UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22039
First Trust Specialty Finance and
Financial Opportunities Fund
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Exact Name of Registrant as Specified in Declaration of Trust
120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
120 East Liberty Drive, Suite 400
Wheaton, Illinois 60187
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 765-8000
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: November 30
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Date of reporting period: July 1, 2008 - June 30, 2009
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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 (ss.ss. 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, 100 F Street, N.E., Washington
D.C. 20549. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
COMPANY NAME MEETING DATE CUSIP TICKER
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Apollo Investment Corporation 5-Aug-08 03761U106 AINV
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Claudine Malone as director Issuer
For For 1.2) Elect Frank Puleo as director Issuer
For For 1.3) Elect Carl Spielvogel as director Issuer
For For 2) To ratify the selection of
PricewaterhouseCoopers LLP to serve as the Company's
independent registered public accounting firm for the year
ending March 31, 2009 Issuer
For For 3) To approve a proposal to authorize flexibility
for the Company, with approval of its Board of Directors, to
sell shares of its common stock during the upcoming year at
prices slightly below the Company's then current net asset
value per share in one or more offerings, subject to certain
conditions Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Prospect Capital Corp. 12-Dec-08 74348T102 PSEC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Graham Anderson as director Issuer
For For 1.2) Elect Eugene Stark as director Issuer
For For 2) Selection of BDO Seidman as the registered
public accountant through 6/30/09 Issuer
For For 3) Proposal to sell stock at prices below the company's net
asset value Issuer
For For 4) Proposal to to authorize the company to issue
warrants, options or rights offerings Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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PennantPark Inv. Corp. 3-Feb-09 708062104 PNNT
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Marshall Brozost as director Issuer
For For 1.2) Elect Samuel Katz as director Issuer
For For 2) Ratify the selection of KPMG LLP as PennantPark
Investment Corporations independent registered public
accounting firm for fiscal year ending September 30, 2009 Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Gladstone Capital 19-Feb-09 376535100 GLAD
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Maurice Coulan as director Issuer
For For 1.2) Elect Gerard Mead as director Issuer
For For 1.3) Elect David Dullum as director Issuer
For For 1.4) Elect Terry Lee Brubaker as director Issuer
For For 2) Authorization to sell shares of common stock at
a price below current NAV share. Issuer
For For 3) To ratify the selection of Price Waterhouse
Coopers LLP as the independent registered public accounting
firm for fiscal year ending September 30, 2009 Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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American Capital, Ltd. 19-Feb-09 02503Y103 ACAS
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1) Authorization to sell shares of ACAS common stock below
the net asset value per share. Issuer
For For 2) In their [the board of directors'] discretion on any matter
that may properly come before the meeting or any adjournment
of such meeting. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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MVC Capital, Inc. 14-Apr-09 553829-102 MVC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Emilio Dominianni as director Issuer
For For 1.2) Elect Gerald Hellerman as director Issuer
For For 1.3) Elect Robert Knapp as director Issuer
For For 1.4) Elect William Taylor as director Issuer
For For 1.5) Elect Warren Holtsberg as director Issuer
For For 1.6) Elect Michael Tokarz as director Issuer
For For 2) Approve an amended & restated investment advisory &
management agreement with TTG Advisers. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Ares Capital 4-May-09 04010L-103 ARCC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Gregory Penske as director Issuer
For For 1.2) Elect Robert Rosen as director Issuer
For For 1.3) Elect Bennett Rosenthal as director Issuer
For For 2) Ratify KPMG LLP as the independent registered public
accounting firm for the fiscal year 2009. Issuer
For For 3) Authorize the company to sell or issue shares of
common stock at a price below its then-current NAV
per share. Issuer
For For 4) Authorize the company to sell or, otherwise,
issue warrants or securities to subscribe for or securities
convertible into shares of common stock -- not exceeding 25%
of its then outstanding common stock, at an exercise or
conversion price that, at date of issuance, will not be less
than the greater on a per-share basis of the market value of
its common stock & NAV. Issuer
Against Against 5) Ratify declassification of board of directors &
annual election of all company directors. Shareholder
COMPANY NAME MEETING DATE CUSIP TICKER
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Highland Distressed Opportunites, Inc. 9-Apr-09 430067-108 HCD
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1) Approve an agreement & plan of merger & liquidation. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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NGP Capital Resources 13-May-09 H27013-103 NGPC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Did Not Vote N/A 1.1) Elect David Albin as director for term ending 2012 Issuer
Did Not Vote N/A 1.2) Elect Lon Kile as director for term ending 2012 Issuer
Did Not Vote N/A 2) Authorize the company to offer and issue warrants Issuer
exercisable for, rights to subscribe for, and
preferred stock and debt convertible into, shares of
common stock of the company (not to exceed 25% of
then-outstanding number of common shares).
