0000894189-12-005190.txt : 20120831 0000894189-12-005190.hdr.sgml : 20120831 20120831105707 ACCESSION NUMBER: 0000894189-12-005190 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120630 FILED AS OF DATE: 20120831 DATE AS OF CHANGE: 20120831 EFFECTIVENESS DATE: 20120831 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPECIAL OPPORTUNITIES FUND, INC. CENTRAL INDEX KEY: 0000897802 IRS NUMBER: 133702911 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-07528 FILM NUMBER: 121067469 BUSINESS ADDRESS: STREET 1: C/O US BANCORP FUND SERVICES, LLC STREET 2: 615 EAST MICHIGAN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 414-765-5088 MAIL ADDRESS: STREET 1: C/O US BANCORP FUND SERVICES, LLC STREET 2: 615 EAST MICHIGAN AVENUE CITY: MILWAUKEE STATE: WI ZIP: 53202 FORMER COMPANY: FORMER CONFORMED NAME: INSURED MUNICIPAL INCOME FUND INC DATE OF NAME CHANGE: 19960213 FORMER COMPANY: FORMER CONFORMED NAME: PAINEWEBBER PREMIER INSURED MUNICIPAL INCOME FUND INC DATE OF NAME CHANGE: 19930714 N-PX 1 specialopp_npx.txt ANNUAL REPORT OF PROXY VOTING UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER: 811-07528 NAME OF REGISTRANT: Special Opportunities Fund, Inc. ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 615 East Michigan Street Milwaukee, WI 53202 NAME AND ADDRESS OF AGENT FOR SERVICE: Andrew Dakos Brooklyn Capital Management, LLC Park 80 West, 250 Pehle Avenue Suite 708 Saddle Brook, NJ 07663 REGISTRANT'S TELEPHONE NUMBER: 1-877-607-0414 DATE OF FISCAL YEAR END: 12/31 DATE OF REPORTING PERIOD: 07/01/2011 - 06/30/2012 Special Opportunities Fund, Inc. -------------------------------------------------------------------------------------------------------------------------- ADAMS EXPRESS COMPANY Agenda Number: 933553198 -------------------------------------------------------------------------------------------------------------------------- Security: 006212104 Meeting Type: Annual Meeting Date: 20-Mar-2012 Ticker: ADX ISIN: US0062121043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ENRIQUE R. ARZAC Mgmt Withheld Against PHYLLIS O. BONANNO Mgmt Withheld Against KENNETH J. DALE Mgmt Withheld Against DANIEL E. EMERSON Mgmt Withheld Against FREDERIC A. ESCHERICH Mgmt Withheld Against ROGER W. GALE Mgmt Withheld Against KATHLEEN T. MCGAHRAN Mgmt Withheld Against DOUGLAS G. OBER* Mgmt Withheld Against CRAIG R. SMITH Mgmt Withheld Against 2. THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Mgmt For For AS INDEPENDENT PUBLIC AUDITORS. -------------------------------------------------------------------------------------------------------------------------- ALLIANCEBERNSTEIN FUNDS Agenda Number: 933490360 -------------------------------------------------------------------------------------------------------------------------- Security: 45082X103 Meeting Type: Special Meeting Date: 31-Aug-2011 Ticker: SNF ISIN: US45082X1037 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 APPROVAL OF THE LIQUIDATION AND DISSOLUTION Mgmt For For OF THE FUND, AS SET FORTH IN THE PLAN OF LIQUIDATION AND DISSOLUTION ADOPTED BY THE BOARD OF DIRECTORS OF THE FUND. -------------------------------------------------------------------------------------------------------------------------- ALPINE GLOBAL PREMIER PPTYS FD Agenda Number: 933643632 -------------------------------------------------------------------------------------------------------------------------- Security: 02083A103 Meeting Type: Annual Meeting Date: 08-Jun-2012 Ticker: AWP ISIN: US02083A1034 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR SAMUEL A. LIEBER Mgmt For For 2. TO TRANSACT SUCH OTHER BUSINESS AS MAY Mgmt For For PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENTS OR POSTPONEMENTS THEREOF. -------------------------------------------------------------------------------------------------------------------------- AMERICAN REALTY CAPITAL PROPERTIES INC Agenda Number: 933636221 -------------------------------------------------------------------------------------------------------------------------- Security: 02917T104 Meeting Type: Annual Meeting Date: 06-Jun-2012 Ticker: ARCP ISIN: US02917T1043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF DIRECTOR: NICHOLAS S. SCHORSCH Mgmt Against Against 1B. ELECTION OF DIRECTOR: EDWARD M. WEIL, JR. Mgmt Against Against 1C. ELECTION OF DIRECTOR: EDWARD G. RENDELL Mgmt Against Against 1D. ELECTION OF DIRECTOR: DAVID GONG Mgmt Against Against 1E. ELECTION OF DIRECTOR: WALTER P. LOMAX, JR. Mgmt Against Against 2. TO RATIFY THE AUDIT COMMITTEES APPOINTMENT Mgmt For For OF GRANT THORNTON LLP ("GRANT THORNTON") AS THE COMPANY'S INDEPENDENT AUDITOR FOR 2012. 3. TO CONSIDER AND ACT ON SUCH MATTERS AS MAY Mgmt Abstain Against PROPERLY COME BEFORE THE ANNUAL MEETING AND ANY ADJOURNMENT THEREOF. -------------------------------------------------------------------------------------------------------------------------- AMERICAN STRATEGIC INCOME PORT. INC.