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
LEVY ACQUISITION CORP.
|
12/11/2014
|
52748T104
|
LEVY
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- DIRECTOR - 1) Lawrence F. Levy, 2) Howard B. Bernick
|
Issuer
|
|
For
|
For
|
2-RATIFICATION OF THE APPOINTMENT BY THE AUDIT COMMITTEE OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY'S FISCAL YEAR ENDING DECEMBER 31, 2014.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MERGERWTHRX CORP.
|
12/22/2014
|
58952r106
|
MWRX
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-THE BUSINESS COMBINATION PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER AND REORGANIZATION, DATED AS OF OCTOBER 14, 2014, AS IT MAY BE AMENDED (THE "MERGER AGREEMENT"), BY AND AMONG THE COMPANY, ANVIL MERGER SUB, INC., A DELAWARE CORPORATION, AEROCARE HOLDINGS, INC., A DELAWARE CORPORATION AND FFC AEROCARE SR, LLC, A DELAWARE LIMITED LIABILITY COMPANY, AND THE TRANSACTIONS CONTEMPLATED THEREBY (THE "BUSINESS COMBINATION PROPOSAL")
|
Issuer
|
|
For
|
None
|
1A-INTENTION TO EXERCISE CONVERSION RIGHTS - IF YOU INTEND TO EXERCISE YOUR CONVERSION RIGHTS, PLEASE CHECK THE APPROPRIATE BOX. CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR CONVERSION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE DEFINITIVE PROXY STATEMENT UNDER THE HEADING "SPECIAL MEETING IN LIEU OF 2014 ANNUAL MEETING OF MWRX STOCKHOLDERS - CONVERSION RIGHTS." MARK FOR = "YES" OR AGAINST = "NO"
|
Issuer
|
|
For
|
None
|
1B-SHAREHOLDER CERTIFICATION - I HEREBY CERTIFY THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER SHAREHOLDER WITH RESPECT TO THE SHARES OF COMMON STOCK OF MERGEWORTHRX CORP. OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN MERGEWORTHRX CORP. AND AEROCARE HOLDINGS, INC MARK FOR = "YES" OR AGAINST = "NO"
|
Issuer
|
|
For
|
For
|
2-SHAREHOLDER CERTIFICATION - I HEREBY CERTIFY THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER SHAREHOLDER WITH RESPECT TO THE SHARES OF COMMON STOCK OF MERGEWORTHRX CORP. OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN MERGEWORTHRX CORP. AND AEROCARE HOLDINGS, INC MARK FOR = "YES" OR AGAINST = "NO"
|
Issuer
|
|
For
|
For
|
3-DIRECTOR 1) STEPHEN B. CICHY 2) THEODORE B. LUNDBERG
|
Issuer
|
|
For
|
For
|
4-THE INCENTIVE PLAN PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL TO
APPROVE AND ADOPT THE AEROCARE HOLDINGS CORPORATION 2014 STOCK OPTION AND INCENTIVE PLAN (THE "INCENTIVE PLAN PROPOSAL")
|
Issuer
|
|
Against
|
For
|
5-THE ADJOURNMENT PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL TO ADJOURN THE SPECIAL MEETING OF STOCKHOLDERS TO A LATER DATE OR DATES, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE SPECIAL MEETING, THERE ARE NOT SUFFICIENT VOTES TO APPROVE ONE OR MORE PROPOSALS PRESENTED TO STOCKHOLDERS FOR VOTE (THE "ADJOURNMENT PROPOSAL")
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GLOBAL DEFENSE & NATIONAL
SECURITY SYSTEMS, INC.
|
12/31/2014
|
37953N108
|
GDEF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- DIRECTOR - 1) DALE R. DAVIS 2) CRAIG DAWSON 3) HON. DAVID C. GOMPERT 4) ROBERT B. MURRETT 5) DAMIAN PERL 6) DEAN POPPS 7) HON. RONALD R. SPOEHEL
|
Issuer
|
|
For
|
For
|
2-RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF KPMG LLP TO SERVE AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2014.
