|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Thai Fund, Inc.
|
7/24/2012
|
882904105
|
TTF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All
|
For
|
Director - 1) Michael Bozic, 2)Michael F. Klein, 3)W. Allen Reed
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Hicks Acquisition CO II Inc
|
7/12/2012
|
429090103
|
HKAC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
2.1 Director - 1)S.P. Carter-CL I, 2) T.O. Hicks-CL I, 3) A.F.Reardon-CL I,
4)M.R.Richards-CL II, 5)K.P. Seifert-CL II, 6)M.A.Suwyn-Cl II,
7) T.M. Murphy-CL III, 8) C. Weaver Vest-CL III, 9) G.W. Wurtz-CL III
|
Issuer
|
|
For
|
For
|
2.2 ADOPTION OF EQUITY INCENTIVE PLAN-PROPOSAL IS MORE FULLY DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS
|
Issuer
|
|
For
|
For
|
2.3 ADOPTION OF PURCHASE AGREEMENTS AND THE TRANSACTION-PROPOSAL IS MORE FULLY DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS
|
Issuer
|
|
For
|
None
|
2.E ELECTION TO EXERCISE REDEMPTION RIGHTS, IF YOU WISH TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE MARK ANY VOTING SELECTION FOR THIS PROPOSAL, PLEASE READ THE PROXY STATEMENT/ PROSPECTUS FOR ADDITIONAL INFORMATION ON THIS ELECTION
|
Issuer
|
|
For
|
For
|
2.4 ADJOURNMENT OF SPECIAL MEETING OF THE STOCKHOLDERS-PROPOSAL IS MORE FULLY DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS.
|
Issuer
|
|
For
|
For
|
3.1 AMENDMENT OF CERTIFICATE OF INCORPORATION-PROPOSAL IS MORE FULLY DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS
|
Issuer
|
|
For
|
None
|
3.E ELECTION TO EXERCISE REDEMPTION RIGHTS, IF YOU WISH TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE MARK ANY VOTING SELECTION FOR THIS PROPOSAL, PLEASE READ THE PROXY STATEMENT/ PROSPECTUS FOR ADDITIONAL INFORMATION ON THIS ELECTION. IN ORDER TO EXERCISE THIS REDEMPTION YOU MUST VOTE AGAINST PROPOSAL 3.1
|
Issuer
|
|
For
|
For
|
3.2 ADJOURNMENT OF SPECIAL MEETING OF THE STOCKHOLDERS-PROPOSAL IS MORE FULLY DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Hicks Acquisition Company II Inc. Wts
|
7/12/2012
|
429090111
|
HKACW
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1.1 AMENDMENT TO WARRANT AGREEMENT-PROPOSAL IS MORE FULLY DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS
|
Issuer
|
|
For
|
For
|
1.2 ADJOURNMENT OF SPECIAL MEETING OF PUBLIC WARRANTHOLDERS- PROPOSAL IS MORE FULLY DESCRIBED IN THE PROXY STATEMENT/ PROSPECTUS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Neuberger Berman R/E Sec incomw
|
7/25/2012
|
64190A103
|
NRO
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For all
|
For
|
Director - 1) Faith Colish, 2) Robert Conti, 3) Michael M. Knetter, 4) Peter P. Trapp
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Morgan Stanley Frontier Emerging Market
|
8/22/2012
|
61757P101
|
FFD
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For all
|
For
|
TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE ACTIONS AND TRANSACTIONS DESCRIBED IN THAT CERTAIN AGREEMENT AND PLAN OF REORGANIZATION, DATED APRIL 25, 2012 (THE "REORGANIZATION AGREEMENT"), BETWEEN MORGAN STANLEY FRONTIER EMERGING MARKETS FUND, INC. AND MORGAN STANLEY INSTITUTIONAL FUND, INC. (THE "COMPANY"), ON BEHALF OF THE FRONTIER EMERGING MARKETS PORTFOLIO (THE "ACQUIRING FUND"), ALL AS MORE
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Liberty All-Star Growth Fund
|
7/30/2012
|
529900102
|
ASG
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For all
|
For
|
Director - 1) Thomas W. Brock, 2) John J. Neuhauser
|
Issuer
|
|
Against
|
Against
|
2. - Stockholder proposal presented under the heading "Stockholder Proposal" in the accompanying proxy statement.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Australia Acquisition Corp.
|
8/13/2012
|
G06368107
|
AAC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1 - Vote on amendment of articles of associatio n as further describer in the proxy materials.
|
Issuer
|
|
None
|
None
|
1A - PLEASE BE ADVISED THAT IF YOU VOTED OTHER THAN "FOR" ON PROPOSAL 1 YOU HAVE THE RIGHT TO EXERCISE YOUR REDEMPTION RIGHTS. IN ORDER TO EXERCISE YOUR REDEMPTION RIGHTS, YOU MUST MARK THE "FOR", "AGN", OR "ABS" OPTION ASSOCIATED TO PROPOSAL 1A. IF YOU MARK "FOR", "AGN", OR "ABS" ASSOCIATED TO PROPOSAL 1A YOU WILL BE ELECTING TO EXERCISE YOUR REDEMPTION RIGHTS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
JWC Acquisition Corp
|
8/16/2012
|
46634Y102
|
JWCA
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO ADOPT THE CONTRIBUTION AND MERGER AGREEMENT AND APPROVE THE TRANSACTIONS CONTEMPLATED THEREBY, AS FURTHER DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS.
|
Issuer
|
|
For
|
For
|
2-TO APPROVE AN AMENDMENT TO THE COMPANY'S CHARTER, AS FURTHER DESCRIBED IN THE PROXY STATEMENT/PROSPECTUS.
