|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GLOBAL DEFENSE & NATIONAL SECURITY SYSTEMS, INC.
|
7/17/2015
|
37953N108
|
GDEF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO AMEND THE COMPANY'S AMENDED AND RESTATED CERTIFICATE TO EXTEND THE DATE BEFORE WHICH THE COMPANY MUST COMPLETE A BUSINESS COMBINATION (THE "TERMINATION DATE") FROM JULY 24, 2015 (THE "CURRENT TERMINATION DATE") TO OCTOBER 24, 2015 (THE "EXTENDED TERMINATION DATE"), AND PROVIDE THAT THE DATE FOR CESSATION OF OPERATIONS OF THE COMPANY IF THE COMPANY HAS NOT COMPLETED A BUSINESS COMBINATION WOULD SIMILARLY BE EXTENDED TO THE EXTENDED TERMINATION DATE.
|
Issuer
|
|
For
|
For
|
2-TO AMEND THE COMPANY'S AMENDED AND RESTATED CERTIFICATE TO PROVIDE THAT THE PUBLIC STOCKHOLDERS ARE ENTITLED TO REDEEM, CONVERT OR TENDER THEIR PUBLIC SHARES IN THE EVENT OF ANY FURTHER AMENDMENT OF THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION THAT AFFECTS THE SUBSTANCE OR TIMING OF THE COMPANY'S OBLIGATION TO REDEEM, CONVERT OR TENDER 100% OF THE PUBLIC SHARES IF THE COMPANY HAS NOT CONSUMMATED A BUSINESS COMBINATION BY THE EXTENDED TERMINATION DATE.
|
Issuer
|
|
AGAINST
|
NONE
|
DO YOU WANT TO EXERCISE YOUR REDEMPTION RIGHTS? MARK "FOR" = YES OR "AGAINST" = NO
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
CLOUGH GLOBAL EQUITY FUND
|
7/28/2015
|
18914C100
|
GLQ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1.DIRECTOR 1) ADAM D. CRESCENZI 2) JERRY G. RUTLEDGE 3) VINCENT W. VERSACI
|
Issuer
|
|
For
|
Against
|
2-THE SHAREHOLDER PROPOSAL AS DESCRIBED IN THE PROXY STATEMENT, IF PROPERLY PRESENTED BEFORE THE MEETING.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Alliance New York Muni Income Fund, Inc. Ser T
|
8/3/2015
|
01871P306
|
AYN ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. TO APPROVE A PROPOSAL TO LIQUIDATE AND DISSOLVE THE FUND (THE 'LIQUIDATION") PURSUANT TO THE PLAN OF LIQUIDATION AND DISSOLUTION (THE "PLAN")
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Alliance New York Muni Income Fund, Inc. Ser M
|
8/3/2015
|
01871P207
|
AYN ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. TO APPROVE A PROPOSAL TO LIQUIDATE AND DISSOLVE THE FUND (THE 'LIQUIDATION") PURSUANT TO THE PLAN OF LIQUIDATION AND DISSOLUTION (THE "PLAN")
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
NUVEEN GLOBAL HIGH INCOME FUND
|
8/5/2015
|
67075G103
|
JGH
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1.DIRECTOR 1) JACK B. EVANS 2) WILLIAM J. SCHNEIDER 3) THOMAS S. SCHREIER, JR.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
PROSPECT JAPAN FUND LTD
|
8/10/2015
|
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 COMPANYFOR THE YEAR ENDED 31 DECEMBER 2014
|
Issuer
|
|
For
|
For
|
2-TO RE-APPOINT ERNST & YOUNG LLP AS AUDITOR OF THE COMPANY UNTIL THECONCLUSION OF THE NEXT ANNUAL GENERAL MEETING
|
Issuer
|
|
For
|
For
|
3-TO AUTHORISE THE BOARD OF DIRECTORS TO DETERMINE THE AUDITOR'S REMUNERATION
|
Issuer
|
|
Against
|
For
|
4-TO RE-ELECT JOHN HAWKINS TO THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTIONB.7.1 OF THE UK CORPORATE GOVERNANCE CODE
|
Issuer
|
|
For
|
For
|
5-TO RE-ELECT RUPERT EVANS TO THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTIONB.7.1 OF THE UK CORPORATE GOVERNANCE CODE AND ARTICLE 26.2 OF THE ARTICLES OFINCORPORATION OF THE COMPANY
|
Issuer
|
|
Against
|
For
|
6-TO EXTEND THE AUTHORITY OF THE BOARD TO ISSUE AN UNLIMITED NUMBER OF SHARESUNDER ARTICLE 5.2 OF THE ARTICLES OF INCORPORATION FOR A FURTHER 5 YEARS,EFFECTIVE AS AT THE PASSING OF THIS RESOLUTION
|
Issuer
|
|
For
|
For
|
7-THAT THE COMPANY BE AND IS HEREBY GENERALLY AND UNCONDITIONALLY AUTHORISED INACCORDANCE WITH THE COMPANIES (GUERNSEY) LAW, 2008, AS AMENDED (THE"COMPANIES LAW"), TO MAKE MARKET ACQUISITIONS OF ITS OWN SHARES
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DELAWARE INVEST DIVIDEND & INC FUND
|
8/19/2015
|
245915103
|
DDF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1.DIRECTOR 1) THOMAS L. BENNETT 2) ANN D. BOROWIEC 3) JOSEPH W. CHOW 4) JOHN A. 5) F.A. SEVILLA-SACASA 6) THOMAS K. WHITFORD 7) LUCINDA S. LANDRETH 8) JANET L. YEOMANS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GYRODYNE COMPANY OF AMERICA
|
8/20/2015
|
403820103
|
GYRO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
NO VOTE
|
For
|
1-TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE A PROPOSED PLAN OF MERGER AND THE TRANSACTIONS CONTEMPLATED THEREBY UNDER THE NEW YORK BUSINESS CORPORATION LAW, INCLUDING THE MERGER OF GYRODYNE COMPANY OF AMERICA, INC. AND GYRODYNE SPECIAL DISTRIBUTION, LLC INTO GYRODYNE, LLC.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
NEUBERGER BERMAN R/E SEC INCOME
|
8/24/2015
|
64190A103
|
NRO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1.DIRECTOR 1) ROBERT CONTI 2) MICHAEL M. KNETTER 3) PETER P.TRAPP
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
LIBERTY ALL-STAR EQUITY FUND
|
8/27/2015
|
530158104
|
USA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1.DIRECTOR 1) JOHN A. BENNING 2) EDMUND J. BURKE
|
Issuer
|
|
Mirror Vote
|
Against
|
3- IF PROPERLY PRESENTED AT THE MEETING, TO CONSIDER AND VOTE UPON THE SHAREHOLDER PROPOSAL PRESENTED UNDER THE HEADING "SHAREHOLDER PROPOSAL" IN THE ACCOMPANYING PROXY STATEMENT.
