N-PX 1 ssfnpxjune2006.htm SSF III FORM N-PX JUNE 2006 SSF III form N-PX June 2006
UNITED STATES
 
SECURITIES AND EXCHANGE COMMISSION
 
Washington, DC 20549
 
FORM N-PX
 
 
OMB APPROVAL
 
OMB Number: 3235-0582
Expires: March 31, 2006
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ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
 
Investment Company Act file number
811-08110
SPECIAL SITUATIONS FUND III, L.P.
(Exact name of registrant as specified in charter)
153 EAST 53RD STREET, 55TH FLOOR, NEW YORK, NEW YORK 10022
(Address of principal executive offices)    (Zip Code)

Allen B. Levithan, Esq.
c/o Lowenstein Sandler PC
65 Livingston Avenue
Roseland, NY 07068
(Name and address of agent for service)

Registrant’s telephone number, including area code:
(212) 319-6670

Date of fiscal year end:
December 31, 2006

Date of reporting period:
July 2005 - June 2006

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
 
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
 

 
Item 1. Proxy Voting Record
 


Name of Security
Ticker
Cusip
Proposed by
Meeting Date
Date Voted or Date Posted
Description of Issue
Item #
Vote
                 
                 
Meade Instruments Corp.
mead
583062104
issuer
7/7/05
n/a
Elect directors
1
no vote
           
Authorize proxies to vote on business properly brought before a meeting
2
no vote
                 
PC Mall, Inc.
mall
69323K100
issuer
7/12/05
n/a
Elect directors
1
no vote
           
Ratify PriceWaterhouse Coopers LLP as independent accounting firm
2
no vote
                 
Seachange Int'l, Inc.
seac
811699107
issuer
7/13/05
n/a
Elect directors
1
no vote
           
Approve adoption of 2005 Equity compensation & incentive plan
2
no vote
           
Ratify Pricewaterhouse Coopers LLP as independent accounting firm
3
no vote
                 
Clicksoftware Technologies
cksw
M25082104
issuer
7/13/05
n/a
Elect directors
1
no vote
           
Approve Brightman Almago & Co. as independent auditors
2
no vote
           
Approve the execution of an amendment to the employment agreement between the company and Dr. Moshe BenBassat the company's Chairman of the BOD and CEO
3
no vote
           
Approve an option grant to Dr. BenBassat for the purchase of 108,000 shares of the company
4
no vote
                 
World Heart Corporation
whrt
980905202
issuer
7/18/05
7/15/05
Elect directors
1
For
           
Appoint auditors and authorize the directors to fix their remuneration.
2
For
           
Approve the Medquest resolution issuance of 9,300,000 common shares to Medquest Products inc.
3
For
           
Approve the Maverick resolution issuance of 8,888,889 common shares to Maverick Venture Management LLC
4
For
           
Approve the warrant amendment resolution to exercise price of warrants issued.
5
For
           
Approve increase in the number of common shares reserved for Employee Stock Option Plan
6
For
           
Approve the removal of the restriction World Heart Corp ESOP prohibiting aggregate grants to individuals of more than 5% of the issued and outstanding.
7
For
           
Approve the option amendment resolution of certain options granted by the corporation to EO's and Dirs.
8
For
           
A special resolution to approve the continuance of the corporation under the canada business corporations act
9
For
                 
Hyperspace Communications
hco
44915D103
issuer
7/22/05
n/a
Elect directors
1
no vote
           
Approve merger agreement as amended and issue common stocks and warrants to the merger agreement.
2
no vote
           
Approve amendment to articles of incorporation to increase authorized shares
3
no vote
           
Amend 2004 incentive plan
4
no vote
                 
Orthovita, Inc.
vita
68750U102
issuer
7/25/05
n/a
Elect directors
1
no vote
           
approve 1997 Equity Compensation plan
2
no vote
                 
Regeneration Technologies
rtix
75886N100
issuer
7/26/05
n/a
Elect directors
1
no vote
                 
                 
Safenet, Inc.
sfnt
45675F303
issuer
7/26/05
n/a
Elect directors
1
no vote
           
Ratify Ernst & Young as independent accounting firm
2
no vote
           
Increase shares in 2001 Omnibus Stock Plan from 3M to 6M shares
3
no vote
                 
Nuvasive, Inc.
nuva
670704105
issuer
7/27/05
n/a
Elect directors
1
no vote
           
Ratify Ernst & Young LLP as independent accounting firm
2
no vote
                 
Monterey Gourmet Foods, Inc.
psta
612570101
issuer
7/28/05
n/a
Elect directors
1
no vote
           