-III Agenda Number: 933524969 -------------------------------------------------------------------------------------------------------------------------- Security: 03009T101 Meeting Type: Annual Meeting Date: 06-Dec-2011 Ticker: CSP ISIN: US03009T1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR ROGER A. GIBSON Mgmt Split 89% For Split JOHN P. KAYSER Mgmt Split 89% For Split LEONARD W. KEDROWSKI Mgmt Split 89% For Split RICHARD K. RIEDERER Mgmt Split 89% For Split JOSEPH D. STRAUSS Mgmt Split 89% For Split JAMES M. WADE Mgmt Split 89% For Split 02 TO RATIFY THE SELECTION OF ERNST & YOUNG Mgmt Split 92% For 7% Against 1% AbstainSplit LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE FUND FOR THE CURRENT FISCAL YEAR. 03 TO APPROVE CHANGES TO THE FUND'S POLICY ON Mgmt Split 86% For 12% Against 2% AbstainSplit INVESTING IN REIT PREFERRED STOCK. -------------------------------------------------------------------------------------------------------------------------- BANCROFT FUND LTD. Agenda Number: 933540115 -------------------------------------------------------------------------------------------------------------------------- Security: 059695106 Meeting Type: Annual Meeting Date: 17-Feb-2012 Ticker: BCV ISIN: US0596951063 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR KINCHEN C. BIZZELL Mgmt For For ELIZABETH C. BOGAN, PHD Mgmt For For 02 PROPOSAL TO RATIFY SELECTION OF ACCOUNTANTS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK CA MUNI 2018 TERM TR Agenda Number: 933480763 -------------------------------------------------------------------------------------------------------------------------- Security: 09249C204 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US09249C2044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt For For MICHAEL J. CASTELLANO Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK INSURED MUNICIPAL INCOME TRUST Agenda Number: 933476827 -------------------------------------------------------------------------------------------------------------------------- Security: 092479401 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US0924794011 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 98% For Split MICHAEL J. CASTELLANO Mgmt Split 98% For Split R. GLENN HUBBARD Mgmt Split 98% For Split W. CARL KESTER Mgmt Split 98% For Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNI 2018 TERM TRUST Agenda Number: 933480763 -------------------------------------------------------------------------------------------------------------------------- Security: 09248C205 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US09248C2052 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 99% For Split MICHAEL J. CASTELLANO Mgmt Split 99% For Split R. GLENN HUBBARD Mgmt Split 99% For Split W. CARL KESTER Mgmt Split 99% For Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNI BOND TRUST Agenda Number: 933480763 -------------------------------------------------------------------------------------------------------------------------- Security: 09249H203 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US09249H2031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 97% For Split MICHAEL J. CASTELLANO Mgmt Split 97% For Split R. GLENN HUBBARD Mgmt Split 97% For Split W. CARL KESTER Mgmt Split 97% For Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNI BOND TRUST Agenda Number: 933480763 -------------------------------------------------------------------------------------------------------------------------- Security: 09249H302 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US09249H3021 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 97% For Split MICHAEL J. CASTELLANO Mgmt Split 97% For Split R. GLENN HUBBARD Mgmt Split 97% For Split W. CARL KESTER Mgmt Split 97% For Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIHOLDINGS FUND II, INC. Agenda Number: 933476839 -------------------------------------------------------------------------------------------------------------------------- Security: 09253P208 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US09253P2083 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 98% For Split MICHAEL J. CASTELLANO Mgmt Split 98% For Split RICHARD E. CAVANAGH Mgmt Split 98% For Split FRANK J. FABOZZI Mgmt Split 98% For Split KATHLEEN F. FELDSTEIN Mgmt Split 98% For Split JAMES T. FLYNN Mgmt Split 98% For Split HENRY GABBAY Mgmt Split 98% For Split JERROLD B. HARRIS Mgmt Split 98% For Split R. GLENN HUBBARD Mgmt Split 98% For Split W. CARL KESTER Mgmt Split 98% For Split KAREN P. ROBARDS Mgmt Split 98% For Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIHOLDINGS FUND, INC Agenda Number: 933480321 -------------------------------------------------------------------------------------------------------------------------- Security: 09253N401 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US09253N4016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt For For MICHAEL J. CASTELLANO Mgmt For For RICHARD E. CAVANAGH Mgmt For For FRANK J. FABOZZI Mgmt For For KATHLEEN F. FELDSTEIN Mgmt For For JAMES T. FLYNN Mgmt For For HENRY GABBAY Mgmt For For JERROLD B. HARRIS Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For KAREN P. ROBARDS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIHOLDINGS NY INSD FD INC Agenda Number: 933480321 -------------------------------------------------------------------------------------------------------------------------- Security: 09255C304 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt For For MICHAEL J. CASTELLANO Mgmt For For RICHARD E. CAVANAGH Mgmt For For FRANK J. FABOZZI Mgmt For For KATHLEEN F. FELDSTEIN Mgmt For For JAMES T. FLYNN Mgmt For For HENRY GABBAY Mgmt For For JERROLD B. HARRIS Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For KAREN P. ROBARDS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIHOLDINGS NY INSD FD INC Agenda Number: 933480321 -------------------------------------------------------------------------------------------------------------------------- Security: 09255C502 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt For For MICHAEL J. CASTELLANO Mgmt For For RICHARD E. CAVANAGH Mgmt For For FRANK J. FABOZZI Mgmt For For KATHLEEN F. FELDSTEIN Mgmt For For JAMES T. FLYNN Mgmt For For HENRY GABBAY Mgmt For For JERROLD B. HARRIS Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For KAREN P. ROBARDS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIHOLDINGS NY INSD FD INC Agenda Number: 933480321 -------------------------------------------------------------------------------------------------------------------------- Security: 09255C601 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt For For MICHAEL J. CASTELLANO Mgmt For For RICHARD E. CAVANAGH Mgmt For For FRANK J. FABOZZI Mgmt For For KATHLEEN F. FELDSTEIN Mgmt For For JAMES T. FLYNN Mgmt For For HENRY GABBAY Mgmt For For JERROLD B. HARRIS Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For KAREN P. ROBARDS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK NY MUNICIPAL BOND TRUS Agenda Number: 933480763 -------------------------------------------------------------------------------------------------------------------------- Security: 09249P205 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: ISIN: US09249P2056 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 94% For Split MICHAEL J. CASTELLANO Mgmt Split 94% For Split R. GLENN HUBBARD Mgmt Split 94% For Split W. CARL KESTER Mgmt Split 94% For Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK PREFERRED & EQUITY ADVANTAGE Agenda Number: 933476827 -------------------------------------------------------------------------------------------------------------------------- Security: 092508100 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: BTZ ISIN: US0925081004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 88% For Split MICHAEL J. CASTELLANO Mgmt Split 88% For Split R. GLENN HUBBARD Mgmt Split 88% For Split W. CARL KESTER Mgmt Split 88% For Split -------------------------------------------------------------------------------------------------------------------------- BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 933585931 -------------------------------------------------------------------------------------------------------------------------- Security: 101507101 Meeting Type: Annual Meeting Date: 27-Apr-2012 Ticker: BIF ISIN: US1015071012 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 DIRECTOR STEVEN K. NORGAARD Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- BOULDER TOTAL RETURN FUND, INC. Agenda Number: 933585955 -------------------------------------------------------------------------------------------------------------------------- Security: 101541100 Meeting Type: Annual Meeting Date: 27-Apr-2012 Ticker: BTF ISIN: US1015411002 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 DIRECTOR STEVEN K. NORGAARD Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- BR PREFERRED INCOME STRATEGIES FUND Agenda Number: 933476839 -------------------------------------------------------------------------------------------------------------------------- Security: 09255H105 Meeting Type: Annual Meeting Date: 28-Jul-2011 Ticker: PSY ISIN: US09255H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PAUL L. AUDET Mgmt Split 94% For Split MICHAEL J. CASTELLANO Mgmt Split 94% For Split RICHARD E. CAVANAGH Mgmt Split 94% For Split FRANK J. FABOZZI Mgmt Split 94% For Split KATHLEEN F. FELDSTEIN Mgmt Split 94% For Split JAMES T. FLYNN Mgmt Split 94% For Split HENRY GABBAY Mgmt Split 94% For Split JERROLD B. HARRIS Mgmt Split 94% For Split R. GLENN HUBBARD Mgmt Split 94% For Split W. CARL KESTER Mgmt Split 94% For Split KAREN P. ROBARDS Mgmt Split 94% For Split -------------------------------------------------------------------------------------------------------------------------- CAPITAL SOUTHWEST CORPORATION Agenda Number: 933483771 -------------------------------------------------------------------------------------------------------------------------- Security: 140501107 Meeting Type: Annual Meeting Date: 18-Jul-2011 Ticker: CSWC ISIN: US1405011073 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR DONALD W. BURTON Mgmt Split 98% For Split GRAEME W. HENDERSON Mgmt Split 98% For Split SAMUEL B. LIGON Mgmt Split 98% For Split GARY L. MARTIN Mgmt Split 98% For Split JOHN H. WILSON Mgmt Split 98% For Split 02 PROPOSAL TO RATIFY THE APPOINTMENT BY OUR Mgmt For For AUDIT COMMITTEE OF GRANT THORNTON LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING MARCH 31, 2012. 03 PROPOSAL TO APPROVE THE CAPITAL SOUTHWEST Mgmt Split 90% For 9% Against 1% AbstainSplit CORPORATION 2010 RESTRICTED STOCK AWARD PLAN. 04 PROPOSAL TO APPROVE ADVISORY VOTE ON Mgmt Split 98% For 1% Against 1% AbstainSplit EXECUTIVE COMPENSATION. 