|
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.
|
8/30/2015
|
018714105
|
AYN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
1. TO APPROVE A PROPOSAL TO LIQUIDATE AND DISSOLVE THE FUND (THE 'LIQUIDATION") PURSUANT TO THE PLAN OF LIQUIDATION AND DISSOLUTION (THE "PLAN")
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
INDEPENDENCE REALTY TRUST, INC
|
9/15/2015
|
45378A106
|
IRT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO APPROVE THE ISSUANCE OF INDEPENDENCE REALTY TRUST, INC. ("IRT") COMMON STOCK IN THE MERGERS (THE "MERGERS") (INCLUDING IRT COMMON STOCK ISSUABLE UPON REDEMPTION OF COMMON UNITS OF LIMITED PARTNERSHIP INTEREST ("IROP UNITS") IN INDEPENDENCE REALTY OPERATING PARTNERSHIP, LP ("IROP") ISSUED IN THE MERGERS) ...(SEE JOINT PROXY STATEMENT/PROSPECTUS FOR FULL PROPOSAL).
|
Issuer
|
|
For
|
For
|
2-TO APPROVE ONE OR MORE ADJOURNMENTS OF THE IRT SPECIAL MEETING TO ANOTHER DATE, TIME OR PLACE, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE PROPOSAL TO APPROVE THE ISSUANCE OF SHARES OF IRT COMMON STOCK IN THE MERGERS (INCLUDING IRT COMMON STOCK ISSUABLE UPON REDEMPTION OF IROP UNITS ISSUED IN THE MERGERS).
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
TRADE STREET RESIDENTIAL, INC
|
9/15/2015
|
89255N203
|
TSRE
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-APPROVAL OF THE MERGER OF TRADE STREET RESIDENTIAL, INC., A MARYLAND CORPORATION ("TRADE STREET"), WITH AND INTO IRT LIMITED PARTNER, LLC ("IRT LP LLC"), A DIRECT WHOLLY-OWNED SUBSIDIARY OF INDEPENDENCE REALTY TRUST, INC. ("IRT"), WITH IRT LP LLC CONTINUING AS THE SURVIVING ENTITY (THE "COMPANY MERGER"), ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
For
|
For
|
2-APPROVAL OF ONE OR MORE ADJOURNMENTS OF THE SPECIAL MEETING TO ANOTHER DATE, TIME OR PLACE, IF NECESSARY OR APPROPRIATE, FOR THE PURPOSE OF SOLICITING ADDITIONAL PROXIES IN FAVOR OF THE PROPOSAL TO APPROVE THE COMPANY MERGER AND THE OTHER TRANSACTIONS CONTEMPLATED BY THE MERGER AGREEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MANAGED HIGH YIELD PLUS FUND INC.
|
9/21/2015
|
561911108
|
HYF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1.DIRECTOR 1) BERNARD H. GARIL 2) HEATHER R. HIGGINS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PANGAEA LOGISTICS SOLUTIONS LTD
|
9/22/2015
|
G6891L105
|
PANL
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or s
hareholder
|
|
NO VOTE
|
For
|
1.DIRECTOR 1) ERIC S. ROSENFIELD 2) RICHARD DU MOULIN 3) MARK FILANOWSKI 4) ANTONY LAURA
|
Issuer
|
|
NO VOTE
|
For
|
2. APPROVAL OF AMENDMENTS TO THE COMPANY'S 2014 LONG-TERM INCENTIVE PLAN
|
Issuer
|
|
NO VOTE
|
For
|
2. APPROVAL OF AN AMENDMENT TO THE COMPANY BYE-LAWS
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ADVENT/CLAYMORE ENHANCED GWTH & INC
|
9/30/2015
|
00765e104
|
LCM
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1a. ELECTION OF CLASS II TRUSTEE: MR. TRACY V. MAITLAND
|
Issuer
|
|
Mirror Vote
|
For
|
1b. ELECTION OF CLASS II TRUSTEE: MR. RONALD A. NYBERG
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DEUTSCHE HIGH INC OPP FD, INC
|
9/30/2015
|
25158Y102
|
DHG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
DIRECTOR - 1) KEITH R. FOX 2) RICHARD J. HERRING 3) WILLIAM N. SEARCY, JR.
|
Issuer
|
|
For
|
For
|
2. TO ADOPT ARTICLES OF AMENDMENT TO THE FUND'S CHARTER TO LIMIT THE FUND'S TERM OF EXISTENCE UNTIL MARCH 30, 2018 OR SUCH EARLIER DATE AS MAY BE DETERMINED BY THE BOARD OF THE FUND, AT WHICH TIME THE FUND WILL BE LIQUIDATED.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DEUTSCHE GBL HIGH INC FD, INC
|
9/30/2015
|
25158V108
|
LBF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
DIRECTOR - 1) JOHN W. BALLANTINE 2) HENRY P. BECTON 3) DAWN-MARIE DRISCOLL 4) PAUL K. FREEMAN
|
Issuer
|
|
For
|
For
|
2. TO ADOPT ARTICLES OF AMENDMENT TO THE FUND'S CHARTER TO LIMIT THE FUND'S TERM OF EXISTENCE UNTIL SEPTEMBER 30, 2017 OR SUCH EARLIER DATE AS MAY BE DETERMINED BY THE BOARD OF THE FUND, AT WHICH TIME THE FUND WILL BE LIQUIDATED.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FEDERATED ENHANCED TREASURY INC FD
|
10/12/2015
|
314162108
|
FTT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) J. CHRISTOPHER DONAHUE 2) PETER E. MADDEN 3) CHARLES F. MANSFIELD JR
|
Issuer
|
|
Mirror Vote
|
For
|
2-PROPOSED AGREEMENT AND PLAN OF REORGANIZATION PURSUANT TO WHICH FEDERATED ENHANCED TREASURY INCOME FUND ("ACQUIRING FUND") WOULD ACQUIRE ALL, OR SUBSTANTIALLY ALL, OF THE ASSETS OF FEDERATED ENHANCED TREASURY INCOME FUND (FTT) IN EXCHANGE FOR SHARES OF THE ACQUIRING FUND TO BE DISTRIBUTED PRO RATA BY FTT TO ITS SHAREHOLDERS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Bancroft Fund LTD
|
10/19/2015
|
059695106
|
BCV
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR - 1) KINCHEN C. BIZZELL 2) Elizabeth C. Bogan, PHD 3) JAMES P. CONN 4) FRANK J. FAHRENKOPF, JR 5) MARIO J. GABELLI 6) DANIEL D. HARDING 7) MICHAEL J. MELARKEY 8) KUNI NAKAMURA 9) JANE D. O'KEEFFE 10) NICOLAS W. PLATT 11) ANTHONIE C. VAN EKRIS
|
Issuer
|
|
Mirror vote
|
For
|
1-APPROVAL OF INVESTMENT ADVISORY AGREEMENT
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Ellsworth Fund LTD
|
10/19/2015
|
289074106
|
ECF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR - 1) KINCHEN C. BIZZELL 2) Elizabeth C. Bogan, PHD 3) JAMES P. CONN 4) James A. Dinsmore 5) FRANK J. FAHRENKOPF, JR 6) MARIO J. GABELLI 7) DANIEL D. HARDING 8) MICHAEL J. MELARKEY 9) KUNI NAKAMURA 10) NICOLAS W. PLATT 11) ANTHONIE C. VAN EKRIS
|
Issuer
|
|
Mirror vote
|
For
|
1-APPROVAL OF INVESTMENT ADVISORY AGREEMENT
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
SINO MERCURY ACQUISITION CORP
|
10/20/2015
|
82936K102
|
SMAC
|
|
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 24, 2014 AND AMENDED AS OF MAY 5, 2015, BY AND AMONG SINO, WINS FINANCE HOLDINGS INC., A WHOLLY-OWNED SUBSIDIARY OF SINO ("HOLDCO"), WINS FINANCE GROUP LTD. ("WFG") AND THE SHAREHOLDERS OF WFG, WHICH, AMONG OTHER THINGS, PROVIDES FOR (A) THE MERGER OF SINO WITH AND INTO HOLDCO, WITH HOLDCO SURVIVING THE MERGER AND (B) AN EXCHANGE BY THE SHAREHOLDERS OF WFG OF 100% OF THE ORDINARY SHARES OF WFG FOR CASH AND ORDINARY SHARES OF HOLDCO, .. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
For
|
None
|
1A-I HEREBY EXERCISE MY 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 SINO OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN SINO AND WFG. MARK "FOR" = YES OR "AGAINST" = NO.