COMPANY NAME MEETING DATE CUSIP TICKER
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Allied Capital 13-May-09 01903Q-108 ALD
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Ann Torre Bates as director Issuer
For For 1.2) Elect Edward Mathias as director Issuer
For For 1.3) Elect Alex Pollack as director Issuer
For For 1.4) Elect John Scheurer as director Issuer
For For 2) Ratify the selection of KPMG LLP as the independent
registered public accounting firm for the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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BlackRock Kelso Capital 18-May-09 092533-108 BKCC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect William Mayer as director Issuer
For For 1.2) Elect Francois de Saint Phalle as director Issuer
For For 2) Authorize flexibility for the company, with approval of
the Board, to sell shares of its common stock at a price
below, but no more than 5% below, the company's then current
net asset value per share subject to certain limitations Issuer
For For 2 Ratify the selection of Grant Thornton LLP as the
independent registered public accounting firm for the
fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Compass Diversified Holdings 19-May-09 20451Q-104 CODI
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect C. Sean Day as director Issuer
Echo Vote -- For For 1.2) Elect Eugene Ewing as director Issuer
Echo Vote -- For For 3) Ratify the selection of Deloitte & Touche LLP as the
independent registered public accounting firm for the
fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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State Street 20-May-09 857477-103 STT
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect K. Burnes as director Issuer
For For 1.2) Elect P. Coym as director Issuer
For For 1.3) Elect P. De Saint-Aignan as director Issuer
For For 1.4) Elect A. Fawcett as director Issuer
For For 1.5) Elect D. Gruber as director Issuer
For For 1.6) Elect L. Hill as director Issuer
For For 1.7) Elect R. Kaplan as director Issuer
For For 1.8) Elect C. Lamantia as director Issuer
For For 1.9) Elect R. Logue as director Issuer
For For 1.10) Elect C. Lamantia as director Issuer
For For 1.11) Elect R. Sergel as director Issuer
For For 1.12) Elect R. Skates as director Issuer
For For 1.13) Elect G. Summe as director Issuer
For For 1.14) Elect R. Weissman as director Issuer
For For 2) Approve the board's proposal to amend articles of
organization & bylaws to adopt a majority vote standard for
uncontested elections of directors. Issuer
For For 3) Approve the board's proposal to amend & restate
2006 equity incentive plan to increase by 17m the maximum
number of shares that may be delivered in satisfaction of
awards under the plan. Issuer
For For 4) Annually hold a shareholder vote on an advisory
resolution on the compensation of executive officers. Issuer
For For 5) Ratify the selection of Ernst & Young LLP as the
independent registered public accounting firm for the
fiscal year 2009. Issuer
Against Against 6) Require annual board certification that the
corporation has paid no fees or equity to its audit firm
for any services other than audit activity as required by
State & Federal law Shareholder
COMPANY NAME MEETING DATE CUSIP TICKER
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NorthStar Realty Financial 21-May-09 66704R-100 NRF
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect C. Preston Butcher as director Issuer
Echo Vote -- For For 1.2) Elect David Hamamoto as director Issuer
Echo Vote -- For For 1.3) Elect Judith Hannaway as director Issuer
Echo Vote -- For For 1.4) Elect Wesley D. Minami as director Issuer
Echo Vote -- For For 1.5) Elect Louis Paglia as director Issuer
Echo Vote -- For For 1.6) Elect Frank Sica as director Issuer
Echo Vote -- For For 2) Ratify the selection of Grant Thornton LLP as
the independent registered public accounting firm
for the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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MFA Financial 21-May-09 55272X-102 MFA
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Michael Dahir as director Issuer
For For 1.2) Elect George Krauss as director Issuer
For For 2) Ratify the selection of Ernst & Young LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Highland Distressed Opportunites, Inc. 27-May-09 430067-108 HCD
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1) Approve an Agreement and Plan of Merger and
Liquidation among Highland Distressed Opportunities, Inc.