|
Issuer
|
|
ABSTAIN
|
For
|
3-ADVISORY VOTE ON EXECUTIVE COMPENSATION.
|
Issuer
|
|
ABSTAIN
|
3 Years
|
4-ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
SITO MOBILE LTD.
|
2/4/2015
|
82988R104
|
SITO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- DIRECTOR - 1) Jerry Hug 2) Betsy J. Bernard 3) Jonathan E. Sandelman 4) Peter D. Holden 5) Josheph A. Beatty 6) Philip B. Livingston
|
Issuer
|
|
For
|
For
|
2-APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF THE COMPANY'S EXECUTIVE OFFICERS NAMED IN THE SUMMARY COMPENSATION TABLE IN THE PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
3-APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EFFECT A REVERSE SPLIT OF THE COMMON STOCK BY A RATIO OF NOT LESS THAN 1-FOR-5 AND NOT MORE THAN 1-FOR-10 AT ANY TIME PRIOR TO FEBRUARY 4, 2016, WITH THE BOARD OF DIRECTORS HAVING THE DISCRETION AS TO WHETHER OR NOT .. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Bancroft Fund LTD
|
2/9/2015
|
059695106
|
BCV
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1- DIRECTOR - 1) Kinchen C. Bizzell 2) Elizabeth C. Bogan, PHD
|
Issuer
|
|
Mirror vote
|
For
|
2-Proposal to ratify selection of Accountants.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Ellsworth Fund LTD
|
2/9/2015
|
289074106
|
ECF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1- DIRECTOR - 1) Kinchen C. Bizzell 2) Jane D. O'Keeffe
|
Issuer
|
|
Mirror vote
|
For
|
2-Proposal to ratify selection of Accountants.
|
Issuer
|
|
Mirror vote
|
Against
|
3- If properly presented, to act upon a shareholder proposal that would request that the board of trustees begin the process of amending the trust's declaration of trust.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
HENNESSY CAPITAL ACQUISITION CORP.
|
2/9/2015
|
425886108
|
HCAC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-THE BUSINESS COMBINATION PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL (I) TO APPROVE AND ADOPT THE PURCHASE AGREEMENT, DATED AS OF SEPTEMBER 21, 2014, AS IT MAY BE AMENDED (THE "PURCHASE AGREEMENT"), BY AND BETWEEN THE COMPANY AND THE TRAXIS GROUP B.V. ("SELLER") WHICH IS MAJORITY OWNED BY FUNDS AFFILIATED WITH CERBERUS CAPITAL MANAGEMENT, L.P., AND THE TRANSACTIONS CONTEMPLATED THEREBY (THE "BUSINESS COMBINATION").
|
Issuer
|
|
For
|
None
|
1A.-INTENTION TO EXERCISE REDEMPTION RIGHTS - IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE CHECK THIS BOX. CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE DEFINITIVE PROXY STATEMENT UNDER THE HEADING "SPECIAL MEETING IN LIEU OF 2015 ANNUAL MEETING OF HENNESSY CAPITAL STOCKHOLDERS - REDEMPTION RIGHTS." MARK "FOR" = YES OR "AGAINST" = NO
|
Issuer
|
|
For
|
None
|
1B.-SHAREHOLDER CERTIFICATION - I HEREBY CERTIFY THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER SHAREHOLDER WITH RESPECT TO THE SHARES OF COMMON STOCK OF THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN THE COMPANY AND SCHOOL BUS HOLDINGS INC. MARK "FOR" = YES OR "AGAINST" = NO
|
Issuer
|
|
For
|
For
|
2-TO CONSIDER AND ACT UPON A PROPOSED AMENDMENT TO THE COMPANY'S EXISTING CHARTER TO INCREASE THE COMPANY'S AUTHORIZED COMMON STOCK AND PREFERRED STOCK.
|
Issuer
|
|
For
|
For
|
3-TO CONSIDER AND ACT UPON A PROPOSED AMENDMENT TO THE COMPANY'S EXISTING CHARTER TO PROVIDE FOR THE CLASSIFICATION OF THE COMPANY'S BOARD OF DIRECTORS INTO THREE CLASSES OF DIRECTORS WITH STAGGERED THREE-YEAR TERMS OF OFFICE AND TO MAKE CERTAIN RELATED CHANGES.