|
Issuer
|
|
For
|
For
|
2A-TO APPROVE THE MATERIAL DIFFERENCES BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO AND SINO: THE NAME OF THE NEW PUBLIC ENTITY WILL BE "WINS FINANCE HOLDINGS INC." AS OPPOSED TO "SINO MERCURY ACQUISITION CORP."
|
Issuer
|
|
For
|
For
|
2B-TO APPROVE THE MATERIAL DIFFERENCES BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO AND SINO: HOLDCO HAS 100,000,000 AUTHORIZED ORDINARY SHARES AND 1,000,000 AUTHORIZED PREFERRED SHARES, AS OPPOSED TO SINO HAVING 25,000,000 AUTHORIZED SHARES OF COMMON STOCK AND 1,000,000 AUTHORIZED SHARES OF PREFERRED STOCK.
|
Issuer
|
|
For
|
For
|
2C-TO APPROVE THE MATERIAL DIFFERENCES BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO AND SINO: HOLDCO'S CORPORATE EXISTENCE IS PERPETUAL AS OPPOSED TO SINO'S CORPORATE EXISTENCE TERMINATING IF A BUSINESS COMBINATION IS NOT CONSUMMATED BY SINO WITHIN A SPECIFIED PERIOD OF TIME.
|
Issuer
|
|
For
|
For
|
2D-TO APPROVE THE MATERIAL DIFFERENCES BETWEEN THE CONSTITUTIONAL DOCUMENTS OF HOLDCO AND SINO: HOLDCO'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION DO NOT INCLUDE THE VARIOUS PROVISIONS APPLICABLE ONLY TO SPECIFIED PURPOSE ACQUISITION CORPORATIONS THAT SINO'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION CONTAINS.
|
Issuer
|
|
For
|
For
|
3-TO APPROVE THE ADOPTION OF THE 2015 LONG-TERM INCENTIVE EQUITY PLAN.
|
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 UPON THE TABULATED VOTE AT THE TIME OF THE SPECIAL MEETING, SINO IS NOT AUTHORIZED TO CONSUMMATE THE TRANSACTIONS CONTEMPLATED BY THE MERGER AGREEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ROI Acquisition Corp II (WTS)
|
10/23/2015
|
74966G119
|
ROIQW
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- APPROVAL OF AN AMENDMENT TO THE WARRANT AGREEMENT THAT GOVERNS ALL OF ROI'S WARRANTS TO PROVIDE THAT, UPON CONSUMMATION OF THE TRANSACTIONS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER, DATED JULY 23, 2015 AND AMENDED ON AUGUST 19, 2015 AS AMENDED, BY AND AMONG ROI ACQUISITION CORP. II (ROI), ASCEND TELECOM ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
None
|
None
|
1A-IF YOU INTEND TO HAVE YOUR WARRANTS SURVIVE THE BUSINESS COMBINATION, CHECK THE ADJACENT BOX. MARK "FOR" = YES AND "AGAINST" = NO
|
|
|
For
|
For
|
2-APPROVAL OF AN ADJOURNMENT OF THE SPECIAL MEETING OF PUBLIC WARRANTHOLDERS TO A LATER DATE OR DATES, IF NECESSARY OR DESIRABLE, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES, IN THE EVENT THAT AND CASH IN LIEU OF FRACTIONAL SHARES THAT THERE ARE NOT SUFFICIENT VOTES TO APPROVE THE WARRANT AMENDMENT PROPOSAL.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ROI Acquisition Corp II
|
10/23/2015
|
74966G101
|
ROIQ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE AGREEMENT AND PLAN OF MERGER, DATED JULY 23, 2015 AND AMENDED ON AUGUST 19, 2015, BY AND AMONG ROI ACQUISITION CORP. II (ROI), ASCEND TELECOM INFRASTRUCTURE PRIVATE LIMITED, A PRIVATE LIMITED COMPANY ORGANIZED UNDER THE LAWS OF INDIA, ASCEND TELECOM ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
For
|
For
|
2-TO CONSIDER AND VOTE UPON A PROPOSAL TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY OR DESIRABLE, ROI DETERMINES THAT TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES, IN THE EVENT THAT THERE ARE NOT SUFFICIENT VOTES TO APPROVE ONE OR MORE PROPOSALS PRESENTED AT THE SPECIAL MEETING ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BOULDER GROWTH & INCOME FUND
|
11/5/2015
|
101507101
|
BIF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) PICHARD I. BARR 2) STEVEN K. NORGAARD
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Transamerica Income Shares Inc.
|
11/6/2015
|
893506105
|
TAI
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1- APPROVAL OF AN AGREEMENT AND PLAN OF REORGANIZATION PROVIDING FOR THE TRANSFER OF ALL OF THE ASSETS OF TRANSAMERICA INCOME SHARES, INC. ("TIS"), A CLOSED-END FUND, TO TRANSAMERICA FLEXIBLE INCOME, AN OPEN-END FUND AND A SERIES OF TRANSAMERICA FUNDS, A DELAWARE STATUTORY TRUST (THE "DESTINATION FUND"), IN ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL
|
Issuer
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GOVERNMENT PORTFOLIO CL I
|
11/18/2015
|
316175108
|
FIGXX
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTORS
|
Issuer
|
|
|
|
ELIZABETH S. ACTON
|
|
|
|
|
JOHN ENGLER
|
|
|
|
|
ALBERT R. GAMPER, JR.
