|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Clough Global Opportunities FD
|
7/15/2013
|
18914E108
|
GLO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-Directors: 01-Adam D. Crescenzi,02-Jerry G. Rutledge,03-Vincent W. Versaci
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Clough Global Equity Fund
|
7/15/2013
|
18914C100
|
GLQ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-Directors: 01-Robert L. Butler,02-James E. Canty. Rutledge,03-Richard C. Rantzow,04-Vincent W. Versaci
|
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, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Impax Asian Environmental Markets PLC
|
7/23/2013
|
GB00B4M5KX38
|
IAEM LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-That: (A) With effect from the date (the "Admission Date") on which the admission of the Reclassified Shares to the Official List of the UK Listing Authority becomes effective, but subject always to paragraph (E) of this Resolution, each of the Shares i
|
Issuer
|
|
|
|
CONTD been laid before the meeting and signed for the purpose of identification by the Chairman of the meeting. (B) For the purpose of this special resolution: (i) to the extent that holders of Shares shall have validly elected (or shall be deemed to have
|
|
|
|
|
CONTD by this special resolution. (D) The Articles of Association of the Company be and are hereby amended by inserting the following new Article as Article 8A: "8A.1 The definitions contained in the Company's circular to shareholders dated 4 July 2013 (t
|
|
|
|
|
CONTD under Article 8A.2(iii) below, on a winding-up of the Company for the purpose of reconstruction by means of the Scheme as described in the Circular the rights of holders of Shares with B Rights, notwithstanding anything to the contrary in the Articl
|
|
|
|
|
CONTD attaching to Shares under these Articles, and the Articles of Association shall be construed accordingly." (E) In the event that a resolution for the voluntary winding-up of the Company and the appointment of liquidators to be proposed at a general
|
|
|
|
|
CONTD Article 8A shall cease to have effect. (G) This special resolution shall operate by way of such further amendments to the Articles of Association as may be necessary to give effect hereto. (H) The definitions contained in the Circular have the same
|
|
|
For
|
For
|
2-That: Subject to: (i) the passing of resolution 1 above at this meeting (or at any adjournment hereof); (ii) the Scheme becoming unconditional in accordance with its terms on or prior to 30 September 2013; and (iii) the passing at a general meeting of t
|
Issuer
|
|
|
|
CONTD purpose of identification by the Chairman of the meeting, be and is hereby approved and the liquidators of the Company, when appointed, (jointly and severally the "Liquidators") be and hereby are authorised to implement the Scheme and to execute any
|
|
|
|
|
CONTD and signed for the purposes of identification by the Chairman with such amendments as the parties thereto may from time to time agree; (ii) to request that, in accordance with the Scheme, IAEMI issue and distribute IAEMI Shares to the holders of Sha
|
|
|
|
|
CONTD as new Article as Article 150A: "Notwithstanding the provisions of these Articles, upon the winding-up of the Company in connection with the scheme (the "Scheme") set out in Part IV of the circular dated 4 July 2013 to members of the Company (the "C
|
|
|
|
|
CONTD (D) This special resolution shall operate by way of such further amendments to the Articles of Association as may be necessary to give effect hereto. (E) The definitions contained in the Circular have the same meanings in this special resolution
|
|
|
For
|
For
|
3-That: Subject to: (i) the passing of resolutions 1 and 2 above at this meeting (or at any adjournment hereof); (ii) the Scheme becoming unconditional in accordance with its terms on or prior to 30 September 2013; and (iii) the passing at a general meeti
|
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
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Gladstone Investment Corp.
|
8/8/2013
|
376546107
|
GAIN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold all
|
For
|
1-Directors: 01-Paul W. Adelgrein,02-David Gladstone, 03-John H. Outland
|
Issuer
|
|
Against
|
For
|
2-TO APPROVE A PROPOSAL TO AUTHORIZE US, WITH THE APPROVAL OF OUR BOARD OF DIRECTORS (THE "BOARD"), TO ISSUE AND SELL SHARES OF OUR COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LI
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Invesco Asia Trust
|
8/8/2013
|
GB0004535307
|
IAT LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-To make market purchases of ordinary shares in the capital of the Company
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Invesco Asia Trust
|
8/8/2013
|
GB0004535307
|
IAT LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-To receive the Report of the Directors' and Financial Statements for the year ended 30 April 2013
|
Issuer
|
|
For
|
For
|
2-To declare a final dividend as recommended
|
Issuer
|
|
For
|
For
|
3-To approve the Directors' Remuneration Report
|
Issuer
|
|
For
|
For
|
4-To re-elect James Robinson as a Director of the Company
|
Issuer
|
|
For
|
For
|
5-To elect Owen Jonathan as a Director of the Company
|
Issuer
|
|
For
|
For
|
6-To re-appoint the Auditor and authorise the Directors to determine their remuneration
|
Issuer
|
|
For
|
For
|
7-To release the Directors from their obligation to hold a continuation vote in 2014
|
Issuer
|
|
For
|
For
|
8-To authorise the Directors to allot securities
|
Issuer
|
|
For
|
For
|
9-To authorise the Directors to allot securities disapplying statutory pre-emption rights
|
Issuer
|
|
For
|
For
|
10-To authorise the Directors to buy back up to 14.99 per cent of the Company's issued ordinary shares
|
Issuer
|
|
For
|
For
|
11-That the period of notice required for general meetings of the Company (other than AGMs) shall not be less than 14 days
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Eaton Vance Tax-Mangd Glb Div Eq Inc Fd
|
8/23/2013
|
27829F108
|
EXG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Directors: 01-Scott E. Eston,02-Benjamin C. Esty, 03-Th0mas E. Faust,04-Allen R. Freedman
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Liberty All-star Equity Fund
|
8/29/2013
|
530158104
|
USA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For all
|
For
|
Directors 1) Richard w. Lowry,2)John J. Neuhauser,3) Richard C. Rantzow
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Value Trust Inc.
