|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
||
|
Period:
|
July 1, 2016 - June 30,2017
|
||
|
|
|||
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
TERRAPIN 3 ACQUISITION CORP.
|
7/13/2016
|
88104P104
|
TRTL
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
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
|
Issuer
|
|
For
|
None
|
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
|
Issuer
|
|
For
|
None
|
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)
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
COPSYNC, INC.
|
7/28/2016
|
217712207
|
COYN
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Withhold all
|
FOR
|
1. Director - JOSEPH R. ALOSA, SR, RUSSELL D. CHANEY, ROBERT L. HARRIS
|
Issuer
|
|
Against
|
FOR
|
2. TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Issuer
|
|
Abstain
|
1YR
|
3. TO VOTE, ON AN ADVISORY BASIS, ON THE FREQUENCY (I.E., ONCE EVERY ONE, TWO OR THREE YEARS) OF HOLDING AN ADVISORY STOCKHOLDER VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Issuer
|
|
Against
|
FOR
|
4. TO APPROVE THE REPRICING OF THE STOCK OPTIONS THAT HAVE BEEN GRANTED UNDER THE 2009 LONG-TERM INCENTIVE PLAN (THE "PLAN") PRIOR TO DECEMBER 1, 2015 AND ARE OUTSTANDING ON THE DATE OF THE 2016 ANNUAL MEETING (THE "ANNUAL MEETING").
|
Issuer
|
|
Against
|
FOR
|
5. TO APPROVE AN AMENDMENT TO THE PLAN TO (I) INCREASE THE NUMBER OF SHARES AVAILABLE FOR ISSUANCE UNDER THE PLAN TO 1.8 MILLION SHARES, AN INCREASE OF 1.4 MILLION SHARES; (II) INCREASE THE ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
Against
|
FOR
|
6. TO APPROVE THE 2016 COPSYNC, INC. EMPLOYEE STOCK PURCHASE PLAN.
|
Issuer
|
|
Against
|
FOR
|
7. TO RATIFY THE SELECTION OF PMB HELIN DONOVAN, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016.
|
Issuer
|
|
Against
|
FOR
|
8. TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING OR ANY ADJOURNMENT OF THE ANNUAL MEETING.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Jetpay Corp.
|
8/2/2016
|
477177109
|
JTPY
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. Director - FREDERICK S. HAMMER
|
Issuer
|
|
FOR
|
FOR
|
2. RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS JETPAY'S REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR 2016.
|
Issuer
|
|
FOR
|
FOR
|
3. APPROVAL AND ADOPTION OF AN AMENDMENT AND RESTATEMENT OF THE JETPAY CORPORATION 2013 STOCK INCENTIVE PLAN TO MAKE AVAILABLE AN ADDITIONAL 1,000,000 SHARES OF JETPAY COMMON STOCK FOR THE GRANT OF AWARDS UNDER THE 2013 STOCK INCENTIVE PLAN.
|
Issuer
|
|
FOR
|
FOR
|
4. ADVISORY VOTE ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS.
|
Issuer
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Hill International Inc.
|
8/11/2016
|
431466101
|
HIL
|
|
|
|
|
|
|
Vote
|
Opposition Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. Directors - CHARLES GILLMAN, PAUL EVANS CHANEY, DAVID SGRO
|
Shareholder
|
|
FOR
|
FOR
|
2. TO AMEND HILL'S BYLAWS TO IMPLEMENT A MAJORITY VOTING REQUIREMENT FOR UNCONTESTED ELECTIONS OF DIRECTORS
|
Shareholder
|
|
1 Year
|
1 Year
|
3. TO AMEND HILL'S BYLAWS TO IMPLEMENT A MAJORITY VOTING REQUIREMENT FOR UNCONTESTED ELECTIONS OF DIRECTORS
|
Shareholder
|
|
FOR
|
FOR
|
4. TO AMEND HILL'S BYLAWS TO IMPLEMENT A MAJORITY VOTING REQUIREMENT FOR UNCONTESTED ELECTIONS OF DIRECTORS
|
Shareholder
|
|
FOR
|
FOR
|
5. AN ADVISORY PROPOSAL TO LIMIT THE NUMBER OF DIRECTORS TO NINE
|
Shareholder
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
PROSPECT JAPAN FUND LTD
|
8/18/2016
|
GB00B011QL44
|
PJF LN
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. -TO APPROVE AND ADOPT THE ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2015
|
Issuer
|
|
FOR
|
FOR
|
2. -TO RE-APPOINT ERNST AND YOUNG LLP AS AUDITOR OF THE COMPANY UNTIL THE CONCLUSION OF THE NEXT ANNUAL GENERAL MEETING
|
Issuer
|
|
FOR
|
FOR
|
3. -TO AUTHORISE THE BOARD OF DIRECTORS TO DETERMINE THE AUDITOR'S REMUNERATION
|
Issuer
|
|
AGAINST
|
FOR
|
4. -TO RE-ELECT JOHN HAWKINS TO THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTION B.7.1 OF THE UK CORPORATE GOVERNANCE CODE AND ARTICLE 26.2 OF THE ARTICLES OF INCORPORATION OF THE COMPANY
|
Issuer
|
|
AGAINST
|
FOR
|
5. -TO RE-ELECT RUPERT EVANS TO THE BOARD OF DIRECTORS IN ACCORDANCE WITH SECTION B.7.1 OF THE UK CORPORATE GOVERNANCE CODE
|
Issuer
|
|
AGAINST
|
FOR
|
6. -TO APPROVE THE DIRECTORS REMUNERATION AS DETAILED IN THE ANNUAL REPORT AND AUDITED FINANCIAL STATEMENTS OF THE COMPANY FOR THE YEAR ENDED 31 DECEMBER 2015
|
Issuer
|
|
FOR
|
FOR
|
7. -THAT THE COMPANY BE AND IS HEREBY GENERALLY AND UNCONDITIONALLY AUTHORIZED IN ACCORDANCE WITH THE COMPANIES (GUERNSEY) LAW, 2008, AS AMENDED (THE "COMPANIES LAW"), TO MAKE MARKET ACQUISITIONS OF ITS OWN SHARES AS OUTLINED WITHIN THE NOTICE OF ANNUAL GENERAL MEETING
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Liberty All-Star Equity Fund
|
8/25/2016
|
530158104
|
USA
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - JOHN J. NEUHAUSER, RICHARD C. RANTZOW
|
Issuer
|
|
Mirror Vote
|
FOR
|
3. TO APPROVE A NEW PORTFOLIO MANAGEMENT AGREEMENT AMONG THE EQUITY FUND, ALPS ADVISORS, INC. AND SUSTAINABLE GROWTH ADVISERS, LP.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MVC CAPITAL, INC.