05 VOTE ON THE FREQUENCY OF THE ADVISORY VOTE Mgmt Split 53% 1 Year 45% 3 Years 2% AbstainSplit ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. -------------------------------------------------------------------------------------------------------------------------- DIAMOND HILL FINANCIAL TRENDS FUND Agenda Number: 933560674 -------------------------------------------------------------------------------------------------------------------------- Security: 25264C101 Meeting Type: Annual Meeting Date: 17-Apr-2012 Ticker: DHFT ISIN: US25264C1018 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR FRANKLIN C. GOLDEN Mgmt Withheld Against RUSSELL J. PAGE Mgmt Withheld Against FRED G. STEINGRABER Mgmt Withheld Against DONALD R. TOMLIN Mgmt Withheld Against 2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For YOUNG AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2012. -------------------------------------------------------------------------------------------------------------------------- DIVIDEND AND INCOME FUND, INC. Agenda Number: 933576033 -------------------------------------------------------------------------------------------------------------------------- Security: 25538A105 Meeting Type: Annual Meeting Date: 24-Apr-2012 Ticker: DNI ISIN: US25538A1051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO APPROVE AN AGREEMENT AND PLAN OF Mgmt Against Against REORGANIZATION PURSUANT TO WHICH THE FUND WOULD BE REORGANIZED INTO A NEWLY FORMED DELAWARE STATUTORY TRUST NAMED "DIVIDEND AND INCOME FUND." 2. DIRECTOR BRUCE B. HUBER Mgmt Withheld Against -------------------------------------------------------------------------------------------------------------------------- EATON VANCE RISK-MGD DIV EQTY INCM FD Agenda Number: 933553934 -------------------------------------------------------------------------------------------------------------------------- Security: 27829G106 Meeting Type: Annual Meeting Date: 20-Apr-2012 Ticker: ETJ ISIN: US27829G1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR WILLIAM H. PARK* Mgmt Withheld Against RONALD A. PEARLMAN* Mgmt Withheld Against HELEN FRAME PETERS* Mgmt Withheld Against SCOTT E. ESTON# Mgmt Withheld Against HARRIETT TEE TAGGART** Mgmt Withheld Against -------------------------------------------------------------------------------------------------------------------------- EQUUS TOTAL RETURN, INC. Agenda Number: 933654647 -------------------------------------------------------------------------------------------------------------------------- Security: 294766100 Meeting Type: Annual Meeting Date: 26-Jun-2012 Ticker: EQS ISIN: US2947661003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR FRASER ATKINSON Mgmt For For ALESSANDRO BENEDETTI Mgmt For For RICHARD F. BERGNER Mgmt Withheld Against KENNETH I. DENOS Mgmt Withheld Against GREGORY J. FLANAGAN Mgmt Withheld Against HENRY W. HANKINSON Mgmt Withheld Against JOHN A. HARDY Mgmt For For ROBERT L. KNAUSS Mgmt Withheld Against BERTRAND DES PALLIERES Mgmt For For 2. TO RATIFY THE SELECTION OF UHY AS THE Mgmt For For FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. 3. TO APPROVE, IN A NON-BINDING VOTE, THE Mgmt Abstain Against COMPENSATION PAID TO THE FUND'S EXECUTIVE OFFICERS, AS DISCLOSED PURSUANT TO ITEM 402 OF REGULATION S-K, INCLUDING THE COMPENSATION DISCUSSION AND ANALYSIS, COMPENSATION TABLES, AND NARRATIVE DISCUSSION. 4. FOR THE BOARD OF DIRECTORS TO PROPOSE A Shr Against For SPECIAL MEETING OF EQUUS SHAREHOLDERS TO CONSIDER AND VOTE ON A PLAN OF LIQUIDATION OF OF THE FUND. 5. TO RETAIN AN INDEPENDENT FIRM TO CONDUCT A Shr Against For REVIEW OF THE FUND AND MAKE RECOMMENDATIONS ON HOW TO IMPROVE FUND PERFORMANCE. -------------------------------------------------------------------------------------------------------------------------- FEDERATED FUNDS Agenda Number: 933508030 -------------------------------------------------------------------------------------------------------------------------- Security: 31423M204 Meeting Type: Annual Meeting Date: 17-Oct-2011 Ticker: ISIN: US31423M2044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR J. CHRISTOPHER DONAHUE* Mgmt For For N.P. CONSTANTAKIS* Mgmt For For JOHN F. CUNNINGHAM* Mgmt For For PETER E. MADDEN Mgmt For For JOHN S. WALSH Mgmt For For -------------------------------------------------------------------------------------------------------------------------- FIRST OPPORTUNITY FUND, INC Agenda Number: 933585905 -------------------------------------------------------------------------------------------------------------------------- Security: 33587T108 Meeting Type: Annual Meeting Date: 27-Apr-2012 Ticker: FOFI ISIN: US33587T1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 DIRECTOR RICHARD I. BARR Mgmt No vote SUSAN L. CICIORA Mgmt No vote STEVEN K. NORGAARD Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST STRATEGIC HIGH INCOME FD III Agenda Number: 933488632 -------------------------------------------------------------------------------------------------------------------------- Security: 33735C106 Meeting Type: Special Meeting Date: 08-Aug-2011 Ticker: FHO ISIN: US33735C1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 TO APPROVE AN AGREEMENT AND PLAN OF Mgmt For For REORGANIZATION PURSUANT TO WHICH FIRST TRUST STRATEGIC HIGH INCOME FUND III (ACQUIRED FUND) WOULD (1) TRANSFER ALL OF ITS ASSETS TO FIRST TRUST STRATEGIC HIGH INCOME FUND II (ACQUIRING FUND), (2) DISTRIBUTE SUCH SHARES OF THE ACQUIRING FUND, (3) COMPLETELY LIQUIDATE, AND BE DISSOLVED, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. -------------------------------------------------------------------------------------------------------------------------- GDL FD Agenda Number: 933580551 -------------------------------------------------------------------------------------------------------------------------- Security: 361570104 Meeting Type: Annual Meeting Date: 14-May-2012 Ticker: GDL ISIN: US3615701048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MARIO J. GABELLI, CFA Mgmt No vote