|
9/5/2013
|
780910105
|
RVT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO CONSIDER AND VOTE UPON A PROPOSAL TO CONTRIBUTE APPROXIMATELY $100 MILLION OF ROYCE VALUE TRUST, INC.'S ("VALUE TRUST") ASSETS TO ROYCE GLOBAL VALUE TRUST, INC., A NEWLY-ORGANIZED, DIVERSIFIED, CLOSED-END MANAGEMENT INVESTMENT COMPANY, AND TO DISTRIB
|
Issuer
|
|
For
|
For
|
2-TO CONSIDER AND VOTE UPON A PROPOSAL TO AMEND AN INVESTMENT RESTRICTION OF VALUE TRUST, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
OXFORD LANE CAPITAL CORP
|
9/12/2013
|
691543300
|
OLXCO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For all
|
For
|
Directors 1) JONATHAN H. COHEN,2)MARK J. ASHENFELTER
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
OXFORD LANE CAPITAL CORP
|
9/12/2013
|
691543201
|
OXLCP
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For all
|
For
|
Directors 1) JONATHAN H. COHEN,2)MARK J. ASHENFELTER
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam Managed Muni Inc. Pfd Ser C
|
9/19/2013
|
746823400
|
PMM ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
abstain
|
For
|
1A. - Fixing the number of trustees at 14
|
Issuer
|
|
withhold all
|
For
|
Directors 1B - 01-Liaquat Ahamed,02-Ravi Akhoury,03-Barbara M. Baumann,04-Jameson A. Baxter,05-Charles B. Curtis,06-Robert J. Darretta,07-Katinka Domotorffy,08-John A. Hill,09-Paul L. Joskow,10-Kenneth R. Leibler,11-Robert E. Patterson,12-George Putnam,II
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Value Trust Inc.
|
9/25/2013
|
780910105
|
RVT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For all
|
For
|
Directors 1) W.Whitney George,2)Athur S. Mehlman,3) Patricia W. Chadwick,4) Davis L. Meister
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Royce Micro-Cap Trust
|
9/25/2013
|
780915104
|
RMT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For all
|
For
|
Directors 1) W.Whitney George,2)Athur S. Mehlman,3) Patricia W. Chadwick,4) Davis L. Meister
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Single Touch Systems Inc.
|
9/25/2013
|
82932T107
|
SITO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For all
|
For
|
Directors 1) ANTHONY MACALUSO,2)JAMES ORSINI,3) STUART R. LEVINE,4) JAMES L. NELSON,5) STEPHEN D. BAKSA,6) PETER D.HOLDEN,7) JONATHAN E. SANDELMAN
|
Issuer
|
|
For
|
For
|
2-TO RATIFY THE APPOINTMENT OF L.L.BRADFORD & COMPANY, LLC AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013.
|
Issuer
|
|
For
|
For
|
3-THE APPROVAL OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO INCREASE THE COMPANY'S AUTHORIZED SHARES OF COMMON STOCK FROM 200,000,000 TO 300,000,000.
|
Issuer
|
|
For
|
For
|
4-THE APPROVAL OF THE COMPENSATION DISCLOSED IN THE PROXY STATEMENT OF THE COMPANY'S EXECUTIVE OFFICERS WHO ARE NAMED IN THE PROXY STATEMENT'S SUMMARY COMPENSATION TABLE.
|
Issuer
|
|
3 Years
|
3 Years
|
FREQUENCY OF ADVISORY VOTES ON NAMED EXECUTIVE OFFICER COMPENSATION.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Box Ships
|
10/23/2013
|
Y09675102
|
TEU
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold
|
For
|
Director 1) DIMITAR TODOROV
|
Issuer
|
|
For
|
For
|
TO RATIFY THE APPOINTMENT OF DELOITTE HADJIPAVLOU SOFIANOS & CAMBANIS S.A. AS THE COMPANY'S INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013.