|
8/30/2016
|
553829102
|
MVC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - EMILIO DOMINIANNI, PHILLIP GOLDSTEIN, GERALD HELLERMAN, WARREN HOLTSBERG, ROBERT KNAPP, WILLIAM TAYLOR, MICHAEL TOKARZ
|
Issuer
|
|
Mirror Vote
|
FOR
|
2. TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
TERRA CATALYST FUND
|
9/15/2016
|
KYG8761F1431
|
TCF LN
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. RECEIVE AND ADOPT THE AUDITED FINANCIAL STATEMENTS
|
Issuer
|
|
FOR
|
FOR
|
2. RE-APPOINTMENT OF MICHAEL ANDREW HAXBY (ARTICLE 31.4)
|
Issuer
|
|
FOR
|
FOR
|
3. RE-APPOINTMENT OF KPMG AUDIT LLC
|
Issuer
|
|
FOR
|
FOR
|
4. AUTHORISATION FOR THE DIRECTORS TO FIX THE REMUNERATION OF THE AUDITORS
|
Issuer
|
|
FOR
|
FOR
|
5. TO FIX THE FEES OF THE DIRECTORS FOR THE YEAR ENDED 30 MARCH 2017
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
NUVEEN GLOBAL EQUITY INCOME FUND
|
9/16/2016
|
6706EH103
|
JGV
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. Director - 01.-WILLIAM C. HUNTER, 02.-JUDITH M. STOCKDALE,03.-CAROLE E. STONE, 04- MARGARET L. WOLFF
|
Issuer
|
|
FOR
|
FOR
|
2. TO APPROVE AN AGREEMENT AND PLAN OF MERGER PURSUANT TO WHICH NUVEEN GLOBAL EQUITY INCOME FUND (THE "TARGET FUND") WILL MERGE WITH AND INTO NNGEIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF NUVEEN NWQ GLOBAL EQUITY INCOME FUND (THE "ACQUIRING FUND"), ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
FOR
|
FOR
|
3. TO APPROVE A NEW SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS, LLC AND NWQ INVESTMENT MANAGEMENT COMPANY, LLC WITH RESPECT TO NUVEEN GLOBAL EQUITY INCOME FUND.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ROYCE VALUE TRUST INC.
|
9/19/2016
|
780910105
|
RVT
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - 01.-PATRICIA W. CHADWICK, 02.-ARHUR S. MEHLMAN,03.-MICHAEL K. SHIELDS
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ADVENT/CLAYMORE ENHANCED GWTH & INC.
|
9/28/2016
|
00765e104
|
LCM
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1A. ELECTION OF CLASS III TRUSTEE: MR. GERALD L. SEIZERT
|
Issuer
|
|
Mirror Vote
|
FOR
|
1B. ELECTION OF CLASS III TRUSTEE: MR. DEREK MEDINA
|
Issuer
|
|
Mirror Vote
|
FOR
|
1C. ELECTION OF CLASS III TRUSTEE: MR. RANDALL C. BARNES
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DEUTSCHE HIGH INCOME TRUST
|
9/30/2016
|
25155R100
|
KHI
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - 01.-HENRY P. BECTON, 02.-PAUL K. FREEMAN,03.-WILLIAM MCCLAYTON, 04- JEAN GLEASON STROMBERG
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DEUTSCHE HIGH INC OPP FD, INC.
|
9/30/2016
|
25158Y102
|
DHG
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - 01.-HENRY P. BECTON, 02.-PAUL K. FREEMAN,03.-WILLIAM MCCLAYTON, 04- JEAN GLEASON STROMBERG
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DEUTSCHE GBL HIGH INC FD, INC.
|
9/30/2016
|
25158V108
|
LBF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - 01.-KEITH R. FOX, 02.-KENNETH C. FROEWISS,03.-RICHARD J. HERRING, 04- JEAN GLEASON STROMBERG
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DEUTSCHE MULTI-MARKET INCOME TR.
|
9/30/2016
|
25160E102
|
KMM
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - 01.-HENRY P. BECTON, JR., 02.-PAUL K. FREEMAN,03.-WILLIAM McCLAYTON, 04- JEAN GLEASON STROMBERG
|
Issuer
|
|
Mirror Vote
|
AGAINST
|
3. The Shareholder proposal requesting that the Board of the Fund take the necessary steps to declassify the Fund's Board of Trustees.
|
Shareholder
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
DEUTSCHE STRATEGIC INCOME TR.
|
9/30/2016
|
25160F109
|
KST
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - 01.-HENRY P. BECTON, JR., 02.-PAUL K. FREEMAN,03.-WILLIAM McCLAYTON, 04- JEAN GLEASON STROMBERG
|
Issuer
|
|
Mirror Vote
|
AGAINST
|
3. The Shareholder proposal requesting that the Board of the Fund take the necessary steps to declassify the Fund's Board of Trustees.
|
Shareholder
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FIRST TRUST DIVIDEND & INCOME FUND
|
10/3/2016
|
33731L100
|
FAV
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
FOR
|
1. TO APPROVE A MERGER BY AND AMONG FAV, FIRST TRUST HIGH INCOME ETF ("FTHI"), AND LIBERTY STREET MERGER SUB, LLC, A WHOLLY- OWNED SUBSIDIARY OF FTHI (THE "MERGER SUB"), AND THE TRANSACTIONS IT CONTEMPLATES, INCLUDING THE MERGER OF FAV INTO THE MERGER SUB, WITH SHARES OF FAV BEING CONVERTED INTO SHARES OF FTHI, AND THE SUBSEQUENT LIQUIDATION OF THE MERGER SUB.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
AR CAPITAL ACQUISITION WARRANTS
|
10/3/2016
|
00191R117
|
AUMAW
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
FOR
|
1. WARRANT AMENDMENT PROPOSAL: TO APPROVE AN AMENDMENT TO THE WARRANT AGREEMENT, DATED AS OF OCTOBER 1, 2014, BETWEEN THE COMPANY AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY, TO PROVIDE FOR (I) THE CONVERSION, UPON THE CONSUMMATION OF A BUSINESS COMBINATION, OF ALL OF THE 12,000,000 OUTSTANDING PUBLIC WARRANTS INTO THE RIGHT TO RECEIVE $0.15 PER PUBLIC WARRANT, PAYABLE IN CASH OR SHARES OF THE COMPANY'S COMMON STOCK (VALUED AT $10.00 PER SHARE), AT THE DISCRETION OF THE ..(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
For
|
FOR
|
2. WARRANTHOLDER ADJOURNMENT PROPOSAL: TO ADJOURN THE SPECIAL MEETING OF PUBLIC WARRANTHOLDERS TO A LATER DATE OR TIME, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE SPECIAL MEETING OF PUBLIC WARRANTHOLDERS, THERE ARE NOT SUFFICIENT VOTES TO APPROVE THE WARRANT AMENDMENT PROPOSAL.
|
Issuer
|
|
|
|
|
|
|
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
ALTERNATIVE ASSET OPPORTUNITIES PCC LTD
|
10/5/2016
|
GB0034353424
|
TLI LN
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
THAT: (I) THE PROPOSED NEW INVESTMENT OBJECTIVE AND INVESTMENT POLICY OF THE COMPANY, IN RESPECT OF THE CELL, AS DESCRIBED IN PART I OF THE CIRCULAR TO SHAREHOLDERS DATED 13 SEPTEMBER 2016, BE AND IS HEREBY ADOPTED AS THE INVESTMENT OBJECTIVE AND POLICY OF THE COMPANY, IN RESPECT OF THE CELL, WITH IMMEDIATE EFFECT AND THE EXISTING INVESTMENT OBJECTIVE AND POLICY BE AND IS HEREBY REPLACED. (II) IN THE EVENT THAT THE SALE OF THE PORTFOLIO AS DESCRIBED IN THE CIRCULAR TO SHAREHOLDERS DATED 13 SEPTEMBER 2016 DOES NOT COMPLETE, THE INVESTMENT OBJECTIVE AND POLICY, AS DEFINED IN THE CIRCULAR TO SHAREHOLDERS DATED 13 SEPTEMBER 2016 (BEING THE INVESTMENT OBJECTIVE AND POLICY PRIOR TO THE PROPOSAL), SHALL BE THE INVESTMENT OBJECTIVE AND POLICY OF THE COMPANY, IN RESPECT OF THE CELL
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FULL CIRCLE CAPITAL CORP.
|
10/31/2016
|
359671104
|
FULL
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1. TO APPROVE THE MERGER OF FULL CIRCLE CAPITAL CORPORATION WITH AND INTO GREAT ELM CAPITAL CORP. PER THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JUNE 23, 2016, BY AND BETWEEN FULL CIRCLE CAPITAL CORPORATION AND GREAT ELM CAPITAL CORP.