MARIO D'URSO Mgmt No vote MICHAEL J. MELARKEY Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- GLOBAL INCOME & CURRENCY FUND, INC. Agenda Number: 933559013 -------------------------------------------------------------------------------------------------------------------------- Security: 378968101 Meeting Type: Annual Meeting Date: 30-Mar-2012 Ticker: GCF ISIN: US3789681018 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1E. DIRECTOR JOHN P. AMBOIAN Mgmt For For ROBERT P. BREMNER Mgmt For For JACK B. EVANS Mgmt For For DAVID J. KUNDERT Mgmt For For WILLIAM C. HUNTER Mgmt For For WILLIAM J. SCHNEIDER Mgmt For For JUDITH M. STOCKDALE Mgmt For For CAROLE E. STONE Mgmt For For VIRGINIA L. STRINGER Mgmt For For TERENCE J. TOTH Mgmt For For -------------------------------------------------------------------------------------------------------------------------- GYRODYNE COMPANY OF AMERICA, INC. Agenda Number: 933526634 -------------------------------------------------------------------------------------------------------------------------- Security: 403820103 Meeting Type: Annual Meeting Date: 09-Dec-2011 Ticker: GYRO ISIN: US4038201038 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR NAVEEN BHATIA Mgmt For For ELLIOT H. LEVINE Mgmt For For 02 TO RATIFY THE ENGAGEMENT OF HOLTZ Mgmt For For RUBENSTEIN REMINICK LLP AS INDEPENDENT ACCOUNTANTS FOR THE CURRENT FISCAL YEAR. -------------------------------------------------------------------------------------------------------------------------- H&Q LIFE SCIENCES INVESTORS Agenda Number: 933479304 -------------------------------------------------------------------------------------------------------------------------- Security: 404053100 Meeting Type: Annual Meeting Date: 08-Jul-2011 Ticker: HQL ISIN: US4040531000 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR ERIC ODDLEIFSON Mgmt Split 82% For Split OLEG M. POHOTSKY Mgmt Split 82% For Split WILLIAM S. REARDON Mgmt Split 82% For Split 02 TO RATIFY THE SELECTION OF DELOITTE & Mgmt Split 89% For 1% Against 10% AbstainSplit TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS OF THE FUND FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2011. 03 SHAREHOLDER PROPOSAL REGARDING ANNUAL TERMS Shr Split 43% For 54% Against 3% AbstainSplit FOR TRUSTEES, IF PROPERLY PRESENTED. -------------------------------------------------------------------------------------------------------------------------- IMPERIAL HOLDINGS, INC. Agenda Number: 933621814 -------------------------------------------------------------------------------------------------------------------------- Security: 452834104 Meeting Type: Consent Meeting Date: 23-May-2012 Ticker: IFT ISIN: US4528341047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 TO HOLD A SPECIAL MEETING OF STOCKHOLDERS Mgmt For * OF IMPERIAL HOLDINGS. -------------------------------------------------------------------------------------------------------------------------- JF CHINA REGION FUND, INC. Agenda Number: 933609678 -------------------------------------------------------------------------------------------------------------------------- Security: 46614T107 Meeting Type: Annual Meeting Date: 10-May-2012 Ticker: JFC ISIN: US46614T1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR RT. HON EARL OF CROMER Mgmt Withheld Against SIMON J. CRINAGE Mgmt Withheld Against 2. AMENDMENT TO THE FUND'S INVESTMENT ADVISORY Mgmt Against Against AND MANAGEMENT AGREEMENT. -------------------------------------------------------------------------------------------------------------------------- KOREA EQUITY FUND, INC. Agenda Number: 933490079 -------------------------------------------------------------------------------------------------------------------------- Security: 50063B104 Meeting Type: Annual Meeting Date: 18-Aug-2011 Ticker: KEF ISIN: US50063B1044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR SHIGERU SHINOHARA Mgmt For For CHOR WENG TAN Mgmt For For -------------------------------------------------------------------------------------------------------------------------- LIBERTY ALL-STAR EQUITY FUND Agenda Number: 933499647 -------------------------------------------------------------------------------------------------------------------------- Security: 530158104 Meeting Type: Special Meeting Date: 30-Sep-2011 Ticker: USA ISIN: US5301581048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 TO APPROVE A NEW FUND MANAGEMENT AGREEMENT Mgmt Split 90% For 5% Against 5% AbstainSplit BETWEEN THE FUND AND ALPS ADVISORS, INC. TO BECOME EFFECTIVE UPON THE CLOSING OF THE TRANSACTION WHEREBY ALPS HOLDINGS INC. WILL MERGE WITH A WHOLLY-OWNED SUBSIDIARY OF DST SYSTEMS, INC. (THE "CLOSING"). 2A PORTFOLIO MANAGEMENT AGREEMENT FOR FUND Mgmt Split 90% For 5% Against 5% AbstainSplit WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER CORNERSTONE CAPITAL MANAGEMENT, INC. 2B PORTFOLIO MANAGEMENT AGREEMENT FOR FUND Mgmt Split 90% For 5% Against 5% AbstainSplit WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER MATRIX ASSET ADVISERS, INC. 2C PORTFOLIO MANAGEMENT AGREEMENT FOR FUND Mgmt Split 90% For 5% Against 5% AbstainSplit WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER PZENA INVESTMENT MANAGEMENT, LLC. 2D PORTFOLIO MANAGEMENT AGREEMENT FOR FUND Mgmt Split 90% For 5% Against 5% AbstainSplit WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER SCHNEIDER CAPITAL MANAGEMENT CORPORATION. 