|
Issuer
|
|
For
|
For
|
4-TO CONSIDER AND ACT UPON A PROPOSED AMENDMENT TO THE COMPANY'S EXISTING CHARTER TO PERMIT THE REMOVAL OF DIRECTORS WITH OR WITHOUT CAUSE BY STOCKHOLDERS VOTING A MAJORITY OF THE VOTES CAST IF, AT ANY TIME AND FOR SO LONG AS, SELLER BENEFICIALLY OWNS, IN THE AGGREGATE, CAPITAL STOCK REPRESENTING AT LEAST 40% OF THE OUTSTANDING SHARES OF THE COMPANY'S COMMON STOCK.
|
Issuer
|
|
For
|
For
|
5-TO CONSIDER AND ACT UPON A PROPOSED AMENDMENT TO THE COMPANY'S EXISTING CHARTER TO REQUIRE AN AFFIRMATIVE VOTE OF AT LEAST TWO-THIRDS (2/3) OF THE COMPANY'S ENTIRE BOARD OF DIRECTORS AND BY THE HOLDERS OF AT LEAST 66.67% OF THE VOTING POWER OF THE COMPANY'S OUTSTANDING VOTING STOCK IN ORDER TO ADOPT AN AMENDMENT TO THE PROPOSED CHARTER IF, AT ANY TIME AND FOR SO LONG AS, SELLER BENEFICIALLY OWNS, IN THE AGGREGATE, CAPITAL STOCK REPRESENTING AT LEAST 50% OF THE OUTSTANDING SHARES OF THE COMPANY'S COMMON STOCK.
|
Issuer
|
|
For
|
For
|
6-TO CONSIDER AND ACT UPON A PROPOSED AMENDMENT TO THE COMPANY'S EXISTING CHARTER TO REQUIRE AN AFFIRMATIVE VOTE OF AT LEAST TWO-THIRDS (2/3) OF THE COMPANY'S ENTIRE BOARD OF DIRECTORS OR BY THE HOLDERS OF AT LEAST 66.67% OF THE VOTING POWER OF THE COMPANY'S OUTSTANDING VOTING STOCK TO AMEND THE COMPANY'S BYLAWS IF, AT ANY TIME AND FOR SO LONG AS, SELLER BENEFICIALLY OWNS, IN THE AGGREGATE, CAPITAL STOCK REPRESENTING AT LEAST 50% OF THE OUTSTANDING SHARES OF THE COMPANY'S COMMON STOCK.
|
Issuer
|
|
For
|
For
|
7-TO CONSIDER AND ACT UPON A PROPOSED AMENDMENT TO THE COMPANY'S EXISTING CHARTER TO DESIGNATE THE COURT OF CHANCERY OF THE STATE OF DELAWARE AS THE SOLE AND EXCLUSIVE FORUM FOR SPECIFIED LEGAL ACTIONS AND PROVIDE FOR CERTAIN ADDITIONAL CHANGES, INCLUDING CHANGING THE COMPANY'S NAME FROM "HENNESSY CAPITAL ACQUISITION CORP." TO "BLUE BIRD CORPORATION" AND MAKING THE COMPANY'S CORPORATE EXISTENCE PERPETUAL, WHICH THE COMPANY'S BOARD OF DIRECTORS BELIEVES ARE NECESSARY TO ADEQUATELY ADDRESS THE POST - BUSINESS COMBINATION NEEDS OF THE COMPANY.
|
Issuer
|
|
For
|
For
|
8.-Director - 1) GURMINDER S. BEDI 2) DENNIS DONOVAN 3) ALAN H. SCHUMACHER
|
Issuer
|
|
For
|
For
|
9-THE NASDAQ PROPOSAL - TO APPROVE, FOR PURPOSES OF COMPLYING WITH APPLICABLE NASDAQ LISTING RULES, THE ISSUANCE OF MORE THAN 20% OF THE COMPANY'S ISSUED AND OUTSTANDING COMMON STOCK PURSUANT TO THE PIPE INVESTMENT AND BACKSTOP COMMITMENT.