|
Issuer
|
|
For
|
For
|
3-TO APPROVE THE ADJOURNMENT OF SPECIAL MEETING OF THE STOCKHOLDERS, AS FURTHER DESCRIBED IN THE PROXY STATEMENT/ PROSPECTUS.
|
Issuer
|
|
For
|
None
|
4-ELECTION TO EXERCISE REDEMPTION RIGHTS, IF YOU WISH TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE MARK ANY VOTING SELECTION FOR THIS PROPOSAL, PLEASE ALSO READ THE PROXY STATEMENT/PROSPECTUS FOR ADDITIONAL REQUIREMENTS NECESSARY TO EXERCISE YOUR REDEMPTION RIGHTS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS Municipal Income Trust PFD CL TH
|
8/31/2012
|
552738304
|
MFM ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1 -TO APPROVE THE PROPOSED AMENDMENTS TO THE TRUST'S BYLAWS TO REPLACE STANDARD & POOR'S, A DIVISION OF THE MCGRAW-HILL COMPANIES, INC, WITH FITCH, INC. AS A RATING AGENCY FOR THE TRUST'S MUNICIPAL AUCTION RATE CUMULATIVE PREFERRED SHARES AND MAKE OTHER NOTED CHANGES.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS Municipal Income Trust PFD CL T
|
8/31/2012
|
552738205
|
MFM ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1 -TO APPROVE THE PROPOSED AMENDMENTS TO THE TRUST'S BYLAWS TO REPLACE STANDARD & POOR'S, A DIVISION OF THE MCGRAW-HILL COMPANIES, INC, WITH FITCH, INC. AS A RATING AGENCY FOR THE TRUST'S MUNICIPAL AUCTION RATE CUMULATIVE PREFERRED SHARES AND MAKE OTHER NOTED CHANGES.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS High Yield Municipal Tr-Pfd
|
8/31/2012
|
59318E201
|
CMU ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1 -TO APPROVE THE PROPOSED AMENDMENTS TO THE TRUST'S BYLAWS TO REPLACE STANDARD & POOR'S, A DIVISION OF THE MCGRAW-HILL COMPANIES, INC, WITH FITCH, INC. AS A RATING AGENCY FOR THE TRUST'S MUNICIPAL AUCTION RATE CUMULATIVE PREFERRED SHARES AND MAKE OTHER NOTED CHANGES.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS Invt Grade Mun Tr-Pfd
|
8/31/2012
|
59318B207
|
CXH ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1 -TO APPROVE THE PROPOSED AMENDMENTS TO THE TRUST'S BYLAWS TO REPLACE STANDARD & POOR'S, A DIVISION OF THE MCGRAW-HILL COMPANIES, INC, WITH FITCH, INC. AS A RATING AGENCY FOR THE TRUST'S MUNICIPAL AUCTION RATE CUMULATIVE PREFERRED SHARES AND MAKE OTHER NOTED CHANGES.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Dividend And Income Fund
|
9/12/2012
|
25538A105
|
DNI
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
1-TO APPROVE A NEW INVESTMENT MANAGEMENT AGREEMENT BETWEEN THE FUND AND BEXIL ADVISERS LLC, THE FUND'S CURRENT INVESTMENT MANAGER. NO INCREASE TO THE MANAGEMENT FEE RATE IS PROPOSED.
|
Issuer
|
|
For
|
For
|
2-TO RATIFY THE APPOINTMENT OF TAIT, WELLER & BAKER LLP AS THE FUND'S INDEPENDENT REGISTERED AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Micro-Cap Trust Inc.
|
9/20/2012
|
780915104
|
RMT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. Director 1) CHARLES M. ROYCE 2) G. PETER O'BRIEN
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Value Trust Inc.
|
9/20/2012
|
780910105
|
RVT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. Director 1) CHARLES M. ROYCE 2) G. PETER O'BRIEN
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Focus Trust Inc.
|
9/20/2012
|
78080N108
|
FUND
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1. Director 1) CHARLES M. ROYCE 2) G. PETER O'BRIEN
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam managed Muni Inc. TR PFD Ser C
|
9/20/2012
|
746823400
|
PMM ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
1A-ELECTING YOUR FUND'S 13 NOMINEES FOR TRUSTEES:
|
Issuer
|
|
Withhold All Nominees
|
For
|
1B - Directors
|
Issuer
|
|
RAVI AKHOURY
|
|||
|
BARBARA M. BAUMANN
|
|||
|
JAMESON A. BAXTER
|
|||
|
CHARLES B. CURTIS
|
|||
|
ROBERT J. DARRETTA
|
|||
|
JOHN A. HILL
|
|||
|
PAUL L. JOSKOW
|
|||
|
ELIZABETH T. KENNAN
|
|||
|
KENNETH R. LEIBLER
|
|||
|
ROBERT E. PATTERSON
|
|||
|
GEORGE PUTNAM, III
|
|||
|
ROBERT L. REYNOLDS
|
|||
|
W. THOMAS STEPHENS
|
|||
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS Municipal Income Trust PFD CL TH
|
10/31/2012
|
552738304
|
MFM ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
Directors Recommended: A vote for election of the following Nominees 1B1-
01-David H. Gunning, 02-Robert E. Butler, 03-J. Dale Sherratt,
04-John P. Kavanaugh,05-Laurie J. Thomsen
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS Municipal Income Trust PFD CL T
|
10/31/2012
|
552738205
|
MFM ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
Directors Recommended: A vote for election of the following Nominees 1B1-
01-David H. Gunning, 02-Robert E. Butler, 03-J. Dale Sherratt,
04-John P. Kavanaugh, 05-Laurie J. Thomsen
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Advent Claymore Conv Secs & Inc Fd-TH28
|
10/24/2012
|
00764C505
|
AVK ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1A.-ELECTION OF CLASS III DIRECTOR: MR. TRACY V. MAITLAND
|
Issuer
|
|
For
|
For
|
1B.-ELECTION OF CLASS III DIRECTOR: MR. RONALD A. NYBERG
|
Issuer
|
|
For
|
For
|
1C.-ELECTION OF CLASS II DIRECTOR: MR. MICHAEL A. SMART
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS Invt Grade Mun Tr-Pfd
|
10/31/2012
|
59318B207
|
CXH ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
Directors Recommended: A vote for election of the following Nominees 1B1-
01-David H. Gunning, 02-Robert E. Butler, 03-J. Dale Sherratt, 04-John P. Kavanaugh, 05-Laurie J. Thomsen
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MFS High Yield Municipal Tr-Pfd
|
10/31/2012
|
59318E201
|
CMU ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
Directors Recommended: A vote for election of the following Nominees 1B1-
01-David H. Gunning, 02-Robert E. Butler, 03-J. Dale Sherratt,
04-John P. Kavanaugh,05-Laurie J. Thomsen
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Global Income & Currency Fund Inc.