|
|
|
|
|
ROBERT F. GARTLAND
|
|
|
|
|
ABIGAIL P. JOHNSON
|
|
|
|
|
ARTHUR E. JOHNSON
|
|
|
|
|
MICHAEL E. KENNEALLY
|
|
|
|
|
JAMES H. KEYES
|
|
|
|
|
MARIE L. KNOWLES
|
|
|
|
|
GEOFFREY A. VON KUHN
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
TAX-EXEMPT PORTFOLIO CL I
|
11/18/2015
|
316176109
|
FTCXX
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTORS
|
Issuer
|
|
|
|
ELIZABETH S. ACTON
|
|
|
|
|
JOHN ENGLER
|
|
|
|
|
ALBERT R. GAMPER, JR.
|
|
|
|
|
ROBERT F. GARTLAND
|
|
|
|
|
ABIGAIL P. JOHNSON
|
|
|
|
|
ARTHUR E. JOHNSON
|
|
|
|
|
MICHAEL E. KENNEALLY
|
|
|
|
|
JAMES H. KEYES
|
|
|
|
|
MARIE L. KNOWLES
|
|
|
|
|
GEOFFREY A. VON KUHN
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
LIBERTY ALL-STAR EQUITY FUND
|
11/19/2015
|
530158104
|
USA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
FOR
|
1- TO APPROVE A NEW PORTFOLIO MANAGEMENT AGREEMENT AMONG THE FUND, ALPS ADVISORS, INC. (AAI" OF THE "FUND MANAGER) AND DELAWARE INVESTMENTS FUND ADVISERS, A SERIES OF DELAWARE BUSINESS MANAGEMENT TRUST ("DELAWARE INVESTMENTS" OR THE "PORTFOLIO MANAGER")
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Fort Dearborn Income Sec.
|
12/4/2015
|
347200107
|
FDI
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
No Vote**
|
For
|
DIRECTOR - 1) ADELA CEPEDA 2) JOHN J. MUROHY 3) FRANK K. REILLY 4) ABBIE J. SMITH 5) MIKESELL THOMAS
|
Issuer
|
|
*Received proxy too late to mirror vote
|
|||
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ADCARE HEALTH SYSTEMS, INC.
|
12/10/2015
|
00650W409
|
ADK A
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
no vote shares sold
|
For
|
3-TO AMEND THE COMPANY'S ARTICLES OF INCORPORATION TO IMPOSE OWNERSHIP AND TRANSFER RESTRICTIONS WITH RESPECT TO THE COMPANY'S STOCK
|
Issuer
|
|
no vote shares sold
|
For
|
5-TO APPROVE THE ADJOURNMENT OR POSTPONEMENT OF THE ANNUAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE ANNUAL MEETING TO APPROVE PROPOSAL 2 OR PROPOSAL 3, EACH AS IDENTIFIED AND DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
MARWYN VAL ORD
|
12/10/2015
|
KYG5897M1740
|
MVI LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Against
|
For
|
1-TO APPROVE THE PROPOSALS SET OUT IN THE CIRCULAR OF THE COMPANY DATED 23 NOVEMBER 2015, INCLUDING (I) THE DISAPPLICATION OF PRE-EMPTION RIGHTS IN RELATION TO AN ISSUE OF ORDINARY SHARES AT A DISCOUNT TO NET ASSET VALUE, AND (II) THE AMENDMENT OF THE COMPANY'S DISTRIBUTION POLICY
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DIVERSIFIED REAL ASSET INCOME FUND
|
12/16/2015
|
25533B108
|
DRA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) ROGER A. GIBSON 2) LEONARD W. KEDROWSKI 3) RICHARD K. RIEDERER 4) RICHARD K. RIEDERER
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
1347 Capital Corp.
|
12/23/2015
|
68245V202
|
TFSCU
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
DIRECTOR - 1) HASSAN R. BAQAR 2)JOSHUA HOROWITZ
|
Issuer
|
|
For
|
For
|
2-RATIFICATION OF THE APPOINTMENT BY THE AUDIT COMMITTEE OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY'S FISCAL YEAR ENDING DECEMBER 31, 2015.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FULL CIRCLE CAPITAL CORP.
|
1/15/2016
|
359671104
|
FULL
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) GREGG J. FELTON 2) JOHN E. STUART
|
Issuer
|
|
Mirror Vote
|
For
|
2. TO RATIFY THE SELECTION OF RSM US LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2016.
|
Issuer
|
|
Mirror Vote
|
For
|
3. TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GLOBAL HIGH INCOME FUND INC
|
2/18/2016
|
37933G108
|
GHI
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
DIRECTOR - 1) Richaed R. Burt 2) Meyer Feldberg
|
Issuer
|
|
For
|
For
|
1- TO APPROVE A PROPOSAL THAT THE FUND BE LIQUIDATED AND DISSOLVED PURSUANT TO A PLAN OF LIQUIDATION AND DISSOLUTION
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
PROSPECT JAPAN FUND LTD
|
2/24/2016
|
GB00B011QL44
|
PJF LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
NO VOTE
|
For
|
1-APPROVE EXERCISE OF STOCK ACQUISITION RIGHTS IN PROSPECT CO., LTD
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
LIBERTY ALL-STAR EQUITY FUND
|
2/25/2016
|
530158104
|
USA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
FOR
|
1- TO APPROVE A NEW PORTFOLIO MANAGEMENT AGREEMENT AMONG THE FUND, ALPS ADVISORS, INC. (AAI" OF THE "FUND MANAGER) AND AINVESTMENTS" OR THE "PORTFOLIO MANAGER") AND ARISTOTLE CAPITAL MANAGEMENT, LLC ("ARISTOTLE" OR THE "PORTFOLIO MANAGER").