|
Issuer
|
|
Abstain
|
For
|
TO RATIFY THE COMPANY'S EXECUTION AND DELIVERY, AND APPROVE THE COMPANY'S PERFORMANCE, OF A CORPORATE GUARANTEE IN CONNECTION WITH THE GUARANTEE OF A LOAN OF UP TO $69.0 MILLION, MADE BETWEEN IRISES SHIPPING LTD. AND NEREUS NAVIGATION LTD., TWO WHOLLY-OWN
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Juridica Investments Limited
|
11/14/2013
|
GG00B29LSW52
|
JIL LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
That the Company be voluntarily wound up
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Marwyn Value Investors LTD
|
11/19/2013
|
KYG5897M1096
|
MVI LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
That, the proposals set out in the circular to shareholders dated 1 November 2013 be and are hereby approved
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MEDWORTH ACQUISITION CORP
|
11/26/2013
|
58508R105
|
MWRX
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
TO AMEND THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO CHANGE THE COMPANY'S NAME TO MERGEWORTHRX CORP.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MILLENNIUM INDIA ACQUISITION CO.
|
12/12/2013
|
60039Q101
|
SMCG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
Directors 1) DAVID H. LESSER 2) ARUN MITTAL 3) HABIB YUNUS 4) DIONISIO D'AGUILAR 5) JESSE DERRIS 6) F. JACOB CHERIAN 7) SUHEL KANUGA
|
Issuer
|
|
For
|
For
|
2-TO APPROVE THE AMENDMENT OF FUNDAMENTAL INVESTMENT RESTRICTION NO. 5, CURRENTLY APPLICABLE TO THE COMPANY, TO REMOVE THE REQUIREMENT THAT THE COMPANY INVEST MORE THAN 25% OF ITS TOTAL ASSETS IN ONE OR MORE BUSINESSES THAT HAVE OPERATIONS PRIMARILY IN IN
|
Issuer
|
|
For
|
For
|
3-TO APPROVE THE AMENDMENT OF FUNDAMENTAL INVESTMENT RESTRICTION NO. 5, CURRENTLY APPLICABLE TO THE COMPANY, TO ADD THE REQUIREMENT THAT THE COMPANY INVEST MORE THAN 25% OF ITS TOTAL ASSETS IN ONE OR MORE ENERGY INFRASTRUCTURE ASSETS OR BUSINESSES OR ALTE
|
Issuer
|
|
For
|
For
|
4 - TO APPROVE THE REDUCTION OF THE NUMBER OF SHARES OF AUTHORIZED CAPITAL STOCK OF THE COMPANY FROM 45,005,000 TO 12,005,000.
|
Issuer
|
|
For
|
For
|
5 - TO APPROVE ONE OR MORE ADJOURNMENTS OF THE MEETING, AS NECESSARY AND APPROPRIATE, INCLUDING IN ORDER TO PERMIT THE FURTHER SOLICITATION OF PROXIES IN FAVOR OF PROPOSALS 2, 3 AND 4, ABOVE.
|
Issuer
|
|
For
|
For
|
6 - TO RATIFY THE BOARD'S SELECTION OF COHNREZNICK LLP AS INDEPENDENT AUDITORS OF THE COMPANY.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
WHEELER REAL ESTATES
|
12/20/2013
|
963025101
|
WHLR
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) JON S. WHEELER 2) SANJAY MADHU 3) CARL B. MCGOWAN, JR. 4) DAVID KELLY 5) CHRISTOPHER J. ETTEL 6) WILLIAM W. KING 7) JEFFREY ZWERDLING 8) ANN L. MCKINNEY
|
Issuer
|
|
For
|
For
|
2-TO RATIFY THE APPOINTMENT OF CHERRY BEKAERT LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDED DECEMBER 31, 2013.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GYRODYNE COMPANY OF AMERICA, INC
|
12/27/2013
|
403820103
|
GYRO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) RONALD J. MACKLIN 2) PHILIP F. PALMEDO
|
Issuer
|
|
For
|
For
|
2-TO APPROVE, ON A NON-BINDING ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THIS PROXY STATEMENT
|
Issuer
|
|
For
|
For
|
3-TO DETERMINE, BY A NON-BINDING ADVISORY VOTE, THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS
|
Issuer
|
|
For
|
For
|
4-TO RATIFY THE ENGAGEMENT OF BAKER TILLY VIRCHOW KRAUSE, LLP (SUCCESSOR TO HOLTZ RUBENSTEIN REMINICK LLP) AS INDEPENDENT ACCOUNTANTS OF THE COMPANY AND ITS SUBSIDIARIES FOR THE 2013 FISCAL YEAR
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ELLSWORTH FUND LTD
|
1/17/2014
|
289074106
|
ECF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) THOMAS H. DINSMORE 2) DANIEL D. HARDING
|
Issuer
|
|
For
|
For
|
2-PROPOSAL TO RATIFY SELECTION OF ACCOUNTANTS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ASIA TIGER FUND, INC.
|
2/3/2014
|
04516T105
|
GRR
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
AGAINST
|
FOR
|
1-TO ELIMINATE THE FUNDAMENTAL POLICY GOVERNING THE FUND'S SEMI-ANNUAL REPURCHASE OFFERS.
|
ISSUER
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The India Fund, Inc.