|
Issuer
|
|
Mirror Vote
|
For
|
2. TO APPROVE THE ADJOURNMENT OF THE FULL CIRCLE CAPITAL CORPORATION SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE FULL CIRCLE CAPITAL CORPORATION SPECIAL MEETING TO APPROVE THE FOREGOING PROPOSAL.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
KOREA EQUITY FUND, INC.
|
10/31/2016
|
50063B104
|
KEF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1. Director - 01.-E. HAN KIM, 02.-MARCIA L. MACHARG, 03.0- DAVID B. CHEMIDLIN
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
AROWANA INC.
|
11/3/2016
|
G05011104
|
ARWA
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. AMEND AROWANA'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE THAT AROWANA HAS TO CONSUMMATE A BUSINESS COMBINATION TO JANUARY 9, 2017.
|
Issuer
|
|
FOR
|
FOR
|
2. AMEND AROWANA'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO ALLOW THE HOLDERS OF ORDINARY SHARES ISSUED IN AROWANA'S INITIAL PUBLIC OFFERING TO ELECT TO CONVERT THEIR PUBLIC SHARES INTO $10.20 PER SHARE, REPRESENTING THE PRO RATA PORTION OF THE FUNDS HELD IN THE TRUST ACCOUNT ESTABLISHED AT THE TIME OF THE IPO, IF THE EXTENSION IS IMPLEMENTED.
|
Issuer
|
|
ABSTAIN
|
NONE
|
3. INTENTION TO EXERCISE CONVERSION RIGHTS. IF YOU INTEND TO EXERCISE YOUR CONVERSION RIGHTS, PLEASE CHECK THE "FOR" BOX. CHECKING THIS BOX, HOWEVER IS NOT SUFFICIENT TO EXERCISE YOUR CONVERSION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE PROXY STATEMENT.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BOULDER GROWTH & INCOME FD
|
11/10/2016
|
101507101
|
BIF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Director - 01.-Dr. Dean L. Jacobson, 02.-Stephen C. Miller
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
JAPAN SMALL CAPITALIZATION FD INC
|
11/17/2016
|
47109U104
|
JOF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1. Director - 01.-E. HAN KIM, 02.-MARCIA L. MACHARG
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
AROWANA INC. Warrants
|
12/15/2016
|
G05011112
|
ARWAW
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. TO APPROVE AN AMENDMENT TO THE WARRANT AGREEMENT THAT GOVERNS ALL OF THE COMPANY'S WARRANTS TO PROVIDE THAT, UPON CONSUMMATION OF THE TRANSACTIONS CONTEMPLATED BY THE CONTRIBUTION AGREEMENT, DATED AS OF AUGUST 11, 2016 AND AMENDED AS OF OCTOBER 18, 2016 AND NOVEMBER 15, 2016 (THE "CONTRIBUTION AGREEMENT"), BY AND AMONG THE COMPANY, AROWANA INTERNATIONAL LIMITED AND VIVOPOWER INTERNATIONAL PLC ("VIVOPOWER"), EACH OUTSTANDING COMPANY WARRANT WILL BE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
FOR
|
FOR
|
2. TO APPROVE THE ADJOURNMENT OF THE EXTRAORDINARY GENERAL MEETING OF WARRANTHOLDERS TO A LATER DATE OR DATES, IF NECESSARY OR DESIRABLE, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES, IN THE EVENT THAT THERE ARE NOT SUFFICIENT VOTES TO APPROVE PROPOSAL 1.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
AROWANA INC.
|
12/15/2016
|
G05011104
|
ARWA
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. TO ADOPT THE CONTRIBUTION AGREEMENT, DATED AS OF AUGUST 11, 2016 AND AMENDED AS OF OCTOBER 18, 2016 AND NOVEMBER 15, 2016, BY AND AMONG THE COMPANY, AROWANA INTERNATIONAL LIMITED ("AWN"),AND VIVOPOWER INTERNATIONAL PLC, A WHOLLY OWNED SUBSIDIARY OF AWN ("VIVOPOWER") (AS MAY BE AMENDED, THE "CONTRIBUTION AGREEMENT"), AND TO APPROVE THE BUSINESS COMBINATION CONTEMPLATED BY SUCH AGREEMENT.
|
Issuer
|
|
FOR
|
NONE
|
1A. INTENTION TO EXERCISE REDEMPTION RIGHTS - IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE CHECK THE "FOR" BOX CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE ACCOMPANYING DEFINITIVE PROXY STATEMENT UNDER THE HEADING "EXTRAORDINARY GENERAL MEETING OF ARWA SHAREHOLDERS AND EXTRAORDINARY GENERAL MEETING OF ARWA WARRANTHOLDERS - CONVERSION RIGHTS."
|
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 THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN THE COMPANY AND VIVOPOWER. (FOR = AGREE TO CERTIFICATION, AGAINST = DO NOT AGREE)
|
Issuer
|
|
FOR
|
FOR
|
2. TO APPROVE THE VOLUNTARY WINDING UP OF THE COMPANY, SUBJECT TO AND CONDITIONAL UPON THE APPROVAL OF PROPOSAL 1 AND THE COMPLETION OF THE TRANSACTIONS CONTEMPLATED BY THE CONTRIBUTION AGREEMENT.
|
Issuer
|
|
FOR
|
FOR
|
3. TO APPROVE A DISCRETIONARY MANAGEMENT INCENTIVE PLAN, PROVIDING FOR THE ISSUANCE OF EQUITY BY VIVOPOWER AND VIVOPOWER INTERNATIONAL SERVICES LIMITED, A WHOLLY OWNED SUBSIDIARY OF VIVOPOWER, TO EMPLOYEES AND DIRECTORS OF VIVOPOWER AND ITS SUBSIDIARIES.
|
Issuer
|
|
FOR
|
FOR
|
4. TO APPROVE THE ADJOURNMENT OF THE EXTRAORDINARY GENERAL 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 EXTRAORDINARY GENERAL MEETING, THE COMPANY IS NOT AUTHORIZED TO CONSUMMATE THE TRANSACTIONS CONTEMPLATED BY THE CONTRIBUTION AGREEMENT OR THE CLOSING CONDITIONS UNDER THE CONTRIBUTION AGREEMENT ARE NOT MET.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
NEW YORK REIT, INC.
|
12/30/2016
|
64976L109
|
NYRT
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. Director - 01.-Craig T. Bouchard, 02.-Robert H. Burns, 03.-James P. Hoffman, 04.-Gregory F. Hughes, 05.-William M. Kahane, 06.-Keith Locker, 07.-James Nelson, 08.-P. Sue Perrotty, 09.-Randolph C. Read
|
Issuer
|
|
FOR
|
FOR
|
2. TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016
|
Issuer
|
|
FOR
|
FOR
|
3. TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2016
|
Issuer
|
|
3 YEARS
|
3 YEARS
|
4. TO RECOMMEND, BY NON-BINDING VOTE, THE FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
NEW YORK REIT, INC.
|
1/3/2017
|
64976L109
|
NYRT
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. APPROVE A PLAN OF LIQUIDATION AND DISSOLUTION (THE PLAN OF LIQUIDATION) FOR THE COMPANY
|
Issuer
|
|
FOR
|
FOR
|
2. PROPOSAL TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO SOLICIT ADDITIONAL PROXIES IN FAVOR OF THE PROPOSAL TO APPROVE THE PLAN OF LIQUIDATION PROPOSAL.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
E-COMPASS ACQUISTION CORP.