|
Issuer
|
|
For
|
For
|
10-THE NASDAQ PROPOSAL - TO APPROVE, FOR PURPOSES OF COMPLYING WITH APPLICABLE NASDAQ LISTING RULES, THE ISSUANCE OF MORE THAN 20% OF THE COMPANY'S ISSUED AND OUTSTANDING COMMON STOCK PURSUANT TO THE PIPE INVESTMENT AND BACKSTOP COMMITMENT.
|
Issuer
|
|
For
|
For
|
11-THE NASDAQ PROPOSAL - TO APPROVE, FOR PURPOSES OF COMPLYING WITH APPLICABLE NASDAQ LISTING RULES, THE ISSUANCE OF MORE THAN 20% OF THE COMPANY'S ISSUED AND OUTSTANDING COMMON STOCK PURSUANT TO THE PIPE INVESTMENT AND BACKSTOP COMMITMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Morgan Stanley Eastern Europe
Fund, Inc.
|
2/23/2015
|
616988101
|
RNE
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. To approve a proposal to liquidate and dissolve the Fund pursuant to the plan of Liquidation adopted by the Board of Directors of the Fund.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Central Securities Corp.
|
3/18/2015
|
155123102
|
CET
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) L. PRICE BLACKFORD 2)SIMMS C. BROWNING 3)DONALD G. CALDER 4) DAVID C. COLANDER 5) JAY R. INGLIS 6)WILMOT H. KIDD 7)C. CARTER WALKER, JR.
|
Issuer
|
|
Mirror vote
|
For
|
2-RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015.
|
Issuer
|
|
Mirror vote
|
AGN
|
3-IF PROPERLY PRESENTED, TO ACT UPON A STOCKHOLDER PROPOSAL RECOMMENDING THAT THE BOARD OF DIRECTORS CONSIDER WHETHER THE CORPORATION BE LIQUIDATED.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Alliance New York Muni Income Fund, Inc.
|
3/30/2015
|
018714105
|
AYN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. Director 1) MARSHALL C. TURNER, JR. 2) GARRY L. MOODY 3)EARL D. WEINER
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Alliance New York Muni Income Fund, Inc. Ser M
|
3/30/2015
|
01871P207
|
AYN ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) MARSHALL C. TURNER, JR. 2) GARRY L. MOODY 3)EARL D. WEINER
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Alliance New York Muni Income
Fund, Inc. Ser T
|
3/30/2015
|
01871P306
|
AYN ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) MARSHALL C. TURNER, JR. 2) GARRY L. MOODY 3)EARL D. WEINER
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Diversified Commodity
Fund
|
3/31/2015
|
67074P104
|
CFD
|
|
Vote
|
Management
Recommended Vote |
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE AND ADOPT A THIRD AMENDMENT AND RESTATEMENT OF THE CURRENT SECOND AMENDED AND RESTATED TRUST AGREEMENT OF NUVEEN DIVERSIFIED COMMODITY FUND.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Lng/Shrt Commodity Total
Ret FD
|
3/31/2015
|
670731108
|
CTF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE AND ADOPT A THIRD AMENDMENT AND RESTATEMENT OF THE CURRENT SECOND AMENDED AND RESTATED TRUST AGREEMENT OF NUVEEN LONG/SHORT COMMODITY TOTAL RETURN FUND
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Tri-Continental Corp.
|
4/13/2015
|
895436103
|
TY
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. Director 1) KATHLEEN BLATZ 2) PAMELA G. CARLTON 3)ALISON TAUNTON-RIGBY 4) WILLIAM A. HAWKINS
|
Issuer
|
|
Mirror vote
|
For
|
2-TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
Issuer
|
|
Mirror vote
|
AGN
|
3-STOCKHOLDER PROPOSAL REGARDING SELF-TENDER OFFER.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
General American Investors
Company, Inc.