|
2/3/2014
|
454089103
|
IFN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
AGAINST
|
FOR
|
1-TO ELIMINATE THE FUNDAMENTAL POLICY GOVERNING THE FUND'S SEMI-ANNUAL REPURCHASE OFFERS.
|
ISSUER
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Blackrock New Energy Investment Trust OLC, London
|
2/6/2014
|
GB0009737932
|
BRNE 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 October 2013, together with the report of the auditor thereon
|
Issuer
|
|
For
|
For
|
2-To approve the Directors' Remuneration Report for the year ended 31 October 2013 excluding the Remuneration Policy of the Company
|
Issuer
|
|
For
|
For
|
3-To approve the Remuneration Policy of the Company as set out in the policy table of the Directors' Remuneration Report
|
Issuer
|
|
For
|
For
|
4-To re-elect Mr Batey as a Director
|
Issuer
|
|
For
|
For
|
5-To re-elect Mr O'Hare as a director
|
Issuer
|
|
For
|
For
|
6-To re-elect Dr Roberts as a director
|
Issuer
|
|
For
|
For
|
7-To re-elect Professor Skea as a director
|
Issuer
|
|
For
|
For
|
8-To re-appoint Ernst and Young LLP as auditor to the Company
|
Issuer
|
|
For
|
For
|
9-To authorise the Directors to determine the auditor's remuneration
|
Issuer
|
|
For
|
For
|
10-To grant the Directors authority to allot shares
|
Issuer
|
|
For
|
For
|
11-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
|
12-To authorise the Directors to purchase the Company's ordinary shares for cancellation or to be held in treasury
|
Issuer
|
|
For
|
For
|
13-To authorise the Directors to purchase the Company's subscription shares for cancellation
|
Issuer
|
|
For
|
For
|
1- To reclassify the shares, approve the Scheme and approve amendments to the Articles of Association
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Chart Acquisition Corp
|
2/10/2014
|
161151105
|
CACG
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) Governor T.J. Ridge 2) Senator J.R. Kerrey 3) Mauel D. Medina
|
Issuer
|
|
For
|
For
|
RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF ROTHSTEIN KASS TO SERVE AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013
|
Issuer
|
|
For
|
For
|
ADVISORY VOTE ON EXECUTIVE COMPENSATION
|
Issuer
|
|
3 Years
|
3 Years
|
ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Chart Acquisition Corp Warrants
|
2/10/2014
|
161151113
|
CACGW
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) Governor T.J. Ridge 2) Senator J.R. Kerrey 3) Mauel D. Medina
|
Issuer
|
|
For
|
For
|
RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF ROTHSTEIN KASS TO SERVE AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013
|
Issuer
|
|
For
|
For
|
ADVISORY VOTE ON EXECUTIVE COMPENSATION
|
Issuer
|
|
3 Years
|
3 Years
|
ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Blackrock New Energy Investment Trust OLC, London
|
2/14/2014
|
GB0009737932
|
BRNE LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-To wind up the Company and appoint the liquidators.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
Zedi Inc NPV
|
2/18/2014
|
CA9892151080
|
ZED CN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-THE SPECIAL RESOLUTION, THE FULL TEXT OF WHICH IS SET FORTH IN APPENDIX "A" TO THE ACCOMPANYING MANAGEMENT INFORMATION CIRCULAR OF ZEDI INC. (THE "CIRCULAR"), TO APPROVE A PLAN OF ARRANGEMENT PURSUANT TO SECTION 193 OF THE BUSINESS CORPORATIONS ACT (ALB
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam Managed Muni Inc. Pfd Ser C
|
2/27/2014
|
746922400
|
PMO ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Against
|
For
|
1- Approving a new management contract for your fund
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam Managed Muni Inc. Pfd Ser C
|
2/27/2014
|
746823400
|
PMM ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Against
|
For
|
1- Approving a new management contract for your fund
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Central Securities Corporation
|
3/19/2014
|
155123102
|
CET
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) L.Price Blackford 2) Simms C. Browning 3) Donald G Calder 4) David C Colander 5) Jay R Inglis 6) Wilmot H Kidd 7) C Carter Walker, Jr.
|
Issuer
|
|
For
|
For
|
APPROVAL OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Aberdeen Israel Fund
|
3/27/2014
|
00301L109
|
ISL
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold
|
For
|
1-DIRECTOR 1) James J. Cattano 2) Stever Rappaport
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Adams Express Company
|
4/10/2014
|
006212104
|
ADX
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold
|
For
|
1-DIRECTOR 1) Enrique R. Arzac 2) Phyllis O. Bonanno 3) Kenneth J. Dale 4) Frederic A. Escherich 5) Roger W. Gale 6) Kathleen T. McGahran 7) Craig R. Smith 8) Mark E. Stoeckle
|
Issuer
|
|
For
|
For
|
2-THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT PUBLIC AUDITORS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Tri-Continental Corp.