|
1/17/2017
|
G2920Y101
|
ECAC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. TO APPROVE THE MERGER OF E-COMPASS WITH AND INTO IFRESH, INC., ITS WHOLLY-OWNED DELAWARE SUBSIDIARY, WITH IFRESH SURVIVING THE MERGER, PURSUANT TO THE MERGER AGREEMENT DATED AS OF JULY 25, 2016, AS AMENDED, OR THE "ACQUISITION AGREEMENT," BY AND AMONG E-COMPASS, IFRESH INC. ("IFRESH"), IFRESH MERGER SUB INC., NYM HOLDING, INC. ("NYM"), THE SHAREHOLDERS OF NYM, AND LONG DENG. THE MERGER WILL CHANGE E-COMPASS'S PLACE OF INCORPORATION FROM THE CAYMAN ISLANDS TO DELAWARE. WE REFER TO ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
FOR
|
FOR
|
2. TO APPROVE THE MERGER OF E-COMPASS WITH AND INTO IFRESH, INC., ITS WHOLLY-OWNED DELAWARE SUBSIDIARY, WITH IFRESH SURVIVING THE MERGER, PURSUANT TO THE MERGER AGREEMENT DATED AS OF JULY 25, 2016, AS AMENDED, OR THE "ACQUISITION AGREEMENT," BY AND AMONG E-COMPASS, IFRESH INC. ("IFRESH"), IFRESH MERGER SUB INC., NYM HOLDING, INC. ("NYM"), THE SHAREHOLDERS OF NYM, AND LONG DENG. THE MERGER WILL CHANGE E-COMPASS'S PLACE OF INCORPORATION FROM THE CAYMAN ISLANDS TO DELAWARE. WE REFER TO ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
FOR
|
NONE
|
2A. TO APPROVE THE MERGER OF E-COMPASS WITH AND INTO IFRESH, INC., ITS WHOLLY-OWNED DELAWARE SUBSIDIARY, WITH IFRESH SURVIVING THE MERGER, PURSUANT TO THE MERGER AGREEMENT DATED AS OF JULY 25, 2016, AS AMENDED, OR THE "ACQUISITION AGREEMENT," BY AND AMONG E-COMPASS, IFRESH INC. ("IFRESH"), IFRESH MERGER SUB INC., NYM HOLDING, INC. ("NYM"), THE SHAREHOLDERS OF NYM, AND LONG DENG. THE MERGER WILL CHANGE E-COMPASS'S PLACE OF INCORPORATION FROM THE CAYMAN ISLANDS TO DELAWARE. WE REFER TO ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL).
|
Issuer
|
|
FOR
|
FOR
|
3. TO ADJOURN THE EXTRAORDINARY GENERAL MEETING IN THE EVENT E-COMPASS DOES NOT RECEIVE THE REQUISITE SHAREHOLDER VOTE TO APPROVE EITHER THE REDOMESTICATION OR THE BUSINESS COMBINATION.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Quinpario Acquisition Corp.2
|
1/19/2017
|
74874U101
|
QPAC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. EXTENSION OF CORPORATE LIFE: AMEND THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE THAT THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION TO JULY 24, 2017.
|
Issuer
|
|
FOR
|
None
|
1A. EXERCISE CONVERSION RIGHT: ONLY IF YOU HOLD SHARES OF THE CORPORATION'S COMMON STOCK ISSUED IN THE CORPORATION'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 "EXERCISE CONVERSION RIGHT" BOX TO THE RIGHT. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE DEFINITIVE PROXY STATEMENT UNDER THE HEADING "CONVERSION RIGHTS".
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
ISIN
|
Ticker
|
|
JPMORGAN ASIAN INVESTMENT TRUST PLC
|
2/2/2017
|
GB0001320778
|
JAI LN
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. TO RECEIVE THE DIRECTORS REPORT THE ANNUAL ACCOUNTS AND THE AUDITORS REPORT FOR THE YEAR ENDED 30TH SEPTEMBER 2016
|
Issuer
|
|
FOR
|
FOR
|
2. TO APPROVE THE DIRECTORS REMUNERATION POLICY
|
Issuer
|
|
FOR
|
FOR
|
3. TO APPROVE THE DIRECTORS REMUNERATION REPORT FOR THE YEAR ENDED 30TH SEPTEMBER 2016
|
Issuer
|
|
FOR
|
FOR
|
4. TO DECLARE A FINAL DIVIDEND ON THE ORDINARY SHARES
|
Issuer
|
|
FOR
|
FOR
|
5. TO REAPPOINT MR DEAN BUCKLEY AS A DIRECTOR OF THE COMPANY
|
Issuer
|
|
FOR
|
|
6. TO REAPPOINT MR DEAN BUCKLEY AS A DIRECTOR OF THE COMPANY
|
|
|
FOR
|
FOR
|
7. TO REAPPOINT MRS BRONWYN CURTIS AS A DIRECTOR OF THE COMPANY
|
Issuer
|
|
FOR
|
FOR
|
8. TO REAPPOINT MR PETER MOON AS A DIRECTOR OF THE COMPANY
|
Issuer
|
|
FOR
|
FOR
|
9. TO REAPPOINT PRICEWATERHOUSECOOPERS LLP AS AUDITORS TO THE COMPANY
|
Issuer
|
|
FOR
|
FOR
|
10. TO AUTHORISE THE DIRECTORS TO DETERMINE THE REMUNERATION OF THE AUDITORS
|
Issuer
|
|
AGAINST
|
FOR
|
11. THAT THE COMPANY CONTINUE IN EXISTENCE AS AN INVESTMENT TRUST
|
Issuer
|
|
FOR
|
FOR
|
12. TO GRANT AUTHORITY TO ALLOT NEW SHARES
|
Issuer
|
|
FOR
|
FOR
|
13. TO GRANT AUTHORITY TO DISAPPLY PRE-EMPTION RIGHTS ON ALLOTMENT OF RELEVANT SECURITIES
|
Issuer
|
|
FOR
|
FOR
|
14. TO GRANT AUTHORITY TO REPURCHASE THE COMPANY'S SHARES
|
Issuer
|
|
AGAINST
|
FOR
|
15. TO GRANT AUTHORITY TO AMEND THE COMPANY'S ARTICLES OF ASSOCIATION
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
BARRINGTON/HILCO ACQUISITION CORP.
|
2/10/2017
|
06759V101
|
BHAC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") FOR AN ADDITIONAL SIX (6) MONTHS, FROM FEBRUARY 11, 2017 (THE "CURRENT TERMINATION DATE") TO AUGUST 11, 2017 (THE "EXTENDED TERMINATION DATE").
|
Issuer
|
|
FOR
|
FOR
|
2A. ELECTION OF DIRECTOR: JAMES A. MITAROTONDA
|
Issuer
|
|
FOR
|
FOR
|
2B. ELECTION OF DIRECTOR: JARED L. LANDAW
|
Issuer
|
|
FOR
|
FOR
|
2C. ELECTION OF DIRECTOR: JEFFREY B. HECKTMAN
|
Issuer
|
|
FOR
|
FOR
|
2D. ELECTION OF DIRECTOR: ROBERT METTLER
|
Issuer
|
|
FOR
|
FOR
|
2E. ELECTION OF DIRECTOR: FRANK R. MORI
|
Issuer
|
|
FOR
|
FOR
|
2F. ELECTION OF DIRECTOR: JEFFREY D. NUECHTERLEIN
|
Issuer
|
|
FOR
|
FOR
|
3. APPROVAL OF A PROPOSAL TO DIRECT THE RATIFICATION OF THE AUDIT COMMITTEE'S SELECTION OF MARCUM LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDED DECEMBER 31, 2016.
|
Issuer
|
|
FOR
|
FOR
|
4. APPROVAL OF AN AMENDMENT TO ALLOW THE COMPANY'S BOARD OF DIRECTORS TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES TO PERMIT FURTHER SOLICITATION OF PROXIES. THIS PROPOSAL WILL ONLY BE PRESENTED TO THE COMPANY'S STOCKHOLDERS IN THE EVENT, BASED ON THE TABULATED VOTES, THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE PROPOSALS 1, 2 AND 3.