|
4/15/2015
|
368802104
|
GAM
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) MR. BERENS 2) MR. CULLMAN 3) MR. DAVIDSON 4) MR. GORDAN 5) MS. GOTBAUM 6) MR. KNAFEL 7) MR. NEIDICH 8) MR. PRIEST
|
Issuer
|
|
Mirror vote
|
For
|
B. RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS.
|
Issuer
|
|
Mirror vote
|
AGN
|
C. APPROVAL OF THE NON-BINDING SHAREHOLDER PROPOSAL RELATING TO A SELF-TENDER OF ALL OUTSTANDING COMMON SHARES AT OR CLOSE TO NET ASSET VALUE.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ALLIANCEBERNSTEIN INCOME FD
|
4/16/2015
|
01881E101
|
ACG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) MARSHALL C. TURNER, JR. 2) GARRY L. MOODY 3) EARL D. WEINER
|
Issuer
|
|
Mirror vote
|
AGN
|
2-TO APPROVE, IF PROPERLY PRESENTED, ONE NONBINDING STOCKHOLDER PROPOSAL.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Juridica Investment Limited
|
4/20/2015
|
GG00B29LSW52
|
JIL LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-THAT EACH OF THE ANNUAL REPORT AND ACCOUNTS FOR THE PERIOD FROM 1 JANUARY 2014 TO 31 DECEMBER 2014, THE DIRECTOR'S REPORT AND THE AUDITOR'S REPORT BE RECEIVED AND ADOPTED
|
Issuer
|
|
Against
|
For
|
2-THAT THE TOTAL AGGREGATE REMUNERATION OF THE DIRECTORS OF THE COMPANY BEING USD 543,819 IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2014 BE APPROVED
|
Issuer
|
|
For
|
For
|
3-THAT RICHARD JOHN BATTEY BE RE-ELECTED AS A DIRECTOR OF THE COMPANY
|
Issuer
|
|
For
|
For
|
4-THAT PRICEWATERHOUSECOOPERS CI LLP BE RE-APPOINTED AS AUDITORS OF THE COMPANY
|
Issuer
|
|
For
|
For
|
5-THAT THE DIRECTORS BE AUTHORISED TO FIX THE REMUNERATION OF THE AUDITORS
|
Issuer
|
|
For
|
For
|
6-THAT THE COMPANY GENERALLY BE AND IS HEREBY AUTHORISED FOR THE PURPOSES OF SECTION 315 OF THE COMPANIES LAW TO MAKE ONE OR MORE MARKET ACQUISITIONS (AS DEFINED IN THE COMPANIES LAW) OF ORDINARY SHARES IN THE CAPITAL OF THE COMPANY
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam Managed Muni Inc PFD
SER C
|
4/23/2015
|
746823400
|
PMM ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1A- FIXING THE NUMBER OF TRUSTEES AT 14.
|
Issuer
|
|
Mirror vote
|
For
|
1. Director 1) LIAQUAT AHAMED 2) RAVI AKHOURY 3) BARBARA M. BAUMANN 4) JAMESON A. BAXTER 5) CHARLES B. CURTIS 6) ROBERT J. DARRETTA 7) KATINKA DOMOTORFFY 8) JOHN A. HILL 9) PAUL L. JOSKOW 10) KENNETH R. LEIBLER 11) ROBERT E. PATTERSON 12) GEORGE PUTNAM, III 13) ROBERT L. REYNOLDS 14) W. THOMAS STEPHENS
|
Issuer
|
|
Mirror vote
|
Against
|
2-APPROVAL OF THE CONVERSION OF YOUR FUND FROM CLOSED-END TO OPEN-END STATUS AND CERTAIN RELATED AMENDMENTS TO YOUR FUND'S DECLARATION OF TRUST.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam Muni Opportunities TR
PFD CL C
|
4/23/2015
|
746922400
|
PMO ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1A- FIXING THE NUMBER OF TRUSTEES AT 14.