|
4/11/2014
|
895436103
|
TY
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold
|
For
|
1-DIRECTOR 1) William P. Carmichael 2) Patricia M. Flynn 3) Stephen R. Lewis, JR. 4) Catherine James Paglia
|
Issuer
|
|
For
|
For
|
2- To ratify the selection of Pricewaterhousecoopers LLP as the Corporation's independent registered Public Accounting fir.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
General American Investors Company
|
4/16/2014
|
368802104
|
GAM
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold
|
For
|
1-DIRECTOR 1) Scott E. Eston 2) Thomas E. Faust 3) Allen R. Freeman 4) Valerie A. Mosley
|
Issuer
|
|
Against
|
For
|
2- RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Collabrium Japan Acquisition Corp.
|
4/21/2014
|
G2266G102
|
JACQ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- TO CONSIDER AND VOTE UPON AN AMENDMENT TO THE COMPANY'S MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY MUST CONSUMMATE ITS INITIAL BUSINESS COMBINATION FROM April 24, 2014 to August 24, 2014
|
Issuer
|
|
For
|
For
|
2- TO CONSIDER AND VOTE UPON AN AMENDMENT TO THE INVESTMENT MANAGEMENT TRUST AGREEMENT (THE "IMTA"), BY AND BETWEEN THE COMPANY AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY ENTERED INTO AT THE TIME OF THE COMPANY'S INITIAL PUBLIC OFFERING (THE "IPO") GO
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
EV Risk-Managed Div Equity
|
4/24/2014
|
27829G106
|
ETJ
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) Scott E. Eston 2) Thomas E. Faust 3) Allen R. Freeman 4) Valerie A. Mosley
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset Inflation Mgmt. Fund
|
4/25/2014
|
95766U107
|
IMF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1)Eileen A. Kamerick 2) Dr. Riordan Roett 3) Jeswald W. Salacuse, JR. 4) Kenneth D. Fuller
|
Issuer
|
|
For
|
For
|
2- THE LIQUIDATION AND DISSOLUTION OF THE FUND PURSUANT TO THE PLAN OF LIQUIDATION AND DISSOLUTION ADOPTED BY THE BOARD OF DIRECTORS OF THE FUND.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam Managed Muni Inc. Pfd Ser C
|
4/25/2014
|
746823400
|
PMM ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Against
|
For
|
1A-FIXING THE NUMBER OF TRUSTEES AT 14.
|
Issuer
|
|
Withhold All
|
For
|
1B.-1-Director 1)LIAQUAT AHAMED, 2) RAVI AKHOURY , 3)BARBARA M. BAUMANN, 4)JAMESON A. BAXTER, 5)CHARLES B. CURTIS, 6) ROBERT J. DARRETTA, 7)KATINKA DOMOTORFFY, 8)JOHN A. HILL, 9) PAUL L. JOSKOW, 10) KENNETH R. LEIBLER, 11) ROBERT E. PATTERSON, 12) GEORGE
|
Issuer
|
|
Against
|
For
|
3A.-APPROVING AN AMENDED AND RESTATED DECLARATION OF TRUST FOR YOUR FUND: QUORUM REQUIREMENT FOR SHAREHOLDER MEETINGS.
|
Issuer
|
|
Against
|
For
|
3B.-APPROVING AN AMENDED AND RESTATED DECLARATION OF TRUST FOR YOUR FUND: OTHER CHANGES.
|
Issuer
|
|
Against
|
For
|
4-APPROVING AN AMENDMENT TO YOUR FUND'S DECLARATION OF TRUST - ELIMINATING MANDATORY SHAREHOLDER VOTES FOR CONVERSION TO AN OPEN-END INVESTMENT COMPANY.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam Managed Muni Inc. Pfd Ser C
|
4/25/2014
|
746922400
|
PMO ARPS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Against
|
For
|
1A-FIXING THE NUMBER OF TRUSTEES AT 14.
|
Issuer
|
|
Withhold All
|
For
|
1B.-1-Director 1)LIAQUAT AHAMED, 2) RAVI AKHOURY , 3)BARBARA M. BAUMANN, 4)JAMESON A. BAXTER, 5)CHARLES B. CURTIS, 6) ROBERT J. DARRETTA, 7)KATINKA DOMOTORFFY, 8)JOHN A. HILL, 9) PAUL L. JOSKOW, 10) KENNETH R. LEIBLER, 11) ROBERT E. PATTERSON, 12) GEORGE
|
Issuer
|
|
Against
|
For
|
3A.-APPROVING AN AMENDED AND RESTATED DECLARATION OF TRUST FOR YOUR FUND: QUORUM REQUIREMENT FOR SHAREHOLDER MEETINGS.
|
Issuer
|
|
Against
|
For
|
3B.-APPROVING AN AMENDED AND RESTATED DECLARATION OF TRUST FOR YOUR FUND: OTHER CHANGES.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Western Asset Premier BD FD Pfd Ser M
|
4/30/2014
|
957664204
|
WEA APRS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1.A-TO APPROVE AN AMENDMENT TO THE FUND'S BYLAWS THAT AUTHORIZE THE FUND TO BORROW MONEY UNDER THE CONDITIONS SET FORTH IN THE PROPOSED AMENDMENT.