|
11/16/2012
|
378968101
|
GCF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PURSUANT TO WHICH GLOBAL INCOME & CURRENCY FUND INC. ("ACQUIRED FUND") WOULD (I) TRANSFER SUBSTANTIALLY ALL OF ITS ASSETS TO NUVEEN DIVERSIFIED CURRENCY OPPORTUNITIES FUND ("ACQUIRING FUND"), (II) DISTRIBUTE SUCH SHARES OF ACQUIRING FUND TO COMMON HOLDERS OF ACQUIRED FUND, (III) LIQUIDATE, DISSOLVE & TERMINATE.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Diamond Hill Financial Trends Fund
|
11/14/2012
|
25264C101
|
DHFT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
1- PROPOSAL FOR NON-BINDING ADVISORY VOTE TO CONTINUE TO OPERATE THE FUND AS A CLOSED-END FINANCIAL SERVICES INVESTMENT COMPANY.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Gyrodyne Company of America, Inc.
|
12/14/2012
|
403820103
|
GYRO
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
Director 1) PAUL L. LAMB 2) NADER G.M. SALOUR 3)RICHARD B. SMITH
|
Issuer
|
|
For
|
For
|
TO RATIFY THE ENGAGEMENT OF HOLTZ RUBENSTEIN REMINICK LLP AS INDEPENDENT ACCOUNTANTS FOR THE CURRENT FISCAL YEAR.
|
Issuer
|
|
For
|
For
|
TO AMEND THE COMPANY'S RESTATED CERTIFICATE OF INCORPORATION TO ADD A PROVISION THAT DIRECTORS ARE ENTITLED TO LIMITATIONS ON PERSONAL LIABILITY.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Ellworth Fund LTD
|
1/18/2013
|
289074106
|
ECF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
Director 1) E.C. Bogan 2) Nicolas W. Platt
|
Issuer
|
|
For
|
For
|
PROPOSALTO RATIFY SELECTION OF ACCOUNTANTS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Greater China Fund, Inc.
|
1/8/2013
|
39167B102
|
GCH
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1- The approval of the prposed investment management agreement between the fund and Aberdeen Asset Management Asia Limited.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Terra Catalyst Fund, Grand Cayman
|
12/31/2012
|
KYG8761F1019
|
TCF LN
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
To amend article 9.4 of the articles of association and the investment management agreement.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Liberty All-Star Equity Fund
|
12/20/2012
|
53018104
|
USA
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1- To approve a new portfolio management agreement for the fund with ALPS Advisors, Inc. and TCW Investment Management Company
|
Issuer
|
|
For
|
For
|
2- To approve a new portfolio management agreement for the fund with ALPS Advisors, Inc. and Cornerstone Capital Mangement LLC.
|
Issuer
|
|
For
|
For
|
3- To approve, subject to the provisions of the exemptive relief by the U.S. Securities and Exchange Commission, a change to the "Managers-of-Managers" structure for the fund.
|
Issuer
|
|
Proxy mailed 12/20/12
|
|||
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Myrexis, Inc.
|
1/23/2013
|
62856H107
|
MYRX
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO APPROVE THE DISSOLUTION AND LIQUIDATION OF MYREXIS, INC. PURSUANT TO THE PLAN OF COMPLETE LIQUIDATION AND DISSOLUTION, AS DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
2-TO GRANT DISCRETIONARY AUTHORITY TO THE BOARD OF DIRECTORS TO ADJOURN THE SPECIAL MEETING, EVEN IF A QUORUM IS PRESENT, TO SOLICIT ADDITIONAL PROXIES IN THE EVENT THAT THERE ARE INSUFFICIENT SHARES PRESENT IN PERSON OR BY PROXY VOTING IN FAVOR OF PROPOSAL 1.
|
Issuer
|
|
For
|
For
|
3-TO APPROVE, BY NON-BINDING, ADVISORY VOTE, CERTAIN COMPENSATION ARRANGEMENTS FOR CERTAIN EXECUTIVE OFFICERS IN CONNECTION WITH THE DISSOLUTION AND LIQUIDATION OF MYREXIS, INC., AS DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Magnum Hunter Resources
|
1/17/2013
|
55973B300
|
MHR D
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
4-THE APPROVAL OF THE AMENDMENT OF MAGNUM HUNTER'S CERTIFICATE OF INCORPORATION, AS AMENDED, TO INCREASE THE AUTHORIZED NUMBER OF SHARES OF MAGNUM HUNTER PREFERRED STOCK TO 15,000,000.