|
Issuer
|
|
Mirror vote
|
For
|
1. Director 1) LIAQUAT AHAMED 2) RAVI AKHOURY 3) BARBARA M. BAUMANN 4) JAMESON A. BAXTER 5) CHARLES B. CURTIS 6) ROBERT J. DARRETTA 7) KATINKA DOMOTORFFY 8) JOHN A. HILL 9) PAUL L. JOSKOW 10) KENNETH R. LEIBLER 11) ROBERT E. PATTERSON 12) GEORGE PUTNAM, III 13) ROBERT L. REYNOLDS 14) W. THOMAS STEPHENS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ADAMS EXPRESS COMPANY
|
4/30/2015
|
006212104
|
ADX
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) ENRIQUE R. ARZAC 2) PHYLLIS O. BONANNO 3) KENNETH J. DALE 4) FREDERIC A. ESCHERICH 5) ROGER W. GALE 6) KATHLEEN T. MCGAHRAN 7) CRAIG R. SMITH 8) MARK E. STOECKLE
|
Issuer
|
|
Mirror vote
|
For
|
2-THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT PUBLIC AUDITORS.
|
Issuer
|
|
Mirror vote
|
For
|
3-TO CONSIDER AND VOTE UPON A PROPOSAL TO AMEND THE COMPANY'S FUNDAMENTAL INVESTMENT POLICY ON INVESTMENTS IN COMMODITIES OR COMMODITIES CONTRACTS
|
Issuer
|
|
Mirror vote
|
For
|
4-TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE COMPANY PROVIDING INVESTMENT ADVISORY SERVICES TO OUTSIDE ACCOUNTS
|
Issuer
|
|
Mirror vote
|
Against
|
5-TO CONSIDER AND VOTE UPON, IF PROPERLY PRESENTED, A STOCKHOLDER PROPOSAL RECOMMENDING THAT THE BOARD OF DIRECTORS CONSIDER CAUSING THE COMPANY TO CONDUCT A SELF- TENDER OFFER FOR ALL OF ITS OUTSTANDING COMMON SHARES.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Blackrock Latin American
Investment Trust PLC
|
4/30/2015
|
GB0005058408
|
BRLA LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO RECEIVE THE REPORT OF THE DIRECTORS AND THE FINANCIAL STATEMENTS FOR THE YEAR ENDED 31 DECEMBER 2014, TOGETHER WITH THE REPORT OF THE AUDITORS THEREON
|
Issuer
|
|
Against
|
For
|
2-TO APPROVE THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2014
|
Issuer
|
|
For
|
For
|
3- TO DECLARE A FINAL DIVIDEND OF 15.00 CENTS PER SHARE
|
Issuer
|
|
Against
|
For
|
4- TO RE-ELECT MR BURNELL AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
5-TO RE-ELECT MR MONTEIRO DE CASTRO AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
6-TO RE-ELECT EARL ST ALDWYN AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
7-TO RE-ELECT DR DOCTOR AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
8-TO RE-ELECT MR WHITEHEAD AS A DIRECTOR
|
Issuer
|
|
For
|
For
|
9-TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY
|
Issuer
|
|
For
|
For
|
10-TO AUTHORISE THE AUDIT COMMITTEE TO DETERMINE THE AUDITORS' REMUNERATION
|
Issuer
|
|
For
|
For
|
11-TO GRANT THE DIRECTORS AUTHORITY TO ALLOT SHARES
|
Issuer
|
|
For
|
For
|
12-TO AUTHORISE THE DIRECTORS TO DISAPPLY PRE-EMPTION RIGHTS IN RESPECT OF ISSUES OF NEW ORDINARY SHARES OR THE SALE OF ORDINARY SHARES OUT OF TREASURY
|
Issuer
|
|
For
|
For
|
13-TO AUTHORISE THE DIRECTORS TO PURCHASE THE COMPANY'S ORDINARY SHARES FOR CANCELLATION OR TO BE HELD IN TREASURY
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Stewart Information Services
Corporation
|
5/1/2015
|
860372101
|
STC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1. Director 1) ARNAUD AJDLER 2) ROBERT L. CLARKE 3) JAMES CHADWICK 4) GLENN C. CHRISTENSON 5) LAURIE C. MOORE
|
Issuer
|
|
For
|
For
|
2-ADVISORY APPROVAL REGARDING THE COMPENSATION OF STEWART INFORMATION SERVICES CORPORATION'S NAMED EXECUTIVE OFFICERS (SAY-ON-PAY).