|
Issuer
|
|
AGAINST
|
None
|
4A. INTENTION TO EXERCISE REDEMPTION RIGHTS. IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE CHECK THIS BOX. CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE PROXY STATEMENT UNDER THE HEADING "SPECIAL MEETING OF BARINGTON/HILCO ACQUISITION CORP. STOCKHOLDERS - REDEMPTION RIGHTS." MARK "FOR" = YES OR "AGAINST" = NO.
|
Issuer
|
|
FOR
|
None
|
4B. 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 STOCKHOLDER WITH RESPECT TO THE SHARES OF COMMON STOCK OF THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSALS. MARK "FOR" = YES OR "AGAINST" = NO.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
VIRTUS TOTAL RETURN FUND
|
3/7/2017
|
92829A103
|
DCA
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
1. TO APPROVE THE AGREEMENT AND PLAN OF REORGANIZATION BETWEEN VIRTUS TOTAL RETURN FUND ("DCA") AND THE ZWEIG FUND, INC. ("ZF") AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING THE MERGER OF DCA WITH AND INTO ZF.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
CENTRAL SECURITIES CORP.
|
3/15/2017
|
155123102
|
CET
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
DIRECTOR
|
Issuer
|
|
|
|
L. PRICE BLACKFORD
|
|
|
|
|
SIMMS C. BROWNING
|
|
|
|
|
DONALD G. CALDER
|
|
|
|
|
DAVID C. COLANDER
|
|
|
|
|
JAY R. INGLIS
|
|
|
|
|
WILMOT H. KIDD
|
|
|
|
|
C. CARTER WALKER, JR.
|
|
|
Mirror vote
|
FOR
|
2. RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017
|
Issuer
|
|
Mirror vote
|
FOR
|
3. .TO REAPPROVE THE 2012 INCENTIVE COMPENSATION PLAN.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
VIVOPOWER International
|
3/17/2017
|
G9376R100
|
VVPR
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
NO VOTE
|
|
TOO LATE. PROXIES RECEIVED 3/18/17
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FRANKLIN UNIVERSAL TRUST
|
3/24/2017
|
355145103
|
FT
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
DIRECTORS
|
Issuer
|
|
|
|
HARRIS J. ASHTON
|
|
|
|
|
MARY C. CHOKSI
|
|
|
|
|
EDITH E. HOLIDAY
|
|
|
|
|
GREGORY E. JOHNSON
|
|
|
|
|
RUPERT H. JOHNSON, JR.
|
|
|
|
|
J. MICHAEL LUTTIG
|
|
|
|
|
LARRY D. THOMPSON
|
|
|
|
|
JOHN B. WILSON
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
STIT Treasury Portfolio Inst.
|
4/11/2017
|
825252406
|
TRPXX
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
1. DIRECTOR
|
Issuer
|
|
|
|
|
|
|
|
|
DAVID C. ARCH
|
|
|
|
|
JAMES T. BUNCH
|
|
|
|
|
BRUCE L. CROCKETT
|
|
|
|
|
JACK M. FIELDS
|
|
|
|
|
MARTIN L. FLANAGAN
|
|
|
|
|
CYNTHIA HOSTETLER
|
|
|
|
|
DR. ELI JONES
|
|
|
|
|
DR. PREMA MATHAI-DAVIS
|
|
|
|
|
TERESA M. RESSEL
|
|
|
|
|
DR. LARRY SOLL
|
|
|
|
|
ANN BARNETT STERN
|
|
|
|
|
RAYMOND STICKEL, JR.
|
|
|
|
|
PHILIP A. TAYLOR
|
|
|
|
|
ROBERT C. TROCCOLI
|
|
|
|
|
CHRISTOPHER L. WILSON
|
|
|
Mirror
|
FOR
|
2. TO APPROVE AN AMENDMENT TO EACH TRUST'S AGREEMENT AND DECLARATION OF TRUST THAT WOULD PERMIT FUND MERGERS AND OTHER SIGNIFICANT TRANSACTIONS UPON THE BOARD'S APPROVAL BUT WITHOUT SHAREHOLDER APPROVAL OF SUCH TRANSACTIONS.
|
Issuer
|
|
Mirror
|
FOR
|
3. TO APPROVE CHANGING THE FUNDAMENTAL INVESTMENT RESTRICTION REGARDING THE PURCHASE OR SALE OF PHYSICAL COMMODITIES.
|
Issuer
|
|
Mirror
|
FOR
|
4A. TO APPROVE AN AMENDMENT TO THE CURRENT MASTER INTERGROUP SUB-ADVISORY CONTRACT TO ADD INVESCO POWERSHARES CAPITAL MANAGEMENT LLC.
|
Issuer
|
|
Mirror
|
FOR
|
4B. TO APPROVE AN AMENDMENT TO THE CURRENT MASTER INTERGROUP SUB-ADVISORY CONTRACT TO ADD INVESCO ASSET MANAGEMENT (INDIA) PRIVATE LIMITED.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PRINCIPAL REAL ESTATE INCOME FUND
|
4/12/2017
|
74255X104
|
PGZ
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
1A. Election of Trustee: Jerry G. Rutledge
|
Issuer
|
|
Mirror
|
FOR
|
1B. Election of Trustee: Thomas A. Carter
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
GENERAL AMERICAN INVESTORS COMPANY, INC.
|
4/12/2017
|
368802104
|
GAM
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
DIRECTORS
|
Issuer
|
|
|
|
MR. BERENS
|
|
|
|
|
MR. CULLMAN
|
|
|
|
|
MR. DAVIDSON
|
|
|
|
|
MS. DEL VILLAR
|
|
|
|
|
MR. GORDAN
|
|
|
|
|
MS. GOTBAUM
|
|
|
|
|
MR. KNAFEL
|
|
|
|
|
MR. PRIEST
|
|
|
|
|
MR. SCHIRMER
|
|
|
|
|
|
|
|
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, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
TRI-CONTINENTAL CORP.
|
4/19/2017
|
895436103
|
TY
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
1. DIRECTORS
|
Issuer
|
|
|
|
PATRICIA M. FLYNN
|
|
|
|
|
CATHERINE JAMES PAGLIA
|
|
|
|
|
WILLIAM A. HAWKINS
|
|
|
Mirror
|
FOR
|
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, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PACIFIC SPECIAL ACQUISITION CORP.
|
4/19/2017
|
G68588105
|
PAAC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. TO AMEND THE COMPANY'S MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BEFORE WHICH THE COMPANY MUST COMPLETE A BUSINESS COMBINATION (THE "TERMINATION DATE") FROM APRIL 20, 2017 (THE "CURRENT TERMINATION DATE") TO AUGUST 21, 2017 OR SUCH EARLIER DATE AS DETERMINED BY THE BOARD (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 ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
FOR
|
FOR
|
2. TO AMEND AND RESTATE THE COMPANY'S INVESTMENT MANAGEMENT TRUST AGREEMENT, DATED OCTOBER 14, 2015 (THE "TRUST AGREEMENT") BY AND BETWEEN THE COMPANY AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY (THE "TRUSTEE") TO EXTEND THE DATE ON WHICH TO COMMENCE LIQUIDATING THE TRUST ACCOUNT ("TRUST ACCOUNT") ESTABLISHED IN CONNECTION WITH THE COMPANY'S INITIAL PUBLIC OFFERING IN THE EVENT THE COMPANY HAS NOT CONSUMMATED A BUSINESS COMBINATION FROM THE CURRENT TERMINATION DATE TO THE EXTENDED TERMINATION DATE
|
Issuer
|
|
FOR
|
None
|
2A. IF YOU HOLD SHARES OF THE COMPANY ISSUED IN ITS INITIAL PUBLIC OFFERING, YOU MAY EXERCISE YOUR REDEMPTION RIGHTS AND DEMAND THAT THE COMPANY REDEEM THESE SHARES FOR A PRO RATA PORTION OF THE TRUST ACCOUNT BY MARKING THE "EXERCISE REDEMPTION RIGHTS" BOX. IF YOU EXERCISE YOUR REDEMPTION RIGHTS, THEN YOU WILL BE EXCHANGING THESE SHARES FOR CASH AND WILL NO LONGER OWN THESE SHARES. YOU WILL ONLY BE ENTITLED TO RECEIVE CASH FOR THESE SHARES IF THE EXTENSION AMENDMENT AND THE TRUST AMENDMENT ARE ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL)
|
Issuer
|
|
FOR
|
FOR
|
3A. ELECTION OF DIRECTOR: DAVID BORIS
|
Issuer
|
|
FOR
|
FOR
|
3B. ELECTION OF DIRECTOR: JASON ZEXIAN SHEN
|
Issuer
|
|
FOR
|
FOR
|
3C. ELECTION OF DIRECTOR: HONGHUI DENG
|
Issuer
|
|
FOR
|
FOR
|
4. TO RATIFY THE SELECTION BY THE AUDIT COMMITTEE OF MARCUM LLP TO SERVE AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING JUNE 30, 2017.