Approve selection of BDO Seidman, LLP as independent accounting firm
2
no vote
                 
MK Resources Co.
mkkr
55311Y103
issuer
8/09/05
7/19/05
Approve and adopt agreement and plan of merger dated 5/3/05 among Leucadia Nat'l Corp. , MK Resources company and Marigold Acquisition Corp., the merger contemplated thereby. The merger agreement is described in and attached as appendix A to the accompanying proxy statement/prospectus.
1
against
                 
Parkervision Inc.
prkr
701354102
issuer
8/09/05
n/a
Elect directors
1
no vote
                 
Stellent
stel
85856W105
issuer
8/10/05
n/a
Elect directors
1
no vote
           
Approve 2005 equity incentive plan which a max of 3,200,000 shares issued
2
no vote
           
Ratify Grant Thornton LLP as independent auditors
3
no vote
                 
Tvia, Inc.
tvia
87307P101
issuer
8/11/05
n/a
Elect directors
1
no vote
           
Ratify Pricewaterhouse Coopers LLP as independent accounting firm
2
no vote
                 
Printronix, Inc.
ptnx
742578107
issuer
8/16/05
8/10/05
Elect directors
1
for
           
Approve stock option plan
2
for
                 
Redenvelope, Inc.
rede
75733R601
issuer
8/26/05
n/a
Elect directors
1
no vote
           
Ratify Deloitte & Touch LLP as independent public accounting firm
2
no vote
                 
Nanometrics Inc.
nano
630077105
issuer
8/26/05
n/a
Elect directors
1
no vote
           
Approve reincorporation of the company through merger with big league merger corporation
2
no vote
           
Approve the governance and other provisions in the certificate of incorporation and bylaws to be contingent and effective upon the completion of the reincorporation merger by marking the box below
3
no vote
           
Approve provision liminting the company's stockholder (a) right to call special meetings of stockholders (b) ability to act by written consent
A&B
no vote
           
Approve provision requiring a super-majority vote of the stockholder to (c) amend certain provisions of its certificate (d) amend certain provisions of the bylaws
C&D
no vote
           
Approve provision liminting the company's stockholder (e) right to remove directors from the board without cause
E
no vote
           
Approve the classificationof the board of directors into separate classes with staggered terms
F
no vote
           
Approve provision limiting cumulative voting rights in connection with the election of directors
G
no vote
           
Adoption of the 2005 ESOP and the reservation of 1.2MM shares of common stock for issuance
4
no vote
           
Ratify the appointment BDO Seidman, LLP as independent registered public accounting firm
5
no vote
                 
Given Imaging Ltd.
givn
M52020100
issuer
8/30/05
n/a
Elect directors
1
no vote
           
Approve compensation of the President and CEO of company
2
no vote
           
Approve changes to compansation of the directors of company
3
no vote
           
Reappoint Somekh Chaikin, a member of KPMG Int'l, as independent auditors until next meeting and authorize the company's BOD to determine renumeration
4
no vote
                 
Quantum Fuel Systems Tech
qttw
74765 E109
issuer
9/9/05
n/a
Elect directors
1
no vote
           
Ratify Ernst & Young LLP as independent auditors
2
no vote
                 
Opnet Technologies Inc.
opnt
683757108
issuer
9/13/05
n/a
Elect directors
1
no vote
           
Ratify Deloitte & Touche LLP as independent auditors
2
no vote
                 
Tegal Corporation
tgal
879008100
issuer
9/13/05
9/2/05
Elect directors
1
For
           
Approve 7th amended and restated 1998 Equity participation plan shares will be increased from 10MM to 20MM and max. number of shares that may be subjdct to awards granted to any individual under the plan in any fiscal year will be increased from 1.6MM to 4MM
2
For
           
Aprove the 5th amended and restated option plan for outside directors to which the shares available under the plan will be increased from 1.6MM to 4MM
3
For
           
Approve amendment to our certificate to increase the authorized shares of stock from 100MM to 200MM
4
For
           
Approve a financing transaction in which we may sell and issue to a group of private investors in a second closing up to 28,315,385 shares of our common stock at a price of $0.65 per share and Five year warrants to purchase up to 14,157,692 shares of our common stock at an exercise price of $1.00 per share
5
For
           
approve an amendment to our certificate of incorporation to allow the board to adopt, amend or repeal our bylaws.
6
For
           