|
Issuer
|
|
Against
|
For
|
6-THE APPROVAL OF AN ADJOURNMENT OF THE MEETING, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE FOREGOING PROPOSAL.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Eaton Vance T/A Global Div
|
2/15/2013
|
27828U106
|
ETO
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
DIRECTOR - 1) RONALD A. PEARLMAN 2) HELEN FRAME PETERS
3) RALPH F. VERNI
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Bancroft Fubd Ltd
|
2/22/2013
|
059695106
|
BCV
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
DIRECTOR - 1) JANE D. O'KEEFFE 2) NICOLAS W. PLATT
|
Issuer
|
|
For
|
For
|
2-PROPOSAL TO RATIFY SELECTION OF ACCOUNTANTS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Diamond Hill Financial Trends Fund
|
2/28/2013
|
25264C101
|
DHFT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1- PROPOSAL TO APPROVE THE LIQUIDATION AND DISSOLUTUON OF THE FUND PURSUANT TO THE PLAN OF LIQUIDATION.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Global Eagle Acquisition Corp.
|
1/31/2013
|
37951D102
|
EAGL
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-APPROVAL OF THE BUSINESS COMBINATION, AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT
|
Issuer
|
|
For
|
For
|
2-APPROVAL OF THE CERTIFICATE PROPOSAL, AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
3- 01-Jeffrey A. Leddy*, 02-Jeffrey E. Epstein*, 03-Harry E. Sloan**,
04-Jeff Sagansky**,05-Edward L. Shapiro**
|
Issuer
|
|
For
|
For
|
APPROVAL OF THE GLOBAL EAGLE ENTERTAINMENT INC. 2013 EQUITY INCENTIVE PLAN, AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
APPROVAL OF THE ADJOURMENT PROPOSAL, AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS PLEASE CHECK "FOR". CHECKING THE BOX, HOWEVER IS NOT SUFFICIENT TO EXERCISE REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH UNDER "REDEMPTION RIGHTS" ON PAGE 86 OF THE PROXY STATEMENT. IF YOU DO NOT INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE LEAVE BLANK.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Aberdeen Israel Fund
|
3/14/2013
|
00301L109
|
ISL
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All Nominees
|
For
|
Director 1) Lawrence J. Fox
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
JPMORGAN ASIAN INVESTMENT TRUST PLC,LONDON
|
1/31/2013
|
GB0001320778
|
JAI LN
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1 - To receive the Dirctors Report the Annual Accounts and the Auditors Report for the year ended 30th Sep-12
|
Issuer
|
|
For
|
For
|
2- To approve the Directors Remuneration Report for the year ended 30th September 2012
|
Issuer
|
|
For
|
For
|
3 - To declare a final dividend on the Ordinary shares
|
Issuer
|
|
Abstain
|
For
|
4-8 - To re-elect as directors of the Company: Mr James Long, Mr Ronald Gould, Mr James Strachan, Mr Andrew Sykes, Dr Linda Yuch
|
Issuer
|
|
For
|
For
|
9 - To appoint PricewaterhouseCoopers LLP as Auditors to the Company
|
Issuer
|
|
For
|
For
|
10 - To authorise the Directors to determine the remuneration of the Auditors
|
Issuer
|
|
Against
|
For
|
11 - To continue in existance as an investment trust for a period expiring at the conclusion of the Company's annual general meeting to be held 2014
|
Issuer
|
|
Against
|
For
|
12 - TO grant authority to allot new shares
|
Issuer
|
|
Against
|
For
|
13 - To grant authority to disapply pre-emption rights on allotment of relevant securities
|
Issuer
|
|
For
|
For
|
14 - To grant authority to repurchase the company's shares
|
Issuer
|
|
For
|
For
|
15 - To grant authority to make two conditional tender offers
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
China Vantagepoint Acquisition Company
|
2/25/2013
|
G2161W129
|
CHVPF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1 - PROPOSAL TO AMEND THE COMPANY'S ARTICLES OF ASSOCIATION TO CONTINUE ITS EXISTENCE AFTER FEBRUARY 25, 2013.
|
Issuer
|
|
For
|
For
|
2 - PROPOSAL TO NOT REQUIRE THE COMPANY TO COMPLY WITH ARTICLES 157-163 OF THE ARTICLES OF ASSOCIATION (WHICH GOVERN THE ACTIVITIES OF THE COMPANY WHILE IT IS A SPAC) AFTER THE EARLIER TO OCCUR OF A CONSUMMATION OF A BUSINESS COMBINATION OR THE LIQUIDATION OF THE TRUST ACCOUNT
|
Issuer
|
|
For
|
For
|
3 - PROPOSAL TO THE ADJOURNMENT OF THE SPECIAL MEETING TO A LATER TIME, IF NECESSARY, TO PERMIT FURTHER SOLICITATION OF PROXIES IN THE EVENT THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE ANY OR ALL OF THE OTHER TWO PROPOSALS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Adams Express Company
|
3/19/2013
|
006212104
|
ADX
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold all
|
For
|
1 -Directors 01-Enrique R. Arzac, 02-Phyllis O. Bonanno, 03-Kenneth J. Dale,
04-Frederic A. Escherich, 05-Roger W. Gale, 06-Kathleen T. Mcgahran, 07-Craig R. Smith, 08-Mark E. Stoeckle
|
Issuer
|
|
For
|
For
|
2 -THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT PUBLIC AUDITORS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MVC Capital, Inc.
|
4/3/2013
|
553829102
|
MVC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For All
|
For All
|
1 -Directors 01-Emilio Dominianni, 02-Phillip Goldstein, 03-Gerald Hellerman,
04-Warren Holtsberg, 05-Robert Knapp, 06-William Taylor, 07-Michael Tokarz
|
Issuer
|
|
For
|
For
|
2 -THE SELECTION OF ERNST & YOUNG LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Tri-Continental Corp.
|
4/17/2013
|
895436103
|
TY
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All
|
For
|
1 -Directors 01-Leroy C. Richie, 02-William F. Truscott
|
Issuer
|
|
For
|
For
|
2 -THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE CORPORATION'SINDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM..