|
Issuer
|
|
FOR
|
FOR
|
5. TO DIRECT THE CHAIRMAN OF THE MEETING TO ADJOURN THE 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 MEETING, THERE ARE NOT SUFFICIENT VOTES TO APPROVE ANY OF THE OTHER PROPOSALS.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ADAMS DIVERSIFIED EQUITY FUND
|
4/21/2017
|
006212104
|
ADX
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
DIRECTOR
|
Issuer
|
|
|
|
|
|
|
|
|
ENRIQUE R. ARZAC
|
|
|
|
|
PHYLLIS O. BONANNO
|
|
|
|
|
KENNETH J. DALE
|
|
|
|
|
FREDERIC A. ESCHERICH
|
|
|
|
|
ROGER W. GALE
|
|
|
|
|
KATHLEEN T. MCGAHRAN
|
|
|
|
|
CRAIG R. SMITH
|
|
|
|
|
MARK E. STOECKLE
|
|
|
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, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Lazard World Dividend & Income Fund
|
4/21/2017
|
521076109
|
LOR
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
1. DIRECTOR
|
Issuer
|
|
|
|
KENNETH S. DAVIDSON #
|
|
|
|
|
NANCY A. ECKL #
|
|
|
|
|
TREVOR W. MORRISON #
|
|
|
|
|
NATHAN A. PAUL *
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FIRST TRUST ABERDEEN GLOBAL OPP INC FD
|
4/24/2017
|
337319107`
|
FAM
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. - Directors - 1) Robert F. Keith
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
FIRST TRUST ENHANCED EQUITY INCOME FUND
|
4/24/2017
|
337318109
|
FFA
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
DIRECTOR
|
Issuer
|
|
|
|
ROBERT F. KEITH
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
CSAM Income Fund, Inc
|
4/25/2017
|
224916106
|
CIK
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
1A. ELECTION OF DIRECTOR: JAMES J. CATTANO
|
Issuer
|
|
Mirror
|
FOR
|
1B. ELECTION OF DIRECTOR: STEVEN N. RAPPAPORT
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Putnam High Income Securities Fund
|
4/28/2017
|
746779107
|
PCF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
AGAINST
|
FOR
|
1A. FIXING THE NUMBER OF TRUSTEES AT TWELVE
|
Issuer
|
|
|
|
|
|
|
FOR
|
FOR
|
1B. DIRECTOR
|
Shareholder
|
|
|
|
PHILLIP GOLDSTEIN
|
|
|
|
|
RAJEEV DAS
|
|
|
|
|
ANDREW DAKOS
|
|
|
|
|
JAMES CHADWICK
|
|
|
|
|
RICHARD DAYAN
|
|
|
|
|
GERALD HELLERMAN
|
|
|
|
|
BEN H. HARRIS
|
|
|
|
|
|
|
|
FOR
|
FOR
|
2. TO REQUEST THAT THE BOARD OF TRUSTEES AUTHORIZE A SELF-TENDER OFFER FOR ALL OUTSTANDING COMMON SHARES OF THE FUND AT OR CLOSE TO NET ASSET VALUE (NAV)
|
Shareholder
|
|
|
|
|
|
|
FOR
|
FOR
|
3. TO FIX THE NUMBER OF TRUSTEES AT SEVEN.
|
Shareholder
|
|
|
|
|
|
|
VOTED GREEN Proxies
|
|
|
|
|
NO VOTE on white Proxies
|
|
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Steward Information Services
|
4/28/2017
|
860372101
|
STC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
1. DIRECTOR
|
Issuer
|
|
|
|
ARNAUD AJDLER
|
|
|
|
|
THOMAS G. APEL
|
|
|
|
|
C. ALLEN BRADLEY, JR.
|
|
|
|
|
JAMES CHADWICK
|
|
|
|
|
GLENN C. CHRISTENSON
|
|
|
|
|
ROBERT L. CLARKE
|
|
|
|
|
FREDERICK H. EPPINGER
|
|
|
|
|
MATTHEW W. MORRIS
|
|
|
|
|
CLIFFORD PRESS
|
|
|
FOR
|
FOR
|
2. APPROVAL OF THE COMPENSATION OF STEWART INFORMATION SERVICES CORPORATION'S NAMED EXECUTIVE OFFICERS (SAY-ON-PAY).
|
Issuer
|
|
1 Year
|
1 Year
|
3. VOTE ON THE FREQUENCY OF THE SAY-ON-PAY VOTE.
|
Issuer
|
|
FOR
|
FOR
|
4. RATIFICATION OF THE APPOINTMENT OF KPMG LLP AS STEWART INFORMATION SERVICES CORPORATION'S INDEPENDENT AUDITORS FOR 2017.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
JURIDICA INVESTMENTS LIMITED
|
5/4/2017
|
G5215N102
|
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 2016 TO 31 DECEMBER 2016, THE DIRECTOR'S REPORT AND THE AUDITOR'S REPORT BE RECEIVED AND ADOPTED
|
Issuer
|
|
Against
|
FOR
|
2. THAT THE TOTAL AGGREGATE REMUNERATION OF THE DIRECTORS OF THE COMPANY BEING USD 300,642 IN RESPECT OF THE YEAR ENDED 31 DECEMBER 2016 BE APPROVED
|
Issuer
|
|
Against
|
FOR
|
3. THAT LORD DANIEL BRENNAN QC BE RE-ELECTED AS A DIRECTOR OF THE COMPANY
|
Issuer
|
|
FOR
|
FOR
|
4. THAT PRICEWATERHOUSECOOPERS CI LLP BE RE-APPOINTED AS AUDITORS OF THE COMPANY
|
Issuer
|
|
FOR
|
FOR
|
5. THAT THE DIRECTORS BE AUTHORISED TO FIX THE REMUNERATION OF THE AUDITORS
|
Issuer
|
|
FOR
|
FOR
|
6. THAT THE COMPANY GENERALLY BE AND IS HEREBY AUTHORISED FOR THE PURPOSES OF SECTION 315 OF THE COMPANIES LAW TO MAKE ONE OR MORE MARKET ACQUISITIONS (AS DEFINED IN THE COMPANIES LAW) OF ORDINARY SHARES IN THE CAPITAL OF THE COMPANY
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
SOURCE CAPITAL INC.