Ratify Moss Adams LLP as indepent registered public accounting firm
7
For
                 
WPCS Int'l Inc.
wpcs
  
issuer
9/14/05
9/7/05
Elect directors
1
For
           
Approve appointment of J.H Cohn LLP as independent public accounting
2
For
           
Approve 2006 Incentive Stock Plan
3
For
                 
Iteris, Inc.
iti
4656T107
issuer
9/16/05
9/10/05
Elect directors
1
no vote
           
Approve amendment of the bylaws of Iteris to change the size of the B of D to not less than 7 members nor more than 11, with the exact number to be set at 11 directors until changed within the foregoing limits by resolution of the Board
2
no vote
           
Ratify McGladrey & Pullen as independent auditors
3
no vote
                 
PSI Technologies Holdings, Inc.
psit
74438Q109
issuer
9/22/05
n/a
Elect directors
1
no vote
           
Approve minutes of 8/18/04 meeting of stockholders
2
no vote
           
Approve SGV & Co. and Ernst & Young as external auditors
3
no vote
           
Approve amendment to section 1 article II of the corporate by laws to change the date of the annual general meeting of stockholders from any day in June to the 4th Thursday of september of each year
4
no vote
           
Authorize the company to guarantee and/or act as surety with respect to any loans/oblications that any financial institution may extend to PSI Technologies, Inc. and/or PSI Technologies Laguna, Inc.
5
no vote
           
Ratify all acts, contracts and resolution of mgmt and the BoD sinces 8/18/04
6
no vote
           
Other matters
7
no vote
                 
Sumtotal Systems Inc.
sumt
866615107
issuer
9/23/05
n/a
Elect directors
1
no vote
                 
Frequency Electronics Inc.
fei
358010106
issuer
9/29/05
9/23/05
Elect directors
1
For
           
Ratify Holtz Rubenstein Reminick LLP as independent auditors
2
For
           
Adoption of the FEI 2005 Stock award plan
3
For
                 
Unify Corporation
unfy
904743101
issuer
9/29/05
N/A
Elect directors
1
no vote
           
Ratify Grant Thornton LLP as independent auditors
2
no vote
                 
Nova Measuring Instruments
nvmi
M7516K103
issuer
9/29/05
N/A
Elect directors
1
no vote
                 
Buca, Inc.
buca
117769109
issuer
10/19/05
n/a
Elect directors
1
no vote
           
Ratify appointment of Deloitte & Touche LLP as independent auditors
2
no vote
                 
Primal Solutions Inc.
psol
74154A106
issuer
10/27/05
n/a
Elect directors
1
no vote
           
Appoint Haskel & White LLP
2
no vote
                 
Adept Technology, Inc.
adep
6854202
issuer
11/03/05
10/18/05
Elect directors
1
For
           
Approve the amendment to the 2003 stock option plan.
2
For
           
Approve 2005 Equity Incentive Plan
3
For
           
Approve the amendment of Adept's Art of Inc. (or cert. of inc. if the reincorporation proposal is approved) to increase the number of authorized shares of capital stock from 15MM to 20MM including the increase of the authorized cs of Adept from 14MM to 19MM
4
For
           
Approve the reincorporation of Adept from California to Delaware
5
For
                 
Palmsource, Inc.
psrc
697154102
issuer
11/14/05
11/7/05
Elect directors
1
For
           
Proposal to adopt the merger agreement between Access Co. LTD & Apollo Merger Sub, Inc. and approve the merger with Apollo Merger Sub, Inc.
2
For
           
Ratify appointment of PriceWaterhouse Coopers LLP as independent public accounting firm
3
For
                 
Trikon Technologies, Inc.
trkn
896187408
issuer
12/1/05
11/28/2005
Adopt the merger agreement dated as of 3/14/05 amon Trikon Technologies Inc. Aviza Technology Inc. New Athletics, Inc. Baseball Acquisition Corp I and Baseball Acquisition Corp. I with and into Trikon.
1
For
           
Approve the amended and restated certificate of inc. of New Athletics, Inc. substantially in the form attached as Annex B to the proxy statement/prospectus which is to be effective following the merger transaction. Please complete either this proposal or the individual sub-proposals below but not both. You may vote on all sub-proposals to approve the governance and other provisions in the amended and restated cert. of inc. of New Athletics, Inc. tobe contingent and effective upon the completion of the merger transaction by marking the box below. If you mark both this item and any individual proposal below only your vote on this item will be counted.
2
Against
           
Approve the classified BOD of New Athletics, Inc. consisting of three classes with each class coming up for election every three years.
2a
Against
           
Approve restrictions on the ability to remove directors of New Athletics.
2b
Against
           
Approve restriction on the ability of New Athletics to hold its first annual meeting prior to the 13-month anniversary of the effective time of the merger transaction.
2c
Against
           
Approve restrictions on the ability of stockholders to act by written consent.
2d
Against
           