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
CENTRAL SECURITIES CORP.
|
3/23/2016
|
155123102
|
CET
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
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 2016
|
Issuer
|
|
Mirror Vote
|
For
|
3. APPROVAL OF AMENDMENT TO CERTIFICATE OF INCORPORATION INCREASING THE NUMBER OF SHARES OF COMMON STOCK
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
STRATEGIC GLOBAL INCOME FUND
|
3/28/2016
|
862719101
|
SGL
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1)RICHARD Q. ARMSTRONG 2) ALAN S. BERNIKOW 3) DAVID MALPASS
|
Issuer
|
|
Mirror Vote
|
For
|
2. TO APPROVW A PROPOSAL THAT THE FUND BE LIQUIDATED AND DISSOLVED PURSUNT TO A PLAN OF LIQUIDATION AND DISSOLUTION.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GENERAL AMERICAN INVESTORS COMPANY, INC.
|
4/13/2016
|
368802104
|
GAM
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
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 9) MR. SCHIRMER
|
Issuer
|
|
Mirror Vote
|
For
|
2- RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ADAMS DIVERSIFIED EQUITY FUND, INC.
|
4/14/2016
|
006212104
|
ADX
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
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
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
TRI-CONTINENTAL CORP
|
4/18/2016
|
895436103
|
TY
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) WILLIAM P. CARMICHAEL 2) MINOR M. SHAW 3) WILLIAM F. TRUSCOTT
|
Issuer
|
|
Mirror Vote
|
For
|
2-TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Fort Dearborn Income Sec.
|
4/18/2016
|
347200107
|
FDI
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1- TO APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION RELATING TO THE REORGANIZATION OF FORT DEARBORN INCOME SECURITIES, INC. INTO CLASS P SHARES OF UBS TOTAL RETURN BOND FUND, A NEWLY ORGANIZED SERIES OF THE UBS FUNDS. (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PACHOLDER HIGH YIELD FUND
|
4/20/2016
|
693742108
|
PHF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) JOHN F. FINN 2) DR. MATTHEW GOLDSTEIN 3) ROBERT J. HIGGINS 4) FRANKIE D. HUGHES 5) PETER C. MARSHALL 60 MARY E. MARTINEZ 7) MARILYN MCCOY 8) MITCHELL M. MERIN 9) DR. ROBERT A. ODEN, JR. 10) MARIAN U. PARDO
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MANAGED HIGH YIELD PLUS FUND INC.
|
4/21/2016
|
561911108
|
HYF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1. - TO APPROVE A PROPOSAL THAT THE COMPANY BE LIQUIDATED AND DISSOLVED PURSUANT TO A PLAN OF LIQUIDATION AND DISSOLUTION.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FIRAT TRUST/ABERDEEN GLOBAL OPP INC FD
|
4/22/2016
|
337319107
|
FAM
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) JAMES A. BOWEN 2) NIEL B. NIELSON
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FIRST TRUST DIVIDEND AND INCOME FUND
|
4/22/2016
|
33731L100
|
FAV
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) JAMES A. BOWEN 2) NIEL B. NIELSON
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GARNERO GROUP ACQUISITION CO
|
4/25/2016
|
G5866L108
|
GGAC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1. TO ADOPT AND APPROVE THE FIRST AMENDED AND RESTATED INVESTMENT AGREEMENT ("INVESTMENT AGREEMENT"), DATED AS OF DECEMBER 17, 2015, BY AND AMONG GGAC, Q1 COMERCIAL DE ROUPAS S.A.("GRUPO COLOMBO"), ALVARO JABUR MALUF JR. AND PAULO JABUR MALUF (THE "CONTROLLING PERSONS") AND THE PERSONS LISTED UNDER THE CAPTION "OPTIONHOLDER" ON THE SIGNATURE PAGES THERETO (THE "OPTIONHOLDERS"), WHICH PROVIDES, AMONG OTHER THINGS, FOR THE CONTROLLING PERSONS AND THE OPTIONHOLDERS TO CONTRIBUTE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
For
|
None
|
1A. I HEREBY EXERCISE MY 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 ORDINARY SHARES OF GGAC OWNED BY ME. I FURTHER CERTIFY THAT I AM NOT EXERCISING CONVERSION RIGHTS WITH RESPECT TO 30% OR MORE OF GGAC'S ORDINARY SHARES. MARK "FOR" = YES OR "AGAINST" = NO
|
Issuer
|
|
For
|
For
|
2.A TO APPROVE BY SPECIAL RESOLUTION AN AMENDMENT TO THE AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION OF GGAC TO CHANGE THE NAME OF GGAC TO "GRUPO COLOMBO INC."
|
Issuer
|
|
For
|
For
|
2.B TO APPROVE BY SPECIAL RESOLUTION AN AMENDMENT TO THE AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION OF GGAC TO ADJUST THE EXISTING CLASSIFICATION OF DIRECTORS TO CONFORM WITH THE CLASSIFICATION DESCRIBED IN PROPOSAL 4 BELOW.
|
Issuer
|
|
For
|
For
|
2.C TO APPROVE BY SPECIAL RESOLUTION AN AMENDMENT TO THE AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION OF GGAC TO REMOVE PROVISIONS THAT WILL NO LONGER BE APPLICABLE TO GGAC AFTER THE BUSINESS COMBINATION AND MAKE CERTAIN OTHER IMMATERIAL CHANGES.
|
Issuer
|
|
For
|
For
|
3. TO APPROVE BY SPECIAL RESOLUTION THE AMENDMENT AND RESTATEMENT OF GGAC'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO (AMONG OTHER MATTERS) TO REFLECT CHANGES MADE AS A RESULT OF PROPOSALS 2.A-C ABOVE PRESENTED AT THE EXTRAORDINARY GENERAL MEETING.
|
Issuer
|
|
For
|
For
|
4. TO APPROVE THE 2016 LONG-TERM INCENTIVE EQUITY PLAN.
|
Issuer
|
|
For
|
For
|
5A. ELECTION OF CLASS A DIRECTOR TO SERVE UNTIL 2017: JOHN TONELLI
|
Issuer
|
|
For
|
For
|
5B. ELECTION OF CLASS B DIRECTOR TO SERVE UNTIL 2018: NELSON NARCISO FILHO
|
Issuer
|
|
For
|
For
|
5C. ELECTION OF CLASS B DIRECTOR TO SERVE UNTIL 2018: AMIR ADNANI
|
Issuer
|
|
For
|
For
|
5D. ELECTION OF CLASS C DIRECTOR TO SERVE UNTIL 2019: MARIO GARNERO
|
Issuer
|
|
For
|
For
|
5E. ELECTION OF CLASS C DIRECTOR TO SERVE UNTIL 2019: ALVARO JABUR MALUF, JR.