|
5/8/2017
|
836144105
|
SOR
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
DIRECTOR
|
Issuer
|
|
|
|
ATWOOD
|
|
|
|
|
BROWN
|
|
|
|
|
LIPSON
|
|
|
|
|
OSBORNE
|
|
|
|
|
PISANO
|
|
|
|
|
PURCELL
|
|
|
|
|
RUDNICK
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ALPINE GLOBAL PREMIER PROPERTIES FUND
|
5/9/2017
|
02083A103
|
AWP
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
DIRECTOR
|
Issuer
|
|
|
|
MS. E.T.M HOAGLAND
|
|
|
|
|
MR. JEFFREY E. WACKSMAN
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PACHOLDER HIGH YIELD FUND
|
5/10/2017
|
693742108
|
PHF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
FOR
|
FOR
|
2. DIRECTORS
|
Issuer
|
|
|
|
JOHN F. FINN
|
|
|
|
|
DR. MATTHEW GOLDSTEIN
|
|
|
|
|
FRANKIE D. HUGHES
|
|
|
|
|
PETER C. MARSHALL
|
|
|
|
|
MARY E. MARTINEZ
|
|
|
|
|
MARILYN MCCOY
|
|
|
|
|
MITCHELL M. MERIN
|
|
|
|
|
DR. ROBERT A. ODEN, JR.
|
|
|
|
|
MARIAN U. PARDO
|
|
|
|
|
FREDERICK W. RUEBECK
|
|
|
|
|
JAMES J. SCHONBACHLER
|
|
|
FOR
|
FOR
|
1. TO CONSIDER AND VOTE UPON 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, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
JPMORGAN CHINA REGION FUND, INC
|
5/11/2017
|
48126T104
|
JFC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
DIRECTOR
|
Issuer
|
|
|
|
JULIAN M.I. REID
|
|
|
Mirror vote
|
NONE
|
2. TO CONSIDER AND VOTE ON A PROPOSAL TO LIQUIDATE AND DISSOLVE THE UND PURSUANT TO A PLAN OF LIQUIDATION AND DISSOLUTION
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
The GDL Fund
|
5/15/2017
|
361570104
|
GDL
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
FOR
|
DIRECTOR
|
Issuer
|
|
|
|
CLARENCE A. DAVIS
|
|
|
|
|
ARTHUR V. FERRARA
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Ellsworth Growth and Income
|
5/15/2017
|
289074106
|
ECF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror
|
FOR
|
1. DIRECTOR
|
Issuer
|
|
|
|
KINCHEN C. BIZZELL
|
|
|
|
|
JAMES P. CONN
|
|
|
|
|
FRANK J. FAHRENKOPF, JR
|
|
|
|
|
MICHAEL J. MELARKEY
|
|
|
|
|
|
|
|
Mirror
|
FOR
|
2. REVISE THE FUND'S FUNDAMENTAL INVESTMENT RESTRICTION REGARDING BORROWING MONEY AND ISSUING SENIOR SECURITIES.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PUTNAM MAMANGED MUNI PFD SER C
|
5/16/2017
|
746823400
|
PMM ARPS
|
|
|
|
|
|
|
Vote
|
Shareholder Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
ABSTAIN
|
ABSTAIN
|
1a. FIXING THE NUMBER OF TRUSTEES AT TWELVE.
|
Shareholder
|
|
FOR
|
FOR
|
1b. DIRECTOR
|
Shareholder
|
|
|
|
PHILLIP GOLDSTEIN
|
|
|
|
|
ANDREW DAKOS
|
|
|
FOR
|
FOR
|
2. A REQUEST THAT THE BOARD OF TRUSTEES AFFORD THE PREFERRED SHAREHOLDERS A MEANS TO OBTAIN LIQUIDITY FOR THEIR SHARES.
|
Shareholder
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
PUTNAM MUNI OPPORTUNITIES PFD SER C
|
5/16/2017
|
746922400
|
PMO ARPS
|
|
|
|
|
|
|
Vote
|
Shareholder Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
ABSTAIN
|
ABSTAIN
|
1a. FIXING THE NUMBER OF TRUSTEES AT TWELVE.
|
Shareholder
|
|
FOR
|
FOR
|
1b. DIRECTOR
|
Shareholder
|
|
|
|
PHILLIP GOLDSTEIN
|
|
|
|
|
ANDREW DAKOS
|
|
|
FOR
|
FOR
|
2. A REQUEST THAT THE BOARD OF TRUSTEES AFFORD THE PREFERRED SHAREHOLDERS A MEANS TO OBTAIN LIQUIDITY FOR THEIR SHARES.
|
Shareholder
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
Firsthand Technology Value Fund
|
5/23/2017
|
33766Y100
|
SVVC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
FOR
|
1. Directors - Kevin Landis, Kimun Lee
|
Issuer
|
|
Mirror Vote
|
FOR
|
2. THE RATIFICATION OF THE SELECTION OF TAIT, WELLER & BAKER LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR ITS FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Issuer
|
|
Mirror Vote
|
AGAINST
|
3. NON-BINDING STOCKHOLDER PROPOSAL REQUESTING THE BOARD TO TAKE ACTION TO REPLACE THE CURRENT INVESTMENT ADVISOR OF FIRSTHAND TECHNOLOGY VALUE FUND, INC.
|
Shareholder
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
CANDOVER INVESTMENTS
|
5/23/2017
|
G18200108
|
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 2016
|
Issuer
|
|
Against
|
FOR
|
2. TO APPROVE THE DIRECTORS' REMUNERATION REPORT FOR THE YEAR ENDED 31ST DECEMBER 2016
|
Issuer
|
|
Against
|
FOR
|
3. TO RE-ELECT SCOTT LONGHURST 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)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
KOREA EQUITY FUND, INC.
|
5/24/2017
|
50063B104
|
KEF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1. APPROVAL OF THE PROPOSED DISSOLUTION AND LIQUIDATION OF THE COMPANY.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
CROSSROADS CAPITAL, INC.
|
6/2/2017
|
227656105
|
XRDC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1. DIRECTOR
|
Issuer
|
|
|
|
MR. ANDREW DAKOS
|
|
|
|
|
MR. PHILLIP GOLDSTEIN
|
|
|
|
|
MR. GERALD HELLERMAN
|
|
|
Mirror Vote
|
For
|
2. THE RATIFICATION OF THE SELECTION OF TAIT, WELLER & BAKER, LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR CROSSROADS CAPITAL, INC. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Issuer
|
|
Mirror Vote
|
For
|
1. TO AUTHORIZE THE WITHDRAWAL OF THE COMPANY'S ELECTION TO BE REGULATED AS A BUSINESS DEVELOPMENT COMPANY UNDER THE INVESTMENT
|
Issuer
|
|
Mirror Vote
|
For
|
2. TO APPROVE ANY ADJOURNMENTS OF THE SPECIAL MEETING (I) TO PERMIT TIME TO VOLUNTARILY DELIST THE COMPANY FROM NASDAQ AND TO BEGIN THE PROCESS OF IMPLEMENTING PROPOSAL 1 AND (II) TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE SPECIAL MEETING TO APPROVE PROPOSAL 1 OR PROPOSAL 3 OR THE OTHER TRANSACTIONS CONTEMPLATED BY SUCH PROPOSALS.
|
Issuer
|
|
Mirror Vote
|
For
|
3. TO AUTHORIZE A PLAN OF LIQUIDATION TO CONVERT THE COMPANY INTO A LIQUIDATING TRUST FOR THE PURPOSE OF LIQUIDATING AND DISTRIBUTING THE COMPANY'S ASSETS, IF PROPOSAL 1 IS APPROVED.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
VIRTUS TOTAL RETURN FD INC
|
6/6/2017
|
92837G100
|
ZF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Miror Vote
|
For
|
1.Directors - 01- R. Keith Walton, 02-Brian T. Zino
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
New York REIT, Inc.