Approve restrictions on the ability to amend the bylaws and certain provisions of the amended and restated cert.of inc. of New Athletics, Inc.
2e
Against
           
Approve the New Athletics 2004 stock plan
3
Against
           
Proposal to grant discretionary authority to the Trikon BOD to adjourn or postpone the Trikon Special Meeting.
4
For
                 
La Jolla Pharmaceutical Co.
ljpc
503459109
issuer
12/02/05
11/17/05
Approve issuance of common stock and warrants to purchase common stock to certain investors pursuant to the securities purchase agreement dated October 6, 2005
1
For
           
Approve proposal to amend cert. of inc. to increase the authorized number of shares of common stock by 50MM
2
For
           
Approve the proposal to amend the La Jolla 2004 Equity incentive plan 1- increase shares of common stock under the plan by 16MM 2- increase shares of common stock issued to any eligible person by 6MM and 3- eliminate the minimum restriction period requirement with respect to restricted stock granted.
3
For
           
Approve proposal to decrease the number of issued and outstanding shares of common stock by means of a one-for-five reverse stock split
4
For
                 
Collectors Universe, Inc.
clct
19421R200
issuer
12/05/05
  
Elect directors
1
For
           
Approval of the 2005 stock incentive plan
2
For
                 
Modtech Holdings Inc.
modt
60783C100
issuer
12/13/05
  
Elect directors
1
no vote
           
Ratify of the appointment of Peterson & Co. as independent auditors
2
no vote
                 
Pharmacyclics, Inc.
pcyc
716933106
issuer
12/15/05
  
Elect directors
1
no vote
           
Amend the company's 2004 Equity incentive award plan in order to increase the number of shares of common stock for issuance over the term of the 2004 plan by additional 1mm shares.
2
no vote
           
Ratify the appointment of Price Waterhouse Coopers LLp and independent registered public accounting firm
3
no vote
                 
 
Modtech Holdings, Inc.
modt
60783C100
issuer
01/03/05
12/22/05
Approve private placement and the issuance of 2,046,000 shares of common stock and warrants to purchase an additional 1,023,000 shares of common stock.
1
no vote
           
Approve issuance of shares of common stock to be issued upon conversion of a 25.9mm convertible note and esercise of the related warrants.
2
no vote
           
Approve amendment to the company's cert. of inc. to increase the authorized number of shares of common stock from 25MM to 55MM
3
no vote
           
Approve amendment to the company's 2002 nonstatutory stock option plan to increase the number of shares of common stock issuable upon exercise of options granted under the plan from 1mm to 2mm
4
no vote
                 
Solexa, Inc.
slxa
83420X105
issuer
01/17/06
12/22/05
Approve issuance of common stock and warrants to purchase common stock in connection with a financing transaction
1
For
                 
Visual Networks Inc.
vnwk
928444108
issuer
01/20/06
12/06/05
Approve and adopt the agreement and plan of merger dated 12/1/05 by and among Fluke Electronics Corp., HEA Corp. and Visual Networks Inc. as more fully described in the accompanying proxy statement.
1
For
           
Grant discretionary authority toeach of the proxy holders to adjourn the special meeting to another time or place for the purpose of soliciting additional proxies
2
For
           
Transact such other business as may properly be brought before the special meeting or any adjournment or postponement of the special meeting.
3
For
                 
Willbros Group, Inc.
wg
969199108
issuer
2/1/2006
2/17/2006
Elect Directors
1
No vote
                 
Xcyte Therapies, Inc.
xcyt
98389F309
issuer
3/16/2006
2/17/2006
Approve the issuance of company common stock pursuant to the stock purchase agreement as of 12/15/05 and amended by amenment no. 1 thereto as of 1/13/06 between Xcyte and Cyclacel Group Plc. All as more fully described in the proxy statement.
1
  
           
Approve the sale of company T cell expansion technology known as the Xcellerate Process, including all related intellectual property, all clinical data generated by Xcyte in the courseof six clinical trials of its lead product all related raw materials, and specified agreements and equipment, to invitrogen Corporation, all as more fully described in the proxy statement.
2
For
           
Approve an equity incentive plan to provide for the grant of equity incentive awards with respect to up to 986,120 shares of Xcyte common stock to officers, employees, directors and consultants of Xcyte.
3
For
           
Approve the amendment of Wcyte's cert. of inc. to change Xcytes's name to Cyclacel Pharmaceuticals, Inc. and to modify the indemnification obligations of Xcyte, all as more fully described in the proxy statement.
4
For
           
Approve the amendment of Xcyte's cert. of inc. to effect a reverse stock split of Xcyte common stock at a ratio of one share for each ten shares of common stock.
5
For
                 