|
Issuer
|
|
For
|
For
|
6. TO ADJOURN THE EXTRAORDINARY GENERAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED ON THE TABULATED VOTE OR ELECTIONS TO CONVERT AT THE TIME OF THE EXTRAORDINARY GENERAL MEETING, GGAC IS NOT AUTHORIZED TO CONSUMMATE THE MERGER OR THE CLOSING CONDITIONS UNDER THE INVESTMENT AGREEMENT ARE NOT MET.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
STEWART INFORMATION SERVICES
|
4/27/2016
|
860372101
|
STC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1. DIRECTOR - ARNAUD AJDLER, JAMES CHADWICK, GLENN C. CHRISTENSON, ROBERT L. CLARKE, 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 2016
|
Issuer
|
|
For
|
For
|
4. APPROVAL OF THE EXCHANGE OF CLASS B STOCK FOR COMMON STOCK AND CASH
|
Issuer
|
|
For
|
For
|
5. SUBJECT TO STOCKHOLDER APPROVAL OF PROPOSAL 4, AMEND CERTIFICATE OF INCORPORATION ELIMINATING AUTHORIZED CLASS B STOCK AND PROVISIONS RELATED THERETO
|
Issuer
|
|
For
|
For
|
6. SUBJECT TO STOCKHOLDER APPROVAL OF PROPOSAL 4, APPROVAL OF AN AMENDMENT TO STEWART INFORMATION SERVICES CORPORATION'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO ELIMINATE THE REQUIREMENT THAT THE BOARD SIZE BE SET AT NINE DIRECTORS
|
Issuer
|
|
For
|
For
|
7. SUBJECT TO STOCKHOLDER APPROVAL OF PROPOSAL 4, AMEND CERTIFICATE OF INCORPORATION PERMITTING SPECIAL MEETING TO BE CALLED BY 25% OR MORE OF STOCKHOLDERS AND ELIMINATING WRITTEN CONSENT
|
Issuer
|
|
For
|
For
|
8. SUBJECT TO STOCKHOLDER APPROVAL OF PROPOSAL 4, APPROVAL OF AN AMENDMENT TO STEWART INFORMATION SERVICES CORPORATION'S AMENDED AND RESTATED BY-LAWS TO ELIMINATE THE REQUIREMENT THAT SIX OF THE NINE DIRECTORS APPROVE BOARD ACTION
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PUTNAM HIGH INCOME SECURITIES FUND
|
4/29/2016
|
746779107
|
PCF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1B. DIRECTOR - 1) LIAQUAT AHAMED 2) RAVI AKHOURY 3) BARBARA M. BAUMANN 4) JAMESON A. BAXTER 5) ROBERT J. DARRETTA 6) KATINKA DOMOTORFFY 7) JOHN A. HILL 8) PAUL L. JOSKOW 9) KENNETH R. LEIBLER 10) ROBERT E. PATTERSON 11) GEORGE PUTNAM, III 12) ROBERT L. REYNOLDS 13) W. THOMAS STEPHENS
|
Issuer
|
|
Mirror Vote
|
For
|
1A. FIXING THE NUMBER OF TRUSTEES AT 13.
|
Issuer
|
|
Mirror Vote
|
For
|
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. THE TRUSTEES RECOMMEND A VOTE "AGAINST" PROPOSAL 2.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PUTMAN MANAGED MUNI INC PFD SER C
|
4/29/2016
|
746823400
|
PMM ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1B. DIRECTOR - 1) LIAQUAT AHAMED 2) RAVI AKHOURY 3) BARBARA M. BAUMANN 4) JAMESON A. BAXTER 5) ROBERT J. DARRETTA 6) KATINKA DOMOTORFFY 7) JOHN A. HILL 8) PAUL L. JOSKOW 9) KENNETH R. LEIBLER 10) ROBERT E. PATTERSON 11) GEORGE PUTNAM, III 12) ROBERT L. REYNOLDS 13) W. THOMAS STEPHENS
|
Issuer
|
|
Mirror Vote
|
For
|
1A. FIXING THE NUMBER OF TRUSTEES AT 13.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PUTMAN OPPORTUNITIES TR PFD CL C
|
4/29/2016
|
746922400
|
PMO APRS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
1B. DIRECTOR - 1) LIAQUAT AHAMED 2) RAVI AKHOURY 3) BARBARA M. BAUMANN 4) JAMESON A. BAXTER 5) ROBERT J. DARRETTA 6) KATINKA DOMOTORFFY 7) JOHN A. HILL 8) PAUL L. JOSKOW 9) KENNETH R. LEIBLER 10) ROBERT E. PATTERSON 11) GEORGE PUTNAM, III 12) ROBERT L. REYNOLDS 13) W. THOMAS STEPHENS
|
Issuer
|
|
Mirror Vote
|
For
|
1A. FIXING THE NUMBER OF TRUSTEES AT 13.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
BLACKROCK LATIN AMERICAN INVESTMENT TRUST
|
4/29/2016
|
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 2015, TOGETHER WITH THE REPORT OF THE AUDITORS THEREON
|
Issuer
|
|
Against
|
For
|
2 - TO APPROVE THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31 DECEMBER 2015
|
Issuer
|
|
For
|
For
|
3 - TO DECLARE A FINAL DIVIDEND OF 6.00 CENTS PER SHARE FOR THE YEAR ENDED 31 DECEMBER 2015
|
Issuer
|
|
Against
|
For
|
4 -TO RE-ELECT MR BURNELL AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
5 - TO RE-ELECT MRS DOBSON AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
6 - TO RE-ELECT MR MONTEIRO DE CASTRO AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
7 -TO RE-ELECT EARL ST ALDWYN AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
8 - TO RE-ELECT DR DOCTOR AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
9 - TO RE-ELECT MR WHITEHEAD AS A DIRECTOR
|
Issuer
|
|
For
|
For
|
10 - TO RE-APPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS OF THE COMPANY UNTIL THE CONCLUSION OF THE NEXT AGM OF THE COMPANY
|
Issuer
|
|
For
|
For
|
11 -TO AUTHORISE THE AUDIT COMMITTEE TO DETERMINE THE AUDITORS' REMUNERATION
|
Issuer
|
|
Against
|
For
|
12 - TO RESOLVE THAT THE COMPANY SHOULD CONTINUE IN BEING AS AN INVESTMENT TRUST COMPANY
|
Issuer
|
|
For
|
For
|
13 -TO GRANT THE DIRECTORS AUTHORITY TO ALLOT SHARES
|
Issuer
|
|
For
|
For
|
14 - 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
|
15 - TO AUTHORISE THE DIRECTORS TO PURCHASE THE COMPANY'S ORDINARY SHARES FOR CANCELLATION OR TO BE HELD IN TREASURY
|
Issuer
|
|
For
|
For
|
16 - TO ADOPT NEW ARTICLES OF ASSOCIATION
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
SOURCE CAPITAL, INC.