|
Issuer
|
|
For
|
For
|
2.B-TO APPROVE AN AMENDMENT TO THE FUND'S BYLAWS THAT CHANGE THE DEFINITION OF THE TERM "LIEN" TO EXCLUDE LIENS RELATED TO BORROWINGS DESCRIBED IN PROPOSAL 1.A.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Stewart Information Services Corporation
|
5/2/2014
|
860372101
|
STC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Director 1) ARNAUD AJDLER
|
Issuer
|
|
For
|
For
|
1-Director 2) GLENN C. CHRISTENSON
|
Issuer
|
|
Withhold
|
For
|
1-Director 3) ROBERT L. CLARKE
|
Issuer
|
|
Withhold
|
For
|
1-Director 4) LAURIE C. MOORE
|
Issuer
|
|
Withhold
|
For
|
1-Director 5) DR. W. ARTHUR PORTER
|
Issuer
|
|
Against
|
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 2014.
|
Issuer
|
|
Against
|
For
|
4-APPROVAL OF THE STEWART INFORMATION SERVICES CORPORATION 2014 LONG TERM INCENTIVE PLAN.
|
Issuer
|
|
Against
|
For
|
5-APPROVAL OF THE STEWART INFORMATION SERVICES CORPORATION ANNUAL BONUS PLAN.
|
Issuer
|
|
Against
|
For
|
6-APPROVAL OF AN AMENDMENT TO THE STEWART INFORMATION SERVICES CORPORATION AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO ELIMINATE CUMULATIVE VOTING IN ORDER TO ADOPT A MAJORITY VOTING STANDARD.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Gladstone Land Corp.
|
5/8/2014
|
376549101
|
LAND
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-DIRECTOR 1)DAVID GLADSTONE 2) PAUL W. ADELGREN 3) JOHN H. OUTLAND
|
Issuer
|
|
For
|
For
|
2-TO RATIFY OUR AUDIT COMMITTEE'S SELECTION OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR OUR FISCAL YEAR ENDING DECEMBER 31, 2014.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Preferred Apartment Communities, Inc.
|
5/8/2014
|
74039L103
|
APTS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-Director 1) John A. Williams, 2)Leonard A. Silverstein, 3)Steve Bartkowski, 4)Gary B. Coursey, 5)Daniel M. Dupree, 6)Howard A. Mclure, 7)Timothy A. Peterson, 8)William J. Gresham, Jr.
|
Issuer
|
|
For
|
For
|
2-Approval of the articles of amendment to the Company's charter
|
Issuer
|
|
For
|
For
|
3-Ratification of the selection of Pricewaterhouisecoopers LLP as our independent registered public accounting firm for 2014
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Gabelli Global Utility & Income TR
|
5/12/2014
|
36242L105
|
GLU
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Director 1) Salvatore J. Zizza
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Zweig Total Return Fund, Inc
|
5/13/2014
|
989837208
|
ZTR
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1-Director 1) R. KEITH WALTON , 2) BRIAN T. ZINO
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Independence Realty Trust, Inc
|
5/14/2014
|
45378A106
|
IRT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold All
|
For
|
1.1-ELECTION OF DIRECTOR: SCOTT F. SCHAEFFER
|
Issuer
|
|
Withhold All
|
For
|
1.2-ELECTION OF DIRECTOR: WILLIAM C. DUNKELBERG
|
Issuer
|
|
Withhold All
|
For
|
1.3-ELECTION OF DIRECTOR: ROBERT F. MCCADDEN
|
Issuer
|
|
Withhold All
|
For
|
1.4-ELECTION OF DIRECTOR: DEFOREST B. SOARIES, JR.
|
Issuer
|
|
For
|
For
|
2-PROPOSAL TO APPROVE THE SELECTION OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2014 FISCAL YEAR
|
Issuer
|
|
Abstain
|
For
|
3-RESOLVED, THAT IRT'S STOCKHOLDERS APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE NAMED EXECUTIVES, AS DISCLOSED IN IRT'S PROXY STATEMENT FOR THE 2014 ANNUAL MEETING OF STOCKHOLDERS PURSUANT TO THE COMPENSATION DISCLOSURE RULES OF THE SECURITIES
|
Issuer
|
|
1 Year
|
3 Years
|
4RESOLVED, THAT THE STOCKHOLDERS DETERMINE, ON AN ADVISORY BASIS, WHETHER THE PREFERRED FREQUENCY OF AN ADVISORY VOTE ON THE EXECUTIVE COMPENSATION OF IRT'S NAMED EXECUTIVES AS SET FORTH IN IRT'S PROXY STATEMENT SHOULD BE EVERY YEAR, EVERY TWO YEARS, OR E
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
ARC Capital Holdings LTD
|
5/16/2014
|
KYG0450H1002
|
ARCH LN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1- ORINARY RESOLUTION THAT THE PROPOSED SALE OF FORTRESS GROUP LIMITED ON THE TERMS AS SET OUT IN THE CIRCULAR TO SHAREHOLDERS DATED 25 APRIL 2014 BE APPROVED.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Brookfield Global Listed Infra
|
5/20/2014
|
11273Q109
|
INF
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Director 1) Louis P. Salvatore,2) Jonathan C. Tyras
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Virtus Total Return Fund
|
5/20/2014
|
92829A103
|
DCA
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Director 1) WILLIAM R. MOYER , 2) JAMES M. OATES
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
DPF India Opportunities Fund
|
5/21/2014
|
CA26138Y2042
|
DPF-U CN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-THE SPECIAL RESOLUTION APPROVING THE RESTRUCTURING OF THE FUND SO THAT IT WILL BE ADMINISTERED AS AN OPEN-END MUTUAL FUND IN COMPLIANCE WITH NATIONAL INSTRUMENT 81-102 - MUTUAL FUNDS (THE FULL TEXT OF THE RESOLUTION IS ATTACHED AS SCHEDULE "A" TO THE AC
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Anworth Mortgage Assett Corp.