Indevus Pharmaceuticals, Inc
idev
454072109
issuer
3/07/06
n/a
Elect Directors
1
no vote
           
Approve amendment to the company's 2004 equity incentive plan as amended
2
no vote
           
Approve and ratify PriceWaterhouseCoopers LLP as the independent registered public accounting firm
3
no vote
                 
Hi/Fn, Inc.
hifn
428358105
issuer
2/27/06
n/a
Elect Directors
1
no vote
           
Ratify and approve an amendment to the amended and restated 1996 Equity incentive plan to extend the term by five years from 11/20/06 to 11/20/11
2
no vote
           
Ratify and approve an amendment to the 1998 Employee stock purchase plan to provide for an increase in the number of shares available for issuance thereunder from 900,000 shares to 1,4000,000 shares
3
no vote
           
Ratify the appointment of PriceWaterhouse Coopers LLP as independent registered public accounting firm of HIFN for the fiscal year ending 9/30/06
4
no vote
                 
Nuance Communications, Inc.
nuan
67020Y100
issuer
3/31/06
  n/a
Elect Directors
1
no vote
           
Approve the amended and restated 2000 stock plan.
2
no vote
           
Approve the amended and restated 1995 directors' stock option plan.
3
no vote
           
Approve the amended and restated 1995 Employee stock purchase plan.
4
no vote
           
Ratify the appointment of BDO Seidman, LLP as independent public accounting firm
5
no vote
                 
PECO II, Inc.
piii
705221109
issuer
3/21/2006
n/a
Approve and adopt an amendment to the Peco II amended and restated code of regulations providing that the Ohio control share acquisition act shall not apply to acquisition of the company's equity securities
1
no vote
           
Approve the issuance of 4,740,375 shares of Peco II common stock without par value (the primary shares) to Delta Products Corporation pursuant to an asset purchase agreement between Peco II and Delta dated 10/13/05 (the Asset Purchase Agreement) all as more fully described in the proxy statement
2
no vote
           
Appprove the issuance of a warrant to permit Delta to purchase approximately 12.9 million shares of Peco II common stock without par value or such other number of shares of Peco II common stock that when aggregated with the primary shares of Peco II capital stock, as more fully described in the proxy statement
3
no vote
           
Approve allowing the BOD to adjourn the special meeting, if necessary, to solicit additional proxies in the event that there are not sufficient votes at the time of the special meeting to approve and adopt the proposals
4
no vote
                 
Artisoft, Inc.
asft
04314L205
issuer
4/3/2006
3/29/2006
Elect directors
1
For
           
Approve amendments to our 2004 stock incentive plan, as amended to among other things, increase the total number of shares that may be granted under the Plan from 2MM shares to 10,768,865 shares
2
For
           
Ratify Vitale Caturano & Co. Ltd. As independent accountants
3
For
           
Approve an amended and restated Cert. of Inc. to replace our current Cert. of Inc.
4
For
                 
Find/SVP, Inc.
fsvp
317718302
issuer
3/13/2006
n/a
Amendment to the Cert. of Inc. as amended of the company changing the company's name
1
no vote
                 
Velocity Express Corp.
vexp
92257T608
issuer
1/27/2006
n/a
Approve certain terms of our Series P Convertible Preferred Stock("SeriesP") to permit the Company to issue additional Series P as payment-in-kind dividends, (B) issue additional conversion shares pursuant to anti-dilution provisions of the Series P, cna (C) exercise of the A Warrant and B Warrant issuable in connection with the Series P
1
no vote
           
Approve certain terms of our Series N Convertible Preferred Stock ("Series N") to permit the Company to issue additional Series N as payment-in-kind dividends, and the issuance of additional conversion shares pursuant to anit-dilution provisions thereof.
2
no vote
           
Approve certain terms of our Series O Convertible Preferred Stock ("Series O") to permit the Company to issue additional Series O as payment-in-kind dividends, and the issuance of additional conversion shares pursuant to anit-dilution provisions thereof.
3
no vote
                 
Advanced Life Sciences Holdings Inc.
adls
00765H107
issuer
5/2/2006
4/13/2006
Elect Direcetors
1
no vote
           
Ratify Deloitte & Touche LLP as Independent Public Accounting Firm
2
no vote
                 
Curagen Corp.
crgn
23126R101
issuer
5/3/2006
4/21/2006
Elect Directors
1
no vote
                 
Insmed Inc.
insm
457669208
issuer
5/10/2006
4/21/2006
Elect Directors
1
no vote
           
Ratify Ernst & Young LLP as independent auditors
2
no vote
                 
CombinatoRx, Inc.
crxx
20010A103
issuer
6/1/2006
4/26/2006
Elect Directors
    
           
Amend the provisions of the Company's 2004 Incentive Plan as described in the accompanying proxy statement
    