|
5/9/2016
|
836144105
|
SOR
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror Vote
|
For
|
DIRECTOR - 1) ATWOOD 2) LIPSON 3) OSBORNE 4) PISANO 5) PURCELL 6) RUDNICK
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Bancroft Fund LTD
|
5/9/2016
|
059695106
|
BCV
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR - 1) Jane D. O'Keeffe 2) Elizabeth C. Bogan, PHD 3) Anthonie C. Van Ekris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Ellsworth Growth & Income FD LTD
|
5/9/2016
|
289074106
|
ECF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR - 1) James A. Dinsmore 2) Elizabeth C. Bogan, PHD 3) Anthonie C. Van Ekris
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The GDL Fund
|
5/9/2016
|
361570104
|
GDL
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror vote
|
For
|
DIRECTOR - 1) Edward T. Tokar 2) Salvatore J. Zizza
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
JURUDICA INVESTMENTS LIMITED
|
5/10/2016
|
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 2015 TO 31 DECEMBER 2015, 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 USD523,738 IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2015 BE APPROVED
|
Issuer
|
|
For
|
For
|
3 - THAT RICHARD KERMIT BIRCHFIELD 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
|
|
For
|
For
|
7 -THAT THE COMPANY'S ARTICLES OF INCORPORATION BE AMENDED BY THE REMOVAL OF ARTICLES 158 AND 159
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2015 - June 30,2016
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
CANDOVER INVESTMENTS PLC
|
5/12/2016
|
GB0001713154
|
CDI LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- TO RECEIVE THE ANNUAL ACCOUNT AND THE REPORTS OF THE DIRECTORS FOR THE YEAR ENDED 31ST DECEMBER 2015
|
Issuer
|
|
For
|
For
|
2-TO APPROVE THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31ST DECEMBER 2015
|
Issuer
|
|
Against
|
For
|
3-TO RE-ELECT RICHARD STONE AS A DIRECTOR
|
Issuer
|
|
Against
|
For
|
4-TO RE-ELECT MALCOLM FALLEN AS A DIRECTOR
|
Issuer
|
|
For
|
For
|
5-TO RE-APPOINT GRANT THORNTON UK LLP AS AUDITORS OF THE COMPANY
|
Issuer
|
|
For
|
For
|
6-TO AUTHORISE THE DIRECTORS TO AGREE THE REMUNERATION OF THE AUDITORS
|
Issuer
|
|
For
|
For
|
7-TO AUTHORISE THE DIRECTORS TO ALLOT SHARES PURSUANT TO SECTION 551 OF THE COMPANIES ACT 2006
|
Issuer
|
|
For
|
For
|
8-TO AUTHORISE THE DIRECTORS TO DISAPPLY PRE-EMPTION RIGHTS PURSUANT TO SECTIONS 570 AND 573 OF THE COMPANIES ACT 2006
|
Issuer
|
|
For
|
For
|
9-TO AUTHORISE THE COMPANY TO MAKE MARKET PURCHASES OF ITS ORDINARY SHARES PURSUANT TO SECTION 701 OF THE COMPANIES ACT 2006
|
Issuer
|
|
For
|
For
|
10-TO APPROVE GENERAL MEETINGS (OTHER THAN ANNUAL GENERAL MEETINGS) TO BE HELD ON NOT LESS THAN 14 CLEAR DAYS' NOTICE
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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JPMORGAN CHINA REGION FUND
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5/12/2016
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48126T104
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JFC
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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Mirror Vote
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For
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1.1 ELECTION OF DIRECTOR: JOHN R. HASS
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Shareholder
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Mirror Vote
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For
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1.2 ELECTION OF DIRECTOR: ALISTAIR E.M. LABAND
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Shareholder
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Mirror Vote
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For
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2. THAT THE INVESTMENT ADVISORY AGREEMENT BETWEEN JP MORGAN CHINA REGION FUND, INC. AND JF INTERNATIONAL MANAGEMENT INC. SHALL BE TERMINATED EFFECTIVE AS SOON AS LEGALLY PERMISSIBLE THEREUNDER.
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Shareholder
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Mirror Vote
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For
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3. THE STOCKHOLDERS OF JPMORGAN CHINA REGION FUND, INC. REQUEST THAT THE BOARD OF DIRECTORS AUTHORIZE A SELF-TENDER OFFER FOR ALL OF THE OUTSTANDING SHARES OF THE FUND'S COMMON STOCK, PAR VALUE $0.01 PER SHARE, AT OR CLOSE TO NET ASSET VALUE. IF MORE THAN 50% OF THE FUND'S OUTSTANDING SHARES ARE SUBMITTED FOR TENDER, THEN THE STOCKHOLDERS REQUEST THAT THE TENDER OFFER BE CANCELLED AND THAT THE FUND SHOULD BE LIQUIDATED OR CONVERTED INTO AN EXCHANGE TRADED FUND OR AN OPEN-END MUTUAL FUND.
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Shareholder
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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WINTHROP REALTY TRUST
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5/17/2016
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976391300
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FUR
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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For
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For
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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
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Issuer
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For
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For
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2. PROPOSAL TO RATIFY PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING ON THE EARLIER OF THE COMPLETION OF OUR LIQUIDATION OR DECEMBER 31, 2016.
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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JETPAY CORP.
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5/20/2016
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477177109
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JTPY
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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For
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For
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1. JETPAY'S ISSUANCE TO THE CURRENT SHAREHOLDERS OF COLLECTIONSOLUTIONS, INC. ("CSI") OF UP TO 3,250,000 SHARES OF JETPAY COMMON STOCK AND WARRANTS TO PURCHASE UP TO AN ADDITIONAL 500,000 SHARES OF JETPAY COMMON STOCK IN CONNECTION WITH THE PROPOSED ACQUISITION OF CSI (THE "ISSUANCE").
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Issuer
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For
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For
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2. IF NECESSARY, AN ADJOURNMENT OF THE SPECIAL MEETING, INCLUDING FOR THE PURPOSE OF SOLICITING ADDITIONAL PROXIES, IF THERE ARE NOT SUFFICIENT VOTES IN FAVOR OF THE ISSUANCE.
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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FIRSTHAND TECHNOLOGY VALUE FD INC
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5/24/2016
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33766Y100
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SVVC
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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Mirror Vote
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For
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DIRECTOR - 1) MARK FITZGERALD 2) NICHOLAS PETREDIS
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Issuer
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Mirror Vote
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For
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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, 2016.
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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CUSHING RENAISSANCE FUND
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5/25/2016
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231647108
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SZC
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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Mirror Vote
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For
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DIRECTORS - 1B. - 01-EDWARD N. MCMILLAN, 02-JERRY V. SWANK
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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GSV CAPITAL CORP
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6/1/2016
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36191J101
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GSVC
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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Mirror Vote
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For
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DIRECTORS - 1. - 01-LEONARD A. POTTER, 02-RONALD M. LOTT, 03- CATHERINE J. FRIEDMAN
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Issuer
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Mirror Vote
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For
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2.- THE RATIFICATION OF THE SELECTION OF DELOITTE & TOUCHE LLE AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR GSV CAPITAL CORP. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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EMERGENT CAPITAL, INC.
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6/2/2016
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29102N105
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EMG
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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For
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For
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DIRECTOR - 1) JAMES CHADWICK 2) MICHAEL CROW 3) ANDREW DAKOS 4) PHILLIP GOLDSTEIN 5) GERALD HELLERMAN 6) ANTONY MITCHELL 7) GILBERT NATHAN
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Issuer
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For
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For
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2. TO VOTE ON AN ADVISORY RESOLUTION ON THE COMPENSATION OF CERTAIN OF THE COMPANY'S EXECUTIVE OFFICERS IN 2015.