(the "Acquired Fund"), Highland Credit Strategies Fund (the
"Acquiring Fund") and HCF Acquisition LLC, a wholly owned
subsidiary of the Acquiring Fund ("Merger Sub") Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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iSTAR Financial 27-May-09 45031U-101 SFI
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Glenn August as director Issuer
Echo Vote -- For For 1.2) Elect Robert Holman, Jr. as director Issuer
Echo Vote -- For For 1.3) Elect Robin Josephs as director Issuer
Echo Vote -- For For 1.4) Elect John McDonald as director Issuer
Echo Vote -- For For 1.5) Elect George Puskar as director Issuer
Echo Vote -- For For 1.6) Elect Dale Anne Reiss as director Issuer
Echo Vote -- For For 1.7) Elect Jay Sugarman as director Issuer
Echo Vote -- For For 1.8) Elect Jeffrey Weber as director Issuer
Echo Vote -- For For 2) Approve 2009 Long-Term Incentive Plan Issuer
Echo Vote -- For For 3) Approve performance-based retention reward for
chairman & CEO Issuer
Echo Vote -- For For 4) Ratify the selection of PricewaterhouseCoopers
LLP as the independent registered public accounting
firm for the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Fidelity National Financial, Inc. 28-May-09 31620R-105 FNF
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Frank Willey as director Issuer
For For 1.2) Elect Willie Davis as director Issuer
For For 2) Ratify the selection of KPMG LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Annaly Capital Management 29-May-09 035710-409 NLY
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect W. Denahan-Norris as director Issuer
For For 1.2) Elect Michael Haylon as director Issuer
For For 1.3) Elect Donnell Segalas as director Issuer
For For 2) Ratify the selection of Deloitte & Touche LLP as
the independent registered public accounting firm for
the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Hercules Technology Growth
Capital, Inc. 3-Jun-09 427096-508 HTGC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Allyn Woodward, Jr. as director Issuer
Echo Vote -- For For 2) Ratify the selection of Ernst & Young LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
Echo Vote -- For For 3) Authorize the company to sell or otherwise issue
up to 20% of its outstanding common stock at a price
below the company's then-current net asset value ("NAV")
per share Issuer
Echo Vote -- For For 4) Authorize the company to offer and issue debt
with warrants or debt convertible into shares of its
common stock at an exercise or conversion price that,
at the time such warrants or convertible debt are issued,
will not be less than the fair market value per share but
may be below NAV Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Medallion Financial 5-Jun-09 583928-106 TAXI
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Stanley Kreitman as director Issuer
Echo Vote -- For For 1.2) Elect Frederick Menowitz as director Issuer
Echo Vote -- For For 1.3) Elect David Rudnick as director Issuer
Echo Vote -- For For 2) Ratify the selection of Weiser LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
Echo Vote -- For For 3) Approve overall executive pay-for-performance
compensation policies & procedures employed by the company Issuer
Echo Vote -- For For 4) Approve 2009 employee restricted stock plan Issuer
Echo Vote -- For For 5) Approve Amended & Restated 2006 Non-Employee
Director Stock Option Plan Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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American Capital, Ltd. 11-Jun-09 02503Y-103 ACAS
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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For For 1.1) Elect Mary Baskin as director Issuer
For For 1.2) Elect Neil Hahl as director Issuer
For For 1.3) Elect Philip Harper as director Issuer
For For 1.4) Elect John Koskinen as director Issuer
For For 1.5) Elect Stan Lundine as director Issuer
For For 1.6) Elect Kenneth Peterson, Jr. as director Issuer
For For 1.7) Elect Alvin Puryear as director Issuer
For For 1.8) Elect Malon Wilkus as director Issuer
For For 2) Amend certificate of incorporation to affect a
reverse split, subject to certain limitations Issuer
For For 3) Approve the 2009 Stock Option Plan Issuer
For For 4) Ratify the selection of Ernst & Young LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Kohlberg Capital 12-Jun-09 500233-101 KCAP
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Christopher Locovara as director Issuer
Echo Vote -- For For 1.2) Elect Dayl Pearson as director Issuer
Echo Vote -- For For 2) Ratify the selection of Deloitte & Touche LLP as
the independent registered public accounting firm
for the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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MCG Capital 17-Jun-09 58047P-107 MCGC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Jeffrey Bucher as director Issuer
Echo Vote -- For For 1.