           
Ratify Ernst & Young LLP as independent public accounting
    
                 
Dyax Corporation
dyax
  
issuer
5/18/2006
4/27/2006
Elect Directors
1
no vote
           
Ratify PriceWaterhouse Coopers LLP as independent auditors
2
no vote
                 
Metabasis Therapeutics, Inc.
mtix
59101M105
issuer
5/9/2006
5/4/2006
Elect Directors
1
no vote
           
Ratify Ernst & Young as independent auditors
2
no vote
                 
Integramed America, Inc.
inmd
45810N302
issuer
5/23/2006
5/4/2006
Elect Directors
1
no vote
                 
Vnus Medical Technologies, Inc.
vnus
928566108
issuer
5/25/2006
5/4/2006
Elect Directors
1
no vote
           
Ratify independent public accountant
2
no vote
                 
Integral Vision, Inc.
invi
45811H106
issuer
5/31/2006
5/8/2006
Elect Directors
1
no vote
                 
American Technology Corp.
atco
30145205
issuer
5/4/2006
5/8/2006
Elect Directors
1
no vote
           
Ratify Swenson advisors as independent accountants
2
no vote
           
Approve certain terms of the securities purchase agreement
3
no vote
           
Stockholder proposal concerning procedure for disclosure of orders
4
no vote
                 
Metasolv, Inc.
mslv
59139P104
issuer
5/9/2006
5/8/2006
Elect directors
1
no vote
           
Ratify Grant Thornton LLP as independent auditors
2
no vote
                 
DTS, Inc.
dtsi
23335C101
issuer
5/18/2006
5/8/2006
Elect directors
1
no vote
           
Ratify and approve PriceWaterhouse Coopers LLP as independent auditors
2
no vote
                 
Entrust, Inc.
entu
293848107
issuer
5/5/2006
5/8/2006
Elect directors
1
no vote
           
Approve the Entrust, Inc. 2006 stock incentive plan
2
no vote
           
Ratify Grant Thornton LLP as independent accountants
3
no vote
                 
Cambridge Display Technology, Inc.
oled
132193103
issuer
5/31/2006
5/8/2006
Elect directors
1
no vote
           
Ratify Ernst & Young LLP as public accountants
2
no vote
           
In their discretion, upon such other business as may properly come before the meeting.
3
no vote
                 
Axsys Technologies, Inc.
axys
54615109
issuer
5/4/2006
5/9/2005
Elect directors
1
no vote
           
Approval to amend the company's amended and restated long-term incentive plan
2
no vote
                 
NMS Communications Corp.
nmss
629248105
issuer
4/27/2006
5/9/2006
Elect directors
1
no vote
           
Ratify PriceWaterhouse Coopers LLP as independent auditors
2
no vote
                 
Tercica Inc.
trca
88078L105
issuer
6/6/2006
5/10/2006
Elect directors
1
no vote
           
Ratify Ernst & Young LLP as accounting firm
2
no vote
                 
Sangamo Biosciences, Inc.
sgmo
800677106
issuer
6/7/2006
5/10/2006
Elect directors
1
no vote
           
Ratify Ernst & Young LLP as independent auditors
2
no vote
                 
Ciphergen Biosystems, Inc.
ciph
17252Y104
issuer
6/7/2006
5/10/2006
Elect directors
1
no vote
           
Ratify PriceWaterhouse Coopers as accounting firm
2
no vote
                 
Cryptologic, Inc.
cryp
228906103
issuer
5/11/2006
5/10/2006
Elect directors
1
For
           
Adopt amended 2002 incentive stock option plan to issue an additional 250,000 common shares (recruitment option)
2
For
           
Adopt amended 2002 incentive stock option plan to issue an additional 250,000 common shares (employee option)
3
For
           
Adopt amended 2002 incentive stock option plan to issue an additional 150,000 common shares (other options)
4
For
           
Re-appoint auditors: KPMG LLP
5
For
           
In his discretion on such other issues as may properly come before the meeting.
6
Against
                 
La Jolla Pharmaceutical Co.
ljph
503459109
issuer
5/18/2006
5/11/2006
Elect Directors
1
For
           
Amend 1995 Employee Stock Purchase Plan
2
For
           
Ratify Ernst & Young LLP as independent accounting firm
3
For
                 
Transworld Corp.
twoc
89336R207
issuer
5/17/2006
5/18/2006
Elect Directors
1
No vote
           