|
Issuer
|
|
For
|
For
|
3-RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS STEWART INFORMATION SERVICES CORPORATION'S INDEPENDENT AUDITORS FOR 2015
|
Issuer
|
|
For
|
For
|
4-RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS STEWART INFORMATION SERVICES CORPORATION'S INDEPENDENT AUDITORS FOR 2015
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The GDL Fund
|
5/11/2015
|
361570104
|
GDL
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) MARIO J. GABELLI, CFA 2) MARIO D'URSO 3) MICHAEL J. MELARKEY
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Equus Total Return, Inc.
|
5/14/2015
|
294766100
|
EQS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1. Director 1) Fraser Atkinson 2) Alessanfro Benedetti 3) Richard F. Bergner 4) Kenneth I. Denos 5) Gregory J. Flanagan 6) Henry W. Hankinson 7) John A. Hardy 8) Robert L. Flanagan 9) Bertrand Des Pallieres
|
Issuer
|
|
Mirror Vote
|
For
|
2-To ratify the selection of BDO USA, LLP as the Fund's independent registered public accounting firm for the accounting firm for the fiscal year ending December 31, 2015
|
Issuer
|
|
Mirror Vote
|
For
|
3-To approve, in a non-binding vote, the compensation paid to the fund's executive officers in 2014, as disclosed pursuant to item 302 of regulation S-K, including the compensation discussion and analysis, compensation tables, and narrative discussion.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Nuveen Diversified Commodity
Fund
|
5/15/2015
|
67074P104
|
CFD
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE AND ADOPT A THIRD AMENDMENT AND RESTATEMENT OF THE CURRENT SECOND AMENDED AND RESTATED TRUST AGREEMENT OF NUVEEN DIVERSIFIED COMMODITY FUND.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Firsthand Technology Value Fund
|
5/21/2015
|
33766Y100
|
SVVC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. Director 1) GREG BURGLIN 2) RODNEY YEE
|
Issuer
|
|
Mirror vote
|
For
|
2-THE RATIFICATION OF THE SELECTION OF TAIT, WELLER & BAKER LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2015.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Associated Estates Realty
Corporation
|
5/22/2015
|
045604105
|
AEC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1. Director 1) CHARLES M. ELSON 2) JONATHAN LITT 3) R. SCOT SELLERS
|
Shareholder
|
|
For
|
For
|
2-TO VOTE ON THE COMPANY'S PROPOSAL TO APPROVE THE AMENDMENT TO THE ASSOCIATED ESTATES REALTY CORPORATION AMENDED AND RESTATED CODE OF REGULATIONS.
|
Shareholder
|
|
For
|
For
|
3-SUBJECT TO THE APPROVAL OF PROPOSAL 2, THE ELECTION OF THE INDIVIDUAL IDENTIFIED IN PROPOSAL 3 OF THE WHITE PROXY CARD FURNISHED BY THE COMPANY'S MANAGEMENT IN CONNECTION WITH THE ANNUAL MEETING TO SERVE AS A DIRECTOR ON THE COMPANY'S BOARD OF DIRECTORS.
|
Shareholder
|
|
For
|
For
|
4-TO VOTE ON THE COMPANY'S PROPOSAL TO APPROVE THE ASSOCIATED ESTATES' THIRD AMENDED AND RESTATED ARTICLES OF INCORPORATION.
|
Shareholder
|
|
For
|
For
|
5-TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015.
|
Shareholder
|
|
Against
|
Against
|
6-TO VOTE ON THE COMPANY'S PROPOSAL TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Imperial Holdings, Inc.