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Lennar Corp.
|
4/10/2013
|
526057302
|
LEN/B
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For All
|
1 -Directors 01-Emilio Dominianni, 02-Phillip Goldstein, 03-Gerald Hellerman,
04-Warren Holtsberg, 05-Robert Knapp, 06-William Taylor, 07-Michael Tokarz
|
Issuer
|
|
Against
|
For
|
2 -THE SELECTION OF ERNST & YOUNG LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013
|
Issuer
|
|
For
|
For
|
3 - TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY'S FISCAL YEAR ENDING NOVEMBER 30, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Central Securities Corp.
|
3/20/2013
|
155123102
|
CET
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All
|
For All
|
1 -Directors 01-L. Price Blackfird, 02-Simm C. Browning, 03-Donald G. Calder,
04-David C. Colander, 05-Jay R. Inglis, 06-Wilmot H. Kidd, 07Carter Walker, Jr.
|
Issuer
|
|
For
|
For
|
2-APPROVAL OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Central Europe And Russia Fund
|
4/19/2013
|
153436100
|
CEE
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO APPROVE A CHANGE IN THE FUND'S INVESTMENT OBJECTIVE, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
EV Risk-Managed Div. Equity Income Fund
|
4/19/2013
|
27829G106
|
ETJ
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-Directors- 01-Lynn A. Stout, 02-Harriett Tee Taggart, 03-Ralph F. Verni
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Lone Oak Acquisition
|
3/22/2013
|
G5693V105
|
LOKKF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-PROPOSAL TO AMEND THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION.
|
Issuer
|
|
For
|
For
|
2-PROPOSAL TO APPROVE THE DISTRIBUTION OF THE ASSETS OF THE TRUST ACCOUNT TO THE HOLDERS OF THE IPO SHARES WHO WISH TO REDEEM THEIR SHARES IN CONNECTION WITH THE AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION.
|
Issuer
|
|
For
|
For
|
3-PROPOSAL TO THE ADJOURNMENT OF THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO PERMIT FURTHER SOLICITATION OF PROXIES IN THE EVENT THERE ARE INSUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE ANY OR ALL OF THE OTHER TWO PROPOSALS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Azteca Acquisition Corp.
|
4/4/2013
|
05501E102
|
AZTA
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED JANUARY 22, 2013 (THE "MERGER AGREEMENT"), BY AND AMONG AZTECA, HEMISPHERE MEDIA GROUP, INC., INTERMEDIA ESPANOL HOLDINGS, LLC, CINE LATINO, INC., HEMISPHERE MERGER SUB I, LLC, HEMISPHERE MERGER SUB II, INC. AND HEMISPHERE MERGER SUB III, INC.
|
Issuer
|
|
For
|
None
|
1A-IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS PLEASE CHECK THE FOR OR AGAINST BOX FOR THIS PROPOSAL. CHECKING THE BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH UNDER "REDEMPTION RIGHTS" IN THE PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
2-TO ADJOURN THE AZTECA SPECIAL MEETING TO PERMIT FURTHER SOLICITATION OF PROXIES BECAUSE THERE ARE NOT SUFFICIENT PROXIES AT THE AZTECA SPECIAL MEETING TO VOTE IN FAVOR OF THE APPROVAL AND ADOPTION OF THE MERGER AGREEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Azteca Acquisition Corp. WTS
|
4/4/2013
|
05501E110
|
AZTAW
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO APPROVE AN AMENDMENT TO THE TERMS OF YOUR WARRANT THAT WILL REDUCE BY 50% THE NUMBER OF SHARES OF AZTECA COMMON STOCK FOR WHICH YOUR WARRANTS ARE EXERCISABLE (FROM ONE SHARE TO ONE-HALF SHARE), WITH THE WARRANT PRICE BEING REDUCED TO $6.00 PER HALF SHARE AND MAKE CERTAIN OTHER AMENDMENTS TO YOUR RIGHTS AS A WARRANTHOLDER.
|
Issuer
|
|
For
|
For
|
2-TO ADJOURN THE AZTECA SPECIAL MEETING TO PERMIT FURTHER SOLICITATION OF PROXIES BECAUSE THERE ARE NOT SUFFICIENT PROXIES AT THE AZTECA SPECIAL MEETING TO VOTE IN FAVOR OF THE WARRANT AMENDMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
New York Mortgage Trust Inc
|
5/9/2013
|
649604501
|
NYMT
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER, DATED JANUARY 22, 2013 (THE "MERGER AGREEMENT"), BY AND AMONG AZTECA, HEMISPHERE MEDIA GROUP, INC., INTERMEDIA ESPANOL HOLDINGS, LLC, CINE LATINO, INC., HEMISPHERE MERGER SUB I, LLC, HEMISPHERE MERGER SUB II, INC. AND HEMISPHERE MERGER SUB III, INC.
|
Issuer
|
|
Abstain
|
For
|
2- ADVISORY VOTE ON NAMED EXECUTIVE OFFICER ("NEO") COMPENSATION.