|
6/8/2017
|
64976L109
|
NYRT
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
DIRECTOR
|
Issuer
|
|
|
|
CRAIG T. BOUCHARD
|
|
|
|
|
HOWARD GOLDBERG
|
|
|
|
|
JOE C. MCKINNEY
|
|
|
|
|
JAMES L. NELSON
|
|
|
|
|
P. SUE PERROTTY
|
|
|
|
|
RANDOLPH C. READ
|
|
|
|
|
WENDY SILVERSTEIN
|
|
|
For
|
For
|
2. TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017.
|
Issuer
|
|
For
|
For
|
3. TO ADOPT A NON-BINDING ADVISORY RESOLUTION APPROVING THE EXECUTIVE COMPENSATION FOR THE COMPANY'S NAMED EXECUTIVE OFFICERS.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THE NEW IRELAND FUND, INC
|
6/13/2017
|
646673104
|
IRL
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
DIRECTOR
|
Issuer
|
|
|
|
MARGARET DUFFY
|
|
|
|
|
SEAN HAWKSHAW
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THE CHINA FUND, INC
|
6/20/2017
|
169373107
|
CHN
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1. TO APPROVE THE PROPOSED INVESTMENT ADVISORY AND MANAGEMENT AGREEMENT AND THE PROPOSED DIRECT INVESTMENT MANAGEMENT AGREEMENT (THE " PROPOSED AGREEMENTS") BETWEEN THE FUND AND OPEN DOOR INVESTMENT MANAGEMENT LTD.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ABERDEEN GREATER CHINA FD
|
6/21/2017
|
003031101
|
GCH
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror vote
|
For
|
1.1 ELECTION OF CLASS II DIRECTOR: C. WILLIAM MAHER
|
Issuer
|
|
Mirror vote
|
For
|
1.2 ELECTION OF CLASS II DIRECTOR: JONATHAN J.K. TAYLOR
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ABERDEEN SINGAPORE FUND, INC.
|
6/21/2017
|
003244100
|
SGF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1. TO ELECT RICHARD HERRING AS CLASS II DIRECTOR OF THE FUND TO SERVE UNTIL THE 2020 ANNUAL MEETING OF STOCKHOLDERS OF THE FUND AND UNTIL HIS SUCCESSOR IS DULY ELECTED AND QUALIFIES.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THE TURKISH INVESTMENT FUND, INC.
|
6/21/2017
|
900145103
|
TKF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1.Election of Directors: Class I- 1) Kathleen A. Dennis, 2) Joseph J kearns, 3) Michael E. Nugent, 4) Fergus Reis Class II- 5) Patricia Maleki
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
MORGAN STANLEY ASIA-PACIFIC FD
|
6/21/2017
|
61744u106
|
APF
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1.Election of Directors: Class I- 1) Kathleen A. Dennis, 2) Joseph J kearns, 3) Michael E. Nugent, 4) Fergus Reis Class II- 5) Patricia Maleki
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THE ABERDEEN JAPAN EQUITY FUND
|
6/21/2017
|
00306J109
|
JEQ
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1A. TO ELECT RICHARD HERRING AS CLASS III DIRECTOR OF THE FUND TO SERVE UNTIL THE 2020 ANNUAL MEETING OF STOCKHOLDERS OF THE FUND AND UNTIL HIS SUCCESSOR IS DULY ELECTED AND QUALIFIES.
|
Issuer
|
|
Mirror Vote
|
For
|
1B. TO ELECT ANTHONY CLARK AS CLASS III DIRECTOR OF THE FUND TO SERVE UNTIL THE 2020 ANNUAL MEETING OF STOCKHOLDERS OF THE FUND AND UNTIL HIS SUCCESSOR IS DULY ELECTED AND QUALIFIES.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
THE SWISS HELVETIA FUND, INC.
|
6/27/2017
|
870875101
|
SWZ
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
|
1. Director - Moritz Sell, Andrew Dakos, Thomas C. Mazarakis
|
Shareholder
|
|
For
|
|
2. TO RATIFY TAIT, WELLER & BAKER, LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017.
|
Shareholder
|
|
For
|
|
3. TO APPROVE AN AMENDMENT TO THE FUND'S CERTIFICATE OF INCORPORATION TO DECLASSIFY THE FUND'S BOARD OF DIRECTORS.
|
Shareholder
|
|
For
|
|
4. TO REQUEST A SELF-TENDER OFFER FOR ALL OUTSTANDING COMMON SHARES OF THE FUND AT OR CLOSE TO NET ASSET VALUE.
|
Shareholder
|
|
For
|
|
5. IF PROPOSAL 4 IS APPROVED, AND THE BOARD DOES NOT PROMPTLY IMPLEMENT IT, TO TERMINATE THE FUNDS INVESTMENT ADVISORY CONTRACTS.
|
Shareholder
|
|
Against
|
|
6A. TO APPROVE THE CONTINUATION OF AN AMENDMENT OF THE FUND'S BY-LAWS ESTABLISHING DIRECTOR QUALIFICATIONS.
|
Issuer
|
|
Against
|
|
6B. TO APPROVE THE CONTINUATION OF AN AMENDMENT OF THE FUND'S BY-LAWS REQUIRING HOLDERS OF 75% OF OUTSTANDING SHARES TO AMEND THE BY-LAWS.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
EMERGENT CAPITAL INC.
|
6/27/2017
|
29102N105
|
EMGC
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1.Election of Directors: Class I- 1) James chadwick, 2)Michael Crow, 3)Andrew Dakos, 4) Phillip Goldstein- 5) Gerald Hellerman, 6) Anthony Mitchell, 7) Gilbert Nathan
|
Issuer
|
|
For
|
For
|
2. TO VOTE ON AN ADVISORY RESOLUTION ON THE COMPENSATION OF CERTAIN OF THE COMPANY'S EXECUTIVE OFFICERS.
|
Issuer
|
|
For
|
For
|
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, 2017.
|
Issuer
|
|
For
|
For
|
4. TO VOTE ON AN AMENDMENT TO THE COMPANY'S ARTICLES OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF THE COMPANY'S COMMON STOCK.
|
Issuer
|
|
For
|
For
|
5. TO APPROVE AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED 2010 OMNIBUS INCENTIVE PLAN (THE "PLAN"), INCLUDING AN INCREASE TO THE TOTAL NUMBER OF SHARES AUTHORIZED UNDER THE PLAN.
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
HILL INTERNATIONAL INC.
|
6/27/2017
|
431466101
|
HIL
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1.Election of Directors: Class I- 1) ALAN S. FELLHEIMER, 2) STEPHEN R. CURTS
|
Issuer
|
|
For
|
For
|
2. APPROVE THE COMPANY'S 2017 EQUITY COMPENSATION PLAN
|
Issuer
|
|
For
|
For
|
3. ADVISORY VOTE TO APPROVE THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION
|
Issuer
|
|
For
|
For
|
4. ADVISORY VOTE TO APPROVE THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION
|
Issuer
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
|
|
Period:
|
July 1, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
EQUUS TOTAL RETURN, INC.
|
6/28/2017
|
294766100
|
EQS
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
Mirror Vote
|
For
|
1.Election of Directors: Class I- 1)Fraser Atkinson, 2) Henry W. Hankinson, 3) John A. Hardy, 4) Robert L. Knauss
|
Issuer
|
|
Mirror Vote
|
For
|
2. TO RATIFY THE SELECTION OF BDO USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017.
|
Issuer
|
|
Mirror Vote
|
For
|
3. TO APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION PAID TO THE COMPANY'S EXECUTIVE OFFICERS IN 2016, 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, 2016 - June 30,2017
|
|
|
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
|
ANDINA ACQUISITION CORP II
|
6/29/2017
|
G0441P104
|
ANDA
|
|
|
|
|
|
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
For
|
For
|
1.Election of Directors: Class I- 1)Edward G. Navarro
|
Issuer
|
|
For
|
For
|
2. RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF MARCUM LLP TO SERVE AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FINANCIAL YEAR ENDING NOVEMBER 30, 2017
|
Issuer
|