|
5/28/2015
|
452834104
|
IFT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1. Director 1) JAMES CHADWICK 2) MICHAEL CROW 3) ) ANDREW DAKOS 4) RICHARD DAYAN 5) PHILLIP GOLDSTEIN 6) GERALD HELLERMAN 7) ANTONY MITCHELL
|
Issuer
|
|
For
|
For
|
2-TO VOTE ON AN ADVISORY RESOLUTION ON THE COMPENSATION OF CERTAIN OF THE COMPANY'S EXECUTIVE OFFICERS IN 2014.
|
Issuer
|
|
For
|
For
|
3-TO APPROVE AN AMENDMENT TO THE COMPANY'S BYLAWS REGARDING CLAIMS THAT MAY BE BROUGHT BY A SHAREHOLDER ON BEHALF OF THE COMPANY AND/OR ANY CLASS OF CURRENT AND/OR PRIOR SHAREHOLDERS AGAINST THE COMPANY, ITS OFFICERS AND DIRECTORS (THE "REPRESENTATIVE CLAIMS BYLAW").
|
Issuer
|
|
For
|
For
|
4-TO APPROVE THE AMENDMENT AND RESTATEMENT OF THE COMPANY'S 2010 OMNIBUS INCENTIVE PLAN, INCLUDING APPROVAL OF THE MATERIAL TERMS OF THE PERFORMANCE GOALS UNDER THE COMPANY'S 2010 OMNIBUS INCENTIVE PLAN.
|
Issuer
|
|
For
|
For
|
5-TO APPROVE AN AMENDMENT TO THE COMPANY'S ARTICLES OF INCORPORATION TO CHANGE THE COMPANY NAME TO EMERGENT CAPITAL, INC.
|
Issuer
|
|
For
|
For
|
6-TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2015.
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Consent cut-off
|
CUSIP
|
Ticker
|
|
Winthrop Realty Trust
|
5/28/2015
|
976391300
|
FUR
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1. Director 1) MICHAEL L. ASHNER 2) ARTHUR BLASBERG, JR. 3) HOWARD GOLDBERG 4) THOMAS F. MCWILLIAMS 5) LEE SEIDLER 6) CAROLYN TIFFANY 7) STEVEN ZALKIND
|
Issuer
|
|
For
|
For
|
2. PROPOSAL TO RATIFY PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
LMP Real Estate Income Fund Inc.
|
5/29/2015
|
50208C108
|
RIT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
AGAINST
|
1. Director 1)GERALD HELLERMAN 2) ANDREW DAKOS 3) RICHARD COHEN
|
SHAREHOLDER
|
|
For
|
AGAINST
|
2-THE SHAREHOLDERS RECOMMEND THAT THE BROAD AUTHORIZE A SELF-TENDER OFFER FOR THE COMMON SHARES OF THE FUND AT OR CLOSE TO NET ASSET VALUE
|
SHAREHOLDER
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Millennium Investment
Acquisition Co Inc
|
6/9/2015
|
600329Q101
|
SMCG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1. Director 1) David H. Lesser 2) Dionisio D'Aguilar 3) Jesse Derris 4) Kevin Mctavish
|
Issuer
|
|
Mirror Vote
|
For
|
2-To ratify the board's selection of Markspaneth, LLP as independent auditors of the company.
|
Issuer
|
|
Mirror Vote
|
For
|
3 - To transact such other business as may properly come before the meeting, or any adjournments thereof
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2014 - June 30,2015
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Swiss Helvetia Fund
|
6/25/2015
|
870875101
|
SWZ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1. Director 1) BRIAN A. BERRIS 2) DAVID R. BOCK
|
Issuer
|
|
Mirror Vote
|
For
|
2-WITH RESPECT TO THE PROPOSAL TO RATIFY THE SELECTION BY THE FUND'S BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2015.
|
Issuer
|
|
Mirror Vote
|
AGN
|
3-THE STOCKHOLDER ASKS THE BOARD OF DIRECTORS TO TAKE THE STEPS NECESSARY TO REORGANIZE THE BOARD OF DIRECTORS INTO ONE CLASS WITH EACH DIRECTOR SUBJECT TO ELECTION EACH YEAR, AS DESCRIBED IN THE ACCOMPANYING PROXY STATEMENT.
|
Issuer
|