|
Issuer
|
|
Abstain
|
1 year
|
3-ADVISORY VOTE ON THE FREQUENCY OF FUTURE ADVISORY VOTES ON NEO COMPENSATION.- 1 year, 2 years or 3 years
|
Issuer
|
|
For
|
For
|
4-TO CONSIDER AND ACT UPON A PROPOSAL TO RATIFY, CONFIRM AND APPROVE THE SELECTION OF GRANT THORNTON LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Imperial Holdings Inc.
|
6/6/2013
|
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 2012 COMPENSATION OF CERTAIN OF THE COMPANY'S EXECUTIVE OFFICERS.
|
Issuer
|
|
1 year
|
1 year
|
3-TO DETERMINE THE FREQUENCY OF FUTURE SHAREHOLDER ADVISORY VOTES ON EXECUTIVE COMPENSATION.
|
Issuer
|
|
Against
|
For
|
4-TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Juridica Investment Limited
|
5/2/2013
|
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 from1/1/12 to 12/31/12, the Director's Report and the Auditor's Report be received and adopted.
|
Issuer
|
|
For
|
For
|
2- That the total aggregate remuneration of the Directors of the Company being USD 432,493 in respect of the year ended 12/31/12 be approved.
|
Issuer
|
|
For
|
For
|
3- That John Kermit Birchfiled 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 renuneration of the auditors.
|
Issuer
|
|
For
|
For
|
6- That the maximum total aggregate remuneration of the Directors of the Company be increased to GBP 375,000 per annum.
|
Issuer
|
|
For
|
For
|
7- That the Com[any 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
|
|
For
|
For
|
8-That the Company adopt a new memorandum and articles of Incorporation,
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Myrexis, Inc.
|
4/26/2013
|
62856H107
|
MYRX
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTOR 1) STEVEN D. SCHEIWE* 2) NATHAN M. COUCHMAN$
3) MICHAEL C. PEARCE#
|
Issuer
|
|
For
|
For
|
2-TO APPROVE AN AMENDMENT TO THE COMPANY'S CERTIFICATE OF INCORPORATION TO RESTRICT CERTAIN TRANSFERS OF COMMON STOCK IN ORDER TO PRESERVE THE TAX TREATMENT OF THE COMPANY'S NET OPERATING LOSSES AND OTHER TAX BENEFITS.
|
Issuer
|
|
For
|
For
|
3-TO RATIFY THE APPOINTMENT OF EISNERAMPER LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2013.
|
|
|
For
|
For
|
4-TO CONSIDER AN ADVISORY VOTE ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE PROXY STATEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Blackrock latin American INV
|
5/14/2013
|
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 2012, together with the report of the auditor thereon
|
Issuer
|
|
For
|
For
|
2- To approve the Directors' Remuneration Report for the year ended 31 December 2012
|
Issuer
|
|
For
|
For
|
3- To re-elect Mr Burnell as a Director
|
Issuer
|
|
For
|
For
|
4- To re-elect Mr Monteiro de Castro as a Director
|
Issuer
|
|
For
|
For
|
5- To re-elect the Earl St Aldwyn as a Director
|
Issuer
|
|
For
|
For
|
6- To re-elect Dr Doctor as a Director
|
Issuer
|
|
For
|
For
|
7- To re-elect Mr O'Conor as a Director
|
Issuer
|
|
For
|
For
|
8-To re-elect Mr Whitehead as a Director
|
Issuer
|
|
For
|
For
|
9-To re-appoint PricewaterhouseCoopers LLP as auditor to the company
|
Issuer
|
|
For
|
For
|
10-To authorise the Directors to determine the auditor's remuneration
|
Issuer
|
|
For
|
For
|
11-To increase the aggregate remuneration of the Directors
|
Issuer
|
|
For
|
For
|
12-To grant the Directors authority to allot shares
|
Issuer
|
|
For
|
For
|
13-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
|
14-To authorise the Directors to purchase the Company's ordinary shares for cancellation or to be held in treasury
|
Issuer
|
|
For
|
For
|
15-To authorise the Directors to purchase up to a maximum of 20% of the Company's ordinary shares in issue as at 30 September 2013 by means of a tender offer
|
Issuer
|
|
For
|
For
|
16-To authorise the Directors to purchase up to a maximum of 20% of the Company's ordinary shares in issue as at 31 March 2014 by means of a tender offer
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Hercules Technology Growth Cap
|
5/29/2013
|
427096508
|
HTGC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTOR 1) Manuel A. Henriquez
|
Issuer
|
|
Abstain (shares sold)
|
For
|
2-TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
|
Issuer
|
|
Abstain (shares sold)
|
For
|
3-ADVISORY VOTE TO APPROVE THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION.
|
|
|
Abstain (shares sold)
|
For
|
4-TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE UP TO 20% OF THE COMPANY'S OUTSTANDING COMMON STOCK AT A NET PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE.
|
Issuer
|
|
Abstain (shares sold)
|
For
|
5-AUTHORIZE THE COMPANY, WITH THE APPROVAL OF THE BOARD, TO OFFER AND ISSUE DEBT WITH WARRANTS OR DEBT CONVERTIBLE INTO SHARES OF ITS COMMON STOCK AT AN EXERCISE OR CONVERSION PRICE THAT, AT THE TIME SUCH WARRANTS OR CONVERTIBLE DEBT ARE ISSUED, WILL NOT BE LESS THAN THE MARKET VALUE PER SHARE BUT MAY BE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Zweig Total Return Fund Inc.