2E PORTFOLIO MANAGEMENT AGREEMENT FOR FUND Mgmt Split 90% For 5% Against 5% AbstainSplit WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER TCW INVESTMENT MANAGEMENT COMPANY. -------------------------------------------------------------------------------------------------------------------------- LIBERTY ALL-STAR EQUITY FUND Agenda Number: 933560155 -------------------------------------------------------------------------------------------------------------------------- Security: 530158104 Meeting Type: Annual Meeting Date: 14-May-2012 Ticker: USA ISIN: US5301581048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN A. BENNING Mgmt For For EDMUND J. BURKE Mgmt For For -------------------------------------------------------------------------------------------------------------------------- LIBERTY ALL-STAR GROWTH FUND, INC. Agenda Number: 933499635 -------------------------------------------------------------------------------------------------------------------------- Security: 529900102 Meeting Type: Special Meeting Date: 30-Sep-2011 Ticker: ASG ISIN: US5299001025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 TO APPROVE A NEW FUND MANAGEMENT AGREEMENT Mgmt Split 87% For 4% Against 9% AbstainSplit BETWEEN THE FUND AND ALPS ADVISORS, INC. TO BECOME EFFECTIVE UPON THE CLOSING OF THE TRANSACTION WHEREBY ALPS HOLDINGS INC. WILL MERGE WITH A WHOLLY-OWNED SUBSIDIARY OF DST SYSTEMS, INC. (THE "CLOSING"). 2A TO APPROVE NEW PORTFOLIO MANAGEMENT Mgmt Split 87% For 4% Against 9% AbstainSplit AGREEMENTS FOR THE FUND WITH ALPS ADVISORS, INC. AND TCW INVESTMENT MANAGEMENT COMPANY, THE FUND'S CURRENT PORTFOLIO MANAGER, TO BECOME EFFECTIVE UPON THE CLOSING. 2B TO APPROVE NEW PORTFOLIO MANAGEMENT Mgmt Split 87% For 4% Against 9% AbstainSplit AGREEMENTS FOR THE FUND WITH ALPS ADVISORS, INC. AND M.A. WEATHERBIE & CO., INC., THE FUND'S CURRENT PORTFOLIO MANAGER, TO BECOME EFFECTIVE UPON THE CLOSING. -------------------------------------------------------------------------------------------------------------------------- MACQUAIRE GLOBAL INFRASTRUCTURE TOTAL RT Agenda Number: 933633465 -------------------------------------------------------------------------------------------------------------------------- Security: 55608D101 Meeting Type: Annual Meeting Date: 21-Jun-2012 Ticker: MGU ISIN: US55608D1019 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT H. DANIELS Mgmt For * 2. A STOCKHOLDER PROPOSAL REQUESTING THAT THE Mgmt For * BOARD OF DIRECTORS (THE "BOARD") TAKE THE NECESSARY STEPS TO AMEND THE BYLAWS OF THE FUND SO THAT WHEN BOARD ELECTIONS ARE CONTESTED, WITH MORE NOMINEES THAN OPEN SEATS, A PLURALITY OF THE VOTES CAST WILL BE SUFFICIENT FOR ELECTION. -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY FUND Agenda Number: 933488745 -------------------------------------------------------------------------------------------------------------------------- Security: 46133H204 Meeting Type: Annual Meeting Date: 04-Aug-2011 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR DAVID C. ARCH Mgmt For For BOB R. BAKER Mgmt For For LARRY SOLL Mgmt For For PHILIP A. TAYLOR Mgmt For For WAYNE W. WHALEN Mgmt For For FRANK S. BAYLEY Mgmt For For -------------------------------------------------------------------------------------------------------------------------- MVC CAPITAL, INC. Agenda Number: 933546597 -------------------------------------------------------------------------------------------------------------------------- Security: 553829102 Meeting Type: Annual Meeting Date: 12-Mar-2012 Ticker: MVC ISIN: US5538291023 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR EMILIO DOMINIANNI Mgmt Withheld Against GERALD HELLERMAN Mgmt Withheld Against WARREN HOLTSBERG Mgmt Withheld Against ROBERT KNAPP Mgmt Withheld Against WILLIAM TAYLOR Mgmt Withheld Against MICHAEL TOKARZ Mgmt Withheld Against 02 TO RATIFY THE SELECTION OF ERNST & YOUNG Mgmt For For LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2012. -------------------------------------------------------------------------------------------------------------------------- MYREXIS, INC. Agenda Number: 933519475 -------------------------------------------------------------------------------------------------------------------------- Security: 62856H107 Meeting Type: Annual Meeting Date: 08-Dec-2011 Ticker: MYRX ISIN: US62856H1077 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 DIRECTOR JOHN T. HENDERSON Mgmt Withheld Against ROBERT M. FORRESTER Mgmt Withheld Against 2 TO RATIFY THE APPOINTMENT OF ERNST & YOUNG Mgmt For For LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2012. 3 TO CONSIDER AN ADVISORY VOTE ON THE Mgmt Abstain Against COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE PROXY STATEMENT. 4 TO CONSIDER AN ADVISORY VOTE ON THE Mgmt Abstain Against FREQUENCY OF HOLDING AN ADVISORY VOTE ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. -------------------------------------------------------------------------------------------------------------------------- NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 933509210 -------------------------------------------------------------------------------------------------------------------------- Security: 67073D102 Meeting Type: Special Meeting Date: 18-Nov-2011 Ticker: JQC ISIN: US67073D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 TO AMEND THE FUND'S FUNDAMENTAL INVESTMENT Mgmt Split 92% For 3% Against 5% AbstainSplit RESTRICTION REGARDING CONCENTRATION. -------------------------------------------------------------------------------------------------------------------------- PROSPECT CAPITAL CORPORATION Agenda Number: 933508636 -------------------------------------------------------------------------------------------------------------------------- Security: 74348T102 Meeting Type: Annual Meeting Date: 08-Dec-2011 Ticker: PSEC ISIN: US74348T1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR WILLIAM J. GREMP Mgmt Split 94% For Split 02 THE RATIFICATION OF THE SELECTION OF BDO Mgmt Split 97% For 2% Against 1% AbstainSplit USA, LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2012. 