Propose to amend the 2004 Equity Incentive Plan
2
No vote
           
Ratify Fothstein, Kass & Co., P.C. as independent public accountants
3
No vote
                 
Guideline
gdln
317718302
issuer
6/9/2006
5/18/2006
Elect Directors
1
No vote
           
Ratify and approve amendment to the company's 2003 stock incentive plan to increase the number of authorized shares of common stock under the 2003 plan from 1.5mm shares to 2.75mm shares
2
No vote
           
Ratify Deloitte & Touche LLP as independent public accounting firm
3
No vote
                 
Medivation, Inc.
mdv
58501N101
issuer
6/9/2006
5/18/2006
Elect Directors
1
No vote
           
Ratify Singer Lewak Greenbaum & Goldstein as independent accounting firm
2
No vote
                 
Amerigon, Inc.
argn
03070L300
issuer
5/18/2006
5/22/2006
Elect Directors
1
No vote
           
Approve the amerigon inc. 2006 Equity Incentive Plan
2
No vote
                 
Metretek Technologies Inc.
mek
59159Q107
issuer
6/12/2006
5/23/2006
Elect Directors
1
No vote
           
Approve amendments to the company's 1998 stock incentive plan to increase the number of shares of common stock authorized for issuance therunder by 1mm shares to an aggregate of 3, 750,000 shares and to effect certain other amendents
2
No vote
           
Ratify Hein & Associates LLP as the independent public accounting firm
3
No vote
           
Proxies are authorized to take action and to vote upon such other business as may properly come before the annual meeting or any adjournments or postponements thereof.
4
No vote
                 
Panacos Pharmaceuticals, Inc.
panc
69811Q106
issuer
6/22/2006
5/25/2006
Elect Directors
1
No vote
           
Approve amended and restated 2005 supplemental equity compensation plan.
2
No vote
           
Approve amended and restated 1998 Employee stock purchase plan
3
No vote
           
Ratify KPMG LLP as independent accounting firm
4
No vote
                 
Pharmafrontiers Corp.
pftr
7171EN106
issuer
6/15/2006
5/25/2006
Elect Directors
1
No vote
           
Approve amendment to company's articles of Inc. to effect a 1 for 10 reverse stock split
2
No vote
           
approve amendment to the company's articles of Inc. to change the coporate name to "OPEXA THERAPEUTICS, INC."
3
No vote
           
Approve amendment to the company's June 2004 compensatory stockoption plan to increase the aggregate number of shares of common stock authorized for issuance and increase the limitation on performance awards granted in any fiscal year pursuant to section 5(d) of the plan.
4
No vote
                 
Guideline, Inc.
gdln
401716105
issuer
6/9/2006
6/12/2006
Elect directors
    
           
Ratify and approve amendment to the company's 2003 stock incentive plan to increase the number of authorized shares of common stock under the 2003 from 1,500,000 shares to 2,750,000 shares
    
           
Ratify Deloitte and Touche LLP as independent Public Accounting Firm
    
                 
Intermap Technologies Corp.
imp.cn
458977204
issuer
5/9/2006
5/8/2006
Elect Directors
1
For
           
Appoint KPMG LLP, as auditors
2
For
           
Approve shareholder rights plan of the Corp. the form of which is set out in the accompanying management information circular
3
For
           
Approve amending by-law no. 1 of the corporation to decrease the percentage of issued and outstanding voting capital reguired to be present in person or by proxy to achieve a quorum for the transaction of business at a meeting of the shareholders of the corp. from 30% to 5%
4
For
           
Approve an increase of shares available for the granting of stock options under the corporations stock option plan to 3,650,000.
5
For
                 
Tut Systems, Inc.
tuts
901103101
issuer
5/25/2006
n/a
Elect Directors
1
No vote
           
Ratify Pricewaterhousecoopers LLP as accounting firm
2
No vote
                 
PC Tel, Inc.
pcti
69325Q105
issuer
6/5/2006
n/a
Elect Directors
1
No vote
           
Ratify Pricewaterhouse Coopers LLP
2
No vote
           
Approve amendment and restatement of the 1997 Stock plan including an increase in the reserve of shares under the plan.
3
No vote
                 
Net Perceptions, Inc.
netp
64107U101
issuer
6/22/2006
6/18/2006
Elect Directors
1
No vote
                 
Immersion Corp.
immr
452521107
issuer
6/7/2009
n/a
Elect Directors
1
No vote
           
Ratify Deloitte and Touche LLP as accounting firm
2
No vote
                 
Velocity Express
vexp
92257T608
issuer
6/22/2006
6/23/2006
Elect Directors
1
No Vote
           