|
5/14/2013
|
989837208
|
ZTR
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTOR 1) George R. Aylward, 02-William H. Wright II
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Firsthand technology Value Fund
|
5/23/2013
|
33766Y100
|
SVVC
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Against
|
For
|
1-DIRECTOR 1) Mark F. Fitzgerald
|
Issuer
|
|
For
|
For
|
2-THE RATIFICATION OF THE SELECTION OF TAIT, WELLER & BAKER LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset Premier Bond Fund PRF A
|
5/22/2013
|
957664204
|
WEA ARPS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All
|
For
|
DIRECTORS 01-Robert Abeles,JR>, 02-Ronald J Arnault, 03-Anita L. Defrantz,
04-Avedick B. Poladian, 05-William B. Siart, 06-J.M. Studenmund,
07-Kenneth D. Fuller, 08-Ronald L. Olson
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The India Fund, Inc.
|
5/17/2013
|
454089103
|
IFN
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 1) J. Marc Hardy, 02-Hugh Young
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The GDL Fund
|
5/13/2013
|
361570104
|
GDL
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 1) Edward T. Tokar, 02-Salvatore J. Zizza
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ROI Acquisition Corp - Warrants
|
5/21/2013
|
74966A112
|
ROIQW
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO CONSIDER AND VOTE UPON AN AMENDMENT TO THE WARRANT AGREEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
2-TO ADJOURN THE SPECIAL MEETING OF PUBLIC WARRANTHOLDERS 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 OF PUBLIC WARRANTHOLDERS, ("WARRANTHOLDER ADJOURNMENT PROPOSAL").
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ROI Acquisition Corp
|
5/21/2013
|
74966A104
|
ROIQ
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO CONSIDER AND VOTE UPON A PROPOSAL (I) TO APPROVE AND ADOPT THE BUSINESS COMBINATION AGREEMENT AND PLAN OF MERGER, DATED AS OF JANUARY 31, 2013, AS IT MAY BE FURTHER AMENDED (THE "MERGER AGREEMENT"), BY AND AMONG THE COMPANY, ROI MERGER SUB CORP., ROI MERGER SUB LLC, AND EVERYWARE GLOBAL, INC., AND THE TRANSACTIONS CONTEMPLATED THEREBY (THE "BUSINESS COMBINATION PROPOSAL").
|
Issuer
|
|
For
|
None
|
1A-IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS PLEASE CHECK "FOR". CHECKING THE BOX, HOWEVER IS NOT SUFFICIENT TO EXERCISE REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH UNDER "REDEMPTION RIGHTS" ON PAGE 86 OF THE PROXY STATEMENT. IF YOU DO NOT INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE LEAVE BLANK OR VOTE AGAINST/ABSTAIN.
|
Issuer
|
|
For
|
For
|
2-TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE OUR THIRD AMENDED AND RESTATED CERTIFICATE OF INCORPORATION.
|
Issuer
|
|
For
|
For
|
3-ELECT THREE DIRECTORS TO SERVE ON ROI'S BOARD UPON CONSUMMATION OF THE BUSINESS COMBINATION (THE "DIRECTOR ELECTION PROPOSAL").
|
Issuer
|
|
For
|
For
|
4-ELECT THREE DIRECTORS TO SERVE ON ROI'S BOARD UPON CONSUMMATION OF THE BUSINESS COMBINATION (THE "DIRECTOR ELECTION PROPOSAL").
|
Issuer
|
|
For
|
For
|
5-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, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Ireland Fund, Inc.
|
6/4/2013
|
645673104
|
IRL
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTOR 1) David Dempsey
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Alpine Total Dynamic Dividend Fund
|
5/21/2013
|
021060108
|
AOD
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold all
|
For
|
1-DIRECTORS 1) James A. Jacobson, 02-H.Guy Leibler
|
Issuer
|
|
For
|
For
|
2-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, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
First Opportunity Fund Inc.
|
6/21/2013
|
33587T108
|
FOFI
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 1) Dean l. Jacobson, 02-Steven K. Norgaard
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Boulder total Return Fund, Inc.
|
6/21/2013
|
101541100
|
BTF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 1) Richard I. Barr, 02-John S. Horejsi, 03-Dean L. Jacobson
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Boulder Growth & Income Fund, Inc.
|
6/21/2013
|
101507101
|
BIF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 1)Richard I. Barr, 02-John S. Horejsi, 03-Dean L. Jacobson
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Swiss Helvetia Fund, Inc.
|
6/19/2013
|
870875101
|
SWZ
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All Nominees
|
For
|
1-DIRECTORS 1)JEAN-MARC BOILLAT,02-R. CLARK HOOPER,
03-ALEXANDRE DE TAKACSY
|
Issuer
|
|
For
|
For
|
2-WITH RESPECT TO THE PROPOSAL TO RATIFY THE SELECTION BY THE BOARD OF DIRECTORS OF DELOITTE & TOUCHE LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MS Asia-Pacific Fund, Inc
|
6/24/2013
|
61744U106
|
APF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 1)Frank L. Bowman, 02-James F. Higgins, 03-Manuel H. Johnson
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Thai Capital Fund, Inc.
|
6/10/2013
|
882905201
|
TF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-TO APPROVE A CHANGE IN THE FUNDAMENTAL INVESTMENT LIMITATIONS OF THE FUND AS SET FORTH IN THE RELATED PROXY STATEMENT.