|
5/22/2014
|
037347101
|
ANH
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-Director 1)PAUL R. DEROSA , 2) GREGORY R. DUBE, 3) KENNETH B. DUNN, 4) RONALD MASS , 5) SCOTT F. RICHARD
|
Shareholder
|
|
Against
|
Against
|
2. ANWORTH'S PROPOSAL FOR THE APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF ANWORTH'S NAMED EXECUTIVE OFFICERS.
|
Shareholder
|
|
Against
|
Against
|
3. ANWORTH'S PROPOSAL FOR THE APPROVAL OF THE ADOPTION OF ANWORTH'S 2014 EQUITY COMPENSATION PLAN.
|
Shareholder
|
|
For
|
No recommendation
|
4. ANWORTH'S PROPOSAL FOR THE RATIFICATION OF THE APPOINTMENT OF MCGLADREY LLP AS ANWORTH'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE ANWORTH'S FISCAL YEAR ENDING DECEMBER 31, 2014.
|
Shareholder
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Firsthand Technology Value Fund, Inc.
|
5/23/2014
|
33766Y100
|
SVVC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Mirror voting
|
FOR
|
1-Directors: 01-Kevin Landis,02- Kimun Lee
|
ISSUER
|
|
Mirror voting
|
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, 2014.
|
ISSUER
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
American Rlty Cap Healthcare
|
5/28/2014
|
02917R108
|
HCT
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
NO VOTE shares sold.
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Imerial Holdings, Inc
|
6/5/2014
|
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 2013 COMPENSATION OF CERTAIN OF THE COMPANY'S EXECUTIVE OFFICERS.
|
Issuer
|
|
For
|
For
|
3. TO VOTE ON THE APPROVAL OF THE ISSUANCE OF COMMON STOCK OF THE COMPANY'S 8.50% SENIOR UNSECURED CONVERTIBLE NOTES DUE 2019 IN EXCESS OF NYSE LIMITS FOR SHARES ISSUANCES WITHOUT SHAREHOLDER APPROVAL.
|
Issuer
|
|
For
|
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, 2014.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The India Fund, Inc.
|
6/9/2014
|
454089103
|
IFN
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
FOR
|
FOR
|
1-Directors: 01- Leslie H. Gelb,02- Stephane R.F. Henry,03- Luis F. Rubio
|
ISSUER
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
WHEELER REAL ESTATES
|
6/11/2014
|
963025101
|
WHLR
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) JON S. WHEELER 2) SANJAY MADHU 3) CARL B. MCGOWAN, JR. 4) DAVID KELLY 5) CHRISTOPHER J. ETTEL 6) WILLIAM W. KING 7) JEFFREY ZWERDLING 8) ANN L. MCKINNEY
|
Issuer
|
|
For
|
For
|
2-APPROVING, FOR PURPOSES OF NASDAQ RULES SECTION 5635(B) AND SECTION 5635(D), THE COMMON STOCK PURCHASE WARRANTS ISSUED IN OUR PRIVATE PLACEMENT TRANSACTION IN DECEMBER 2013 AND JANUARY 2014.
|
|
|
For
|
For
|
3-TO RATIFY THE APPOINTMENT OF CHERRY BEKAERT LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDED DECEMBER 31, 2014.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ORCHID ISLAND CAPITAL INC
|
6/11/2014
|
68571X103
|
ORC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Abstain
|
FOR
|
1A.ELECTION OF DIRECTOR: ROBERT E. CAULEY
|
ISSUER
|
|
Abstain
|
FOR
|
1B.ELECTION OF DIRECTOR: G. HUNTER HAAS, IV
|
ISSUER
|
|
Abstain
|
FOR
|
1C.ELECTION OF DIRECTOR: W COLEMAN BITTING
|
ISSUER
|
|
Abstain
|
FOR
|
1D.ELECTION OF DIRECTOR: JOHN B. VAN HEUVELEN
|
ISSUER
|
|
Abstain
|
FOR
|
1E.ELECTION OF DIRECTOR: FRANK P. FILIPPS
|
ISSUER
|
|
Abstain
|
FOR
|
1F.ELECTION OF DIRECTOR: FRANK P. FILIPPS
|
ISSUER
|
|
FOR
|
FOR
|
2-TO RATIFY THE APPOINTMENT OF BDO USA, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2014.