03 TO APPROVE A PROPOSAL TO AUTHORIZE THE Mgmt Split 82% For 16% Against 2% AbstainSplit COMPANY, WITH APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE OR PRICES BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS SUBJECT TO CERTAIN CONDITIONS, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. -------------------------------------------------------------------------------------------------------------------------- ROYCE FOCUS TRUST, INC. Agenda Number: 933493479 -------------------------------------------------------------------------------------------------------------------------- Security: 78080N108 Meeting Type: Annual Meeting Date: 22-Sep-2011 Ticker: FUND ISIN: US78080N1081 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR PATRICIA W. CHADWICK Mgmt Split 96% For Split RICHARD M. GALKIN Mgmt Split 96% For Split -------------------------------------------------------------------------------------------------------------------------- ROYCE MICRO-CAP TRUST, INC. Agenda Number: 933493708 -------------------------------------------------------------------------------------------------------------------------- Security: 780915104 Meeting Type: Annual Meeting Date: 22-Sep-2011 Ticker: RMT ISIN: US7809151043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR RICHARD M. GALKIN Mgmt Split 85% For Split STEPHEN L. ISAACS Mgmt Split 85% For Split -------------------------------------------------------------------------------------------------------------------------- ROYCE VALUE TRUST, INC. Agenda Number: 933493722 -------------------------------------------------------------------------------------------------------------------------- Security: 780910105 Meeting Type: Annual Meeting Date: 22-Sep-2011 Ticker: RVT ISIN: US7809101055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR RICHARD M. GALKIN Mgmt Split 85% For Split STEPHEN L. ISAACS Mgmt Split 85% For Split -------------------------------------------------------------------------------------------------------------------------- SUNAMERICA FOCUSED ALPHA GROWTH FD INC Agenda Number: 933525973 -------------------------------------------------------------------------------------------------------------------------- Security: 867037103 Meeting Type: Special Meeting Date: 19-Dec-2011 Ticker: FGF ISIN: US8670371033 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 APPROVE AN AGREEMENT AND PLAN OF Mgmt Split 99% For 1% Abstain Split REORGANIZATION PROVIDING FOR THE TRANSFER OF ALL ASSETS OF FGF TO THE SUNAMERICA FOCUSED ALPHA GROWTH FUND ("FOCUSED ALPHA GROWTH FUND"), IN EXCHANGE FOR CLASS A SHARES OF FOCUSED ALPHA GROWTH FUND; DISTRIBUTION OF SUCH CLASS A SHARES TO HOLDERS OF FGF IN COMPLETE LIQUIDATION OF FGF; AND THE DISSOLUTION OF FGF UNDER MARYLAND LAW. -------------------------------------------------------------------------------------------------------------------------- SUNAMERICA FOCUSED ALPHA LARGE-CAP FD Agenda Number: 933525985 -------------------------------------------------------------------------------------------------------------------------- Security: 867038101 Meeting Type: Special Meeting Date: 19-Dec-2011 Ticker: FGI ISIN: US8670381016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 APPROVE AN AGREEMENT AND PLAN OF Mgmt Split 97% For 3% Abstain Split REORGANIZATION PROVIDING FOR TRANSFER OF ALL ASSETS OF FGI TO THE SUNAMERICA FOCUSED ALPHA LARGE-CAP FUND ("FOCUSED ALPHA LARGE-CAP FUND"), IN EXCHANGE FOR CLASS A SHARES OF FOCUSED ALPHA LARGE-CAP FUND; DISTRIBUTION OF SUCH CLASS A SHARES TO HOLDERS OF FGF IN COMPLETE LIQUIDATION OF FGI; AND THE DISSOLUTION OF FGI UNDER MARYLAND LAW. -------------------------------------------------------------------------------------------------------------------------- THE GREATER CHINA FUND, INC. Agenda Number: 933622424 -------------------------------------------------------------------------------------------------------------------------- Security: 39167B102 Meeting Type: Annual Meeting Date: 29-Jun-2012 Ticker: GCH ISIN: US39167B1026 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN A. HAWKINS Mgmt Withheld Against TAK LUNG TSIM Mgmt Withheld Against 2. STOCKHOLDER PROPOSAL THAT THE FUND Shr For Against TERMINATE ALL INVESTMENT ADVISORY AND MANAGEMENT AGREEMENTS WITH BARING ASSET MANAGEMENT (ASIA) LIMITED. -------------------------------------------------------------------------------------------------------------------------- THE NEW GERMANY FUND Agenda Number: 933643896 -------------------------------------------------------------------------------------------------------------------------- Security: 644465106 Meeting Type: Annual Meeting Date: 27-Jun-2012 Ticker: GF ISIN: US6444651060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR AMBASSADOR R.R. BURT* Mgmt For For DR. FRANZ WILHELM