|
Issuer
|
|
For
|
For
|
2-TO APPROVE THE LIQUIDATION AND DISSOLUTION OF THE FUND, INCLUDING THE TERMINATION AND LIQUIDATION OF THE FUND'S INVESTMENT PLAN, IN ACCORDANCE WITH THE PLAN OF LIQUIDATION AND DISSOLUTION OF THE FUND ATTACHED TO THE PROXY STATEMENT AS APPENDIX A.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
American Strategic Income Portfolio III
|
6/17/2013
|
03009T101
|
CSP
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All
|
For
|
1-DIRECTORS 1 Roger A. Gibson, 02-John P. Kayser, 03-Leonard W. Kedrowski, 04-Richard K. Riederer,05-James M. Wade
|
Issuer
|
|
For
|
For
|
2-TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF EACH FUND FOR THE CURRENT FISCAL YEAR.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
American Strategic Income Portfolio
|
6/17/2013
|
029570108
|
SLA
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All
|
For
|
1-DIRECTORS 1 Roger A. Gibson, 02-John P. Kayser, 03-Leonard W. Kedrowski,
04-Richard K. Riederer, 05-James M. Wade
|
Issuer
|
|
For
|
For
|
2-TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF EACH FUND FOR THE CURRENT FISCAL YEAR.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
American Strategic Income Portfolio -II
|
6/17/2013
|
030099105
|
BSP
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold All
|
For
|
1-DIRECTORS 1Roger A. Gibson, 02-John P. Kayser, 03-Leonard W. Kedrowski,
04-Richard K. Riederer, 05-James M. Wade
|
Issuer
|
|
For
|
For
|
2-TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF EACH FUND FOR THE CURRENT FISCAL YEAR.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The European Equity Fund
|
6/26/2013
|
298768102
|
EEA
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 01-AMMASSADOR R.R. BURT, 02-DR. FRIEDBERT H. MALT,
03-MR. JOACHIM WAGNER, 04-DR. WILHELM BENDER
|
Issuer
|
|
For
|
For
|
3-TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Equus Total Return
|
6/14/2013
|
294766100
|
EQS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold all
|
For
|
1-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
|
|
Abstain
|
For
|
2-TO RATIFY THE SELECTION OF UHY AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
|
Issuer
|
|
Against
|
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
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Macquarie Global Infra Tot Ret Fd
|
6/19/2013
|
55608D101
|
MGU
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-DIRECTORS 1)Gordon A. Baird, 02-Thomas W. Hunersen
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Thai Fund, Inc.
|
6/24/2013
|
882904105
|
TTF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
Directors - 1) Frank L. Bowman, 2)James F. Higgins, 3)Manuel H. Johnson
|
Issuer
|
|
For
|
For
|
2-TO CONSIDER AND ACT UPON A PROPOSAL TO LIQUIDATE AND TERMINATE THE CONTRACTUAL INVESTMENT PLAN EXISTING IN THAILAND THROUGH WHICH THE THAI FUND, INC. (THE "FUND") CURRENTLY HOLDS ALL OF ITS THAI ASSETS.
|
Issuer
|
|
Against
|
Against
|
3-TO CONSIDER AND ACT UPON A STOCKHOLDER PROPOSAL TO TERMINATE THE INVESTMENT MANAGEMENT AGREEMENT BETWEEN MORGAN STANLEY INVESTMENT MANAGEMENT INC. AND THE FUND.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Central Europe And Russia Fund
|
6/26/2013
|
153436100
|
CEE
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-Directors: 01-Dr. Wilhelm Bender, 02-Mr. Detlef Bierbaum, 03-Mr. Richard Karl Goeltz
|
Issuer
|
|
For
|
For
|
2-TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER 31, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The New Germany Fund, Inc
|
6/26/2013
|
644465106
|
GF
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-Directors: 01-Mr. Detlef Bierbaum, 02-Mr. C.H. Strenger, 03-Mr. R.H. Wadsworth, 04-Dr. Wilhelm Bender
|
Issuer
|
|
For
|
For
|
3-TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER 31, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Supervalu Inc.
|
7/16/2013
|
868536103
|
SVU
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1A-ELECTION OF DIRECTOR: DONALD R. CHAPPEL
|
Issuer
|
|
For
|
For
|
1B-ELECTION OF DIRECTOR: IRWIN S. COHEN
|
Issuer
|
|
For
|
For
|
1C-ELECTION OF DIRECTOR: PHILIP L. FRANCIS
|
Issuer
|
|
For
|
For
|
1D-ELECTION OF DIRECTOR: ROBERT G. MILLER
|
Issuer
|
|
For
|
For
|
1E-ELECTION OF DIRECTOR: MARK A. NEPORENT
|
Issuer
|
|
For
|
For
|
1F-ELECTION OF DIRECTOR: MATTHEW E. RUBEL
|
Issuer
|
|
For
|
For
|
1H-ELECTION OF DIRECTOR: WAYNE C. SALES
|
Issuer
|
|
For
|
For
|
1H-ELECTION OF DIRECTOR: JOHN T. STANDLEY
|
Issuer
|
|
For
|
For
|
1I-ELECTION OF DIRECTOR: LENARD TESSLER
|
Issuer
|
|
For
|
For
|
2-RATIFICATION OF APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS
|
Issuer
|
|
Abstain
|
For
|
3-TO APPROVE, BY NON-BINDING VOTE, THE EXECUTIVE COMPENSATION AS DISCLOSED IN THE PROXY STATEMENT
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock Muni 2018 Term Trust-W7
|
7/30/2013
|
09248C205
|
BPK APRS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-Directors: 01-Richard E. Cavanagh, 02-Kathleen F. Feldstein, 03-Henry Gabbay,
04-Jerrold B. Harris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2012 - June 30,2013
|
||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Blackrock CA Muni 2018 Term Trust-M7
|
7/30/2013
|
09249C204
|
BJZ APRS
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1-Directors: 01-Richard E. Cavanagh, 02-Kathleen F. Feldstein, 03-Henry Gabbay, 04-Jerrold B. Harris
|
Issuer
|