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Issuer
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For
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For
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3. TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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VIRTUS TOTAL RETURN FUND
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6/2/2016
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92829A103
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DCA
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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For
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Against
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Election of one Trustee - 1) Andrew Dakos
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Shareholder
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For
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Against
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2. A RECOMMENDATION THAT THE BOARD OF TRUSTEES PROMPLY APPROVE AND, IF REQUIRED, SUBMIT TO SHAREHOLDERS FOR A VOTTE, A PROPOSAL TO LIQUIDATE THE FUND
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Shareholder
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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WHEELER REAL ESTATE INVESTMENT TRUST, INC
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6/15/2016
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963025101
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WHLR
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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For
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For
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1. Directors - JON S. WHEELER, KURT R. HARRINGTON, CARL B. MCGOWAN, JR., DAVID KELLY, STEWART J. BROWN, WILLIAM W. KING, JEFFREY M. ZWERDLING, JOHN P. MCAULIFFE
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Issuer
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Abstain
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For
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2. APPROVING OUR 2016 LONG-TERM INCENTIVE PLAN
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Issuer
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For
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For
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3. TO RATIFY THE REAPPOINTMENT OF CHERRY BEKAERT LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016.
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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THE SWISS HELVETIA FUND, INC.
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6/23/2016
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870875101
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SWZ
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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Mirror Vote
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For
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1. DIRECTOR - JEAN-MARC BOILLAT
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Issuer
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Mirror Vote
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For
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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, 2016.
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Issuer
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Mirror Vote
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For
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3. THE STOCKHOLDER ASKS THE FUND 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.
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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Company Name
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Meeting Date
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CUSIP
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Ticker
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GARNERO GROUP ACQUISITION CO
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6/23/2016
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G5866L108
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GGAC
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Vote
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Management
Recommended Vote
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Proposal
|
Propose by issuer or
shareholder
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For
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For
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1. EXTENSION OF CORPORATE LIFE: AMEND GGAC'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE THAT GGAC HAS TO CONSUMMATE A BUSINESS COMBINATION TO JULY 22, 2016.
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Issuer
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For
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None
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2. APPROVE THE CONVERSION: AMEND GGAC'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO ALLOW THE HOLDERS OF ORDINARY SHARES ISSUED IN GGAC'S INITIAL PUBLIC OFFERING TO ELECT TO CONVERT THEIR PUBLIC SHARES INTO THEIR PRO RATA PORTION OF THE FUNDS HELD IN THE TRUST ACCOUNT ESTABLISHED AT THE TIME OF THE IPO IF THE EXTENSION IS IMPLEMENTED.
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Issuer
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For
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None
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2A. ONLY IF YOU VOTE "FOR" PROPOSAL NUMBER 2 AND YOU HOLD ORDINARY SHARES OF THE COMPANY ISSUED IN THE COMPANY'S INITIAL PUBLIC OFFERING, OR PUBLIC SHARES, MAY YOU EXERCISE YOUR CONVERSION RIGHTS WITH RESPECT TO ALL OR A PORTION OF YOUR PUBLIC SHARES BY MARKING THE "FOR" BOX TO THE RIGHT. IF YOU EXERCISE YOUR CONVERSION RIGHTS, THEN YOU WILL BE EXCHANGING THE INDICATED NUMBER OF YOUR PUBLIC SHARES FOR CASH AND YOU WILL NO LONGER OWN SUCH PUBLIC SHARES. YOU WILL ONLY BE ENTITLED TO RECEIVE ...(DUE TO SPACE LIMITS, SEE PROXY MATERIAL FOR FULL PROPOSAL).
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Issuer
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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|
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Company Name
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Meeting Date
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CUSIP
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Ticker
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DEUTSCHE HIGH INCOME TRUST
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6/30/2016
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25155R100
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KHI
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Vote
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Management
Recommended Vote
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Proposal
|
Propose by issuer or
shareholder
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Mirror Vote
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Against
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1. - To approve converting the fund from a close-end investment company yo an open-end investment company and authorizing certain related amendments to the funds's amended and restated agreement and declaration of trust.
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Issuer
|
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2015 - June 30,2016
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(Voted 6/21/16)
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|||
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Company Name
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Meeting Date
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CUSIP
|
Ticker
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TERRAPIN 3 ACQUISITION CORP.
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7/13/2016
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88104P104
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TRTL
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Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
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1. AMEND THE CHARTER: AMEND TERRAPIN'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE THAT TERRAPIN HAS TO CONSUMMATE A BUSINESS COMBINATION TO A DATE THAT IS 150 DAYS AFTER JULY 22, 2016, PROVIDED THAT A DEFINITIVE AGREEMENT FOR A BUSINESS COMBINATION IS EXECUTED ON OR BEFORE JULY 22, 2016 AND PERMIT HOLDERS OF PUBLIC SHARES TO REDEEM THEIR SHARES FOR THEIR PRO RATA PORTION OF THE TRUST ACCOUNT
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Issuer
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For
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None
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2. AMEND THE TRUST AGREEMENT (TO BE VOTED ON BY HOLDERS OF CLASS A COMMON STOCK ONLY): AMEND THE TRUST AGREEMENT TO EXTEND THE DATE THAT THE TRUSTEE WILL LIQUIDATE AND DISTRIBUTE ALL FUNDS HELD IN THE TRUST ACCOUNT TO A DATE THAT IS 150 DAYS AFTER JULY 22, 2016, PROVIDED THAT A DEFINITIVE AGREEMENT FOR A BUSINESS COMBINATION IS EXECUTED ON OR BEFORE JULY 22, 2016, AND PERMIT THE TRUSTEE TO RELEASE FUNDS FROM THE TRUST ACCOUNT IN CONSIDERATION OF REDEEMED PUBLIC SHARES
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Issuer
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For
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None
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3. REGARDLESS OF WHETHER YOU VOTE "FOR" OR "AGAINST" PROPOSALS 1 AND 2 OR "ABSTAIN," IF YOU HOLD SHARES OF THE CORPORATION'S CLASS A COMMON STOCK ISSUED IN THE CORPORATION'S INITIAL PUBLIC OFFERING, OR PUBLIC SHARES, YOU MAY EXERCISE YOUR REDEMPTION RIGHTS WITH RESPECT TO ALL OR A PORTION OF YOUR PUBLIC SHARES BY MARKING THE "FOR" BOX TO THE RIGHT. IF YOU EXERCISE YOUR REDEMPTION RIGHTS, THEN YOU WILL BE EXCHANGING THE INDICATED NUMBER OF YOUR PUBLIC SHARES FOR CASH AND YOU ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
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Issuer
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