HOPP* Mgmt For For DR. FRIEDBERT MALT* Mgmt For For MR. RICHARD K. GOELTZ# Mgmt For For 3. TO RATIFY THE APPOINTMENT BY THE AUDIT Mgmt For For COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. -------------------------------------------------------------------------------------------------------------------------- THE NEW IRELAND FUND, INC. Agenda Number: 933432382 -------------------------------------------------------------------------------------------------------------------------- Security: 645673104 Meeting Type: Annual Meeting Date: 21-Jul-2011 Ticker: IRL ISIN: US6456731040 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR 02 THE APPROVAL OF THE INVESTMENT ADVISORY Mgmt No vote AGREEMENT BETWEEN THE FUND AND KLEINWORT BENSON INVESTORS INTERNATIONAL LTD -------------------------------------------------------------------------------------------------------------------------- THE NEW IRELAND FUND, INC. Agenda Number: 933631005 -------------------------------------------------------------------------------------------------------------------------- Security: 645673104 Meeting Type: Annual Meeting Date: 05-Jun-2012 Ticker: IRL ISIN: US6456731040 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) DIRECTOR PETER HOOPER Mgmt For For GEORGE MOORE Mgmt For For -------------------------------------------------------------------------------------------------------------------------- THE SWISS HELVETIA FUND, INC. Agenda Number: 933633617 -------------------------------------------------------------------------------------------------------------------------- Security: 870875101 Meeting Type: Annual Meeting Date: 20-Jun-2012 Ticker: SWZ ISIN: US8708751016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MR. BRIAN A. BERRIS Mgmt Withheld Against MR. DAVID R. BOCK Mgmt Withheld Against MR. PAUL HOTTINGUER Mgmt Withheld Against 2. WITH RESPECT TO THE PROPOSAL TO RATIFY THE Mgmt For For SELECTION BY THE BOARD OF DIRECTORS OF DELOITTE & TOUCHE LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2012. -------------------------------------------------------------------------------------------------------------------------- TRI-CONTINENTAL CORPORATION Agenda Number: 933558996 -------------------------------------------------------------------------------------------------------------------------- Security: 895436103 Meeting Type: Annual Meeting Date: 12-Apr-2012 Ticker: TY ISIN: US8954361031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR KATHLEEN BLATZ Mgmt Withheld Against PAMELA CARLTON Mgmt Withheld Against ALISON TAUNTON-RIGBY Mgmt Withheld Against 2. TO RATIFY THE SELECTION OF ERNST & YOUNG Mgmt For For LLP AS THE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. -------------------------------------------------------------------------------------------------------------------------- TS&W/CLAYMORE TAX ADVANTAGED BALANCED FD Agenda Number: 933520733 -------------------------------------------------------------------------------------------------------------------------- Security: 87280R108 Meeting Type: Special Meeting Date: 23-Nov-2011 Ticker: TYW ISIN: US87280R1086 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 TO APPROVE AN AGREEMENT AND PLAN OF Mgmt Split 92% For 4% Against 4% AbstainSplit REORGANIZATION (THE "REORGANIZATION AGREEMENT") BETWEEN THE FUND AND RYDEX SGI MUNICIPAL FUND, A SERIES OF THE SECURITY INCOME FUND ("RYDEX SGI FUND"), ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. 02 TO TRANSACT SUCH OTHER BUSINESS AS MANY Mgmt Split 88% For 8% Against 4% AbstainSplit PROPERLY COME BEFORE THE SPECIAL MEETING OR ANY ADJOURNMENTS OR POSTPONEMENTS THEREOF. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET PREMIER BOND FUND Agenda Number: 933627436 -------------------------------------------------------------------------------------------------------------------------- Security: 957664204 Meeting Type: Annual Meeting Date: 30-May-2012 Ticker: ISIN: US9576642048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR RONALD J. ARNAULT Mgmt Withheld Against ANITA L. DEFRANTZ Mgmt Withheld Against AVEDICK B. POLADIAN Mgmt Withheld Against WILLIAM E.B. SIART Mgmt Withheld Against J. MILLER STUDENMUND Mgmt Withheld Against R. JAY GERKEN Mgmt Withheld Against RONALD L. OLSON Mgmt Withheld Against -------------------------------------------------------------------------------------------------------------------------- ZION OIL & GAS, INC. Agenda Number: 933626092 -------------------------------------------------------------------------------------------------------------------------- Security: 989696109 Meeting Type: Annual Meeting Date: 12-Jun-2012 Ticker: ZN ISIN: US9896961094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN BROWN Mgmt Withheld Against FORREST A. GARB Mgmt Withheld Against JULIAN D. TAYLOR Mgmt Withheld Against 2. PROPOSAL TO RATIFY THE APPOINTMENT OF Mgmt For For MALONEBAILEY, LLP, AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012. 3. TO APPROVE, IN A NON-BINDING ADVISORY VOTE, Mgmt Against Against THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS, AS DESCRIBED IN THE COMPENSATION DISCUSSION AND ANALYSIS, EXECUTIVE COMPENSATION TABLES AND ACCOMPANYING NARRATIVE DISCLOSURES IN OUR PROXY STATEMENT. * Management position unknown
SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) Special Opportunities Fund, Inc. By (Signature) /s/ Andrew Dakos Name Andrew Dakos Title President Date 08/30/2012