|
ISSUER
|
|
Abstain
|
FOR
|
3-TO APPROVE, BY A NON-BINDING VOTE, THE COMPANY'S EXECUTIVE COMPENSATION.
|
ISSUER
|
|
Abstain
|
3YR
|
4-TO APPROVE, BY A NON-BINDING VOTE, THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES ABOUT THE COMPANY'S EXECUTIVE COMPENSATION.
|
ISSUER
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
KEATING CAPITAL, INC
|
6/16/2014
|
48722R106
|
KIPO
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) LAURENCE W. BERGER 2) TIMOTHY J. KEATING 3) J. TAYLOR SIMONTON 4) ROBERT T. CASSATO 5) LESLIE D. MICHELSON
|
Issuer
|
|
For
|
For
|
2-TO APPROVE A NEW INVESTMENT ADVISORY AND ADMINISTRATIVE SERVICES AGREEMENT BETWEEN THE COMPANY AND KEATING INVESTMENTS, LLC, TO TAKE EFFECT UPON A PROPOSED CHANGE OF CONTROL OF KEATING INVESTMENTS, LLC IN CONNECTION WITH THE TRANSACTION, AS DEFINED IN T
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Central Europe, Russia & Turkey FD
|
6/19/2014
|
153436100
|
CEE
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-DIRECTOR 1) AMBASSADOR R.R. BURT 2) DR. FRIEDBERT H. MALT 3) MR. ROBERT H. WADSWORTH
|
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, 2014.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The Swiss Helvetia Fund, Inc
|
6/27/2014
|
870875101
|
swz
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
FOR
|
FOR
|
1-Directors: 01-Richard Brealey,02- Claus Helbig,03-Samuel B Witt, III ESQ.
|
ISSUER
|
|
FOR
|
FOR
|
2A.- WITH RESPECT TO THE PROPOSAL TO APPROVE THE INVESTMENT ADVISORY AGREEMENT BETWEEN THE FUND AND SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC.
|
ISSUER
|
|
FOR
|
FOR
|
2B.- WITH RESPECT TO THE PROPSAL TO APPROVE THE SUB-ADVISORY AGREEMENT BETWEEN SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. AND SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA LIMITED.
|
ISSUER
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
Period:
|
July 1, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
EQUUS TOTAL RETURN, INC.
|
6/24/2014
|
294766100
|
EQS
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
Withhold all
|
For
|
1-DIRECTOR 1) FRASER ATKINSON 2) ALESSANDRO BENEDETTI 3) RICHARD F. BERGNER 4) KENNETH I. DENOS 5) GREGORY J. FLANAGAN 6) HENRY W. HANKINSON 7) JOHN A. HARDY 8) ROBERT L. KNAUSS 9) 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, 2014.
|
Issuer
|
|
Against
|
For
|
3-TO APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION PAID TO THE FUND'S EXECUTIVE OFFICERS IN 2013, 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, 2013 - June 30,2014
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Quinpario Acquisition Corp.
|
6/30/2014
|
74874R108
|
QPAC
|
|
Vote
|
Management
Recommended Vote
|
Proposal
|
Propose by issuer or
shareholder
|
|
For
|
For
|
1-TO CONSIDER AND VOTE UPON THE BUSINESS COMBINATION PROPOSAL ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For
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For
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2-TO CONSIDER AND ACT UPON PROPOSAL 2 ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For
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For
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3-TO CONSIDER AND ACT UPON PROPOSAL 3 ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For
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For
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4-TO CONSIDER AND ACT UPON PROPOSAL 4 ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For
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For
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5-TO CONSIDER AND ACT UPON PROPOSAL 5 ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For all Nominees
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For all Nominees
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6- Directors 1) Edgar G. Hotard, 2) Jeffrey N. Quinn, 3) David C. Westgate
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Issuer
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For
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For
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7-TO APPROVE THE NASDAQ PROPOSAL ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For
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For
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8-TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE AND ADOPT THE JASON INDUSTRIES, INC. 2014 OMNIBUS INCENTIVE PLAN.
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Issuer
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For
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For
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9-TO APPROVE, BY A NON-BINDING ADVISORY VOTE, THE BUSINESS COMBINATION-RELATED COMPENSATION PROPOSAL ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For
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For
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10-TO CONSIDER AND VOTE UPON THE ADJOURNMENT PROPOSAL ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
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Issuer
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For
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None
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A-IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS PLEASE CHECK THIS BOX. MARK "FOR" = YES AND "AGAINST" OR "ABSTAIN" = NO.
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Issuer
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For
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None
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B-I HEREBY CERTIFY THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP", WITH ANY OTHER STOCKHOLDER IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION. MARK "FOR" = YES AND "AGAINST" OR "ABSTAIN" = NO
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Issuer
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