Ratify UHY LLP as accounting firm
2
No Vote
           
Proxies are authorized to vote upon such other business as may properly come before the annual meeting
3
No Vote
                 
Memory Pharmaceuticals
memy
58606R403
issuer
7/19/2006
6/29/2006
Elect Directors
1
No Vote
           
Approve amendment to the 2004 Employee Stock Purchase Plan to increase the number of shares to common stock reserved for issuance ESPP by 150000 shares
2
No Vote
           
Ratify KPMG LLP as auditors
3
No Vote
           
To transact such other business as may properly come before the meeting
4
No Vote
                 
Ceva, Inc.
ceva
157210105
issuer
7/18/2006
7/17/2006
Elect Directors
1
For
           
Approve amend and restate 2002 employee stock purchase plan to increase the number of shares of common stock reserved for issuance thereunder form 1MM to 1.5MM
2
For
           
Ratify Kost Forer Gabbay & Kasierer as independent auditors of the company
3
For
                 
Seachange Int'l, Inc.
seac
811699107
issuer
7/12/2006
na
Elect Directors
1
No vote
           
Approve Seachange's third amended and restated 1996 Employee stock purchase plan.
2
No vote
           
Ratify Pricewater House Coopers, LLP as public accounting firm.
3
No vote
                 
Tegal Corp.
tgal
879008100
issuer
7/21/2006
7/19/2006
Elect Directors
1
For
           
Approve series amendments to our Cert. of Inc. to effect a reverse stock split of our common stock, whereby each outstanding 8 or 12 shares would be combined into one share and to grant authorization to the BOD to determine at its discretion, the timing and the actual ratio of the reverse stock split
2
For
           
Approve the 8th amended and restated 1998 equity participation plan pursuant to which the plan will be amended to allow for the repricing of issued but unexercised stock options and awards held by employees and consultants.
3
For
           
Ratify Moss Adams LLP as independent public accounting firm.
4
For
           
In their discretion, the proxies are authorized to vote upon such other business as may properly come before the annual meeting and any and all adjournments or postponements of the annual meeting.
5
For
                 
Corillian Corp.
cori
218725109
issuer
5/15/2006
na
Elect Directors
1
No Vote
           
Ratify KPMG LLP as independent public auditors
2
No Vote
                 
TVI Corporation
tvin
872916101
issuer
5/15/2006
na
Elect Directors
1
No vote
           
Ratify Stegman & Co. as independent accountants
2
No vote
                 
Image Sensing Systems, Inc.
isns
45244C104
issuer
5/17/2006
na
Elect Directors
1
No vote
           
Ratify Grant Thornton LLP as independent public accounting firm
2
No vote
                 
Supportsoft, Inc.
sprt
868587106
issuer
5/23/2006
na
Elect Directors
1
No vote
           
Ratify Ernst & Young LLP as independent public accounting firm
2
No vote
                 
Optimal Group, Inc.
opmr
68388R208
issuer
5/22/2006
na
Elect Directors
1
No vote
                 
Uranium Resources, Inc.
urre
916901309
issuer
6/1/2006
na
Elect Directors
1
No vote
           
Ratify Hein & Associates, LLP as independent accountants
2
No vote
                 
Peco II, Inc.
piii
705221109
issuer
6/1/2006
na
Elect Directors
1
No vote
           
Increase the numbr of authorized shares of the company from 55MM to 155MM consisting of 150MM common shares without par value and 5MM serial preferred shares without par value
2
No vote
                 
Ipass Inc.
ipas
46261V108
issuer
6/1/2006
na
Elect Directors
1
No vote
           
Approve IPASS 2003 non-employee directors plan as amended to change the terms and number of shares granted pursuant to stock options and provide for the grant of restricted stock awards thereunder
2
No vote
           
Ratify KPMG LLP and independent accounting firm
3
No vote
                 
U.S. Home Systems, Inc.
ushs
90335C100
issuer
6/2/2006
na
Elect Directors
1
No vote
           
In the discretion of the proxy holders on any other matter that may properly come before the meeting or any adjournment thereof
2
No vote
                 
Catalytica Energy Systems, Inc.
cesi
148884109
issuer
6/8/2006
na
Elect Directors
1
No vote
           
Ratify Ernst & Young LLP as independent public accountants
2
No vote
                 
           
Ratify BDO SeidmanLLP as public accounting firm
2
For
                 
 
 
 
 

 
 

 
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 SITUATIONS FUND III, L.P.

By (signature and Title)*
/s/Austin W. Marxe
AUSTIN W. MARXE, MANAGING GENERAL PARTNER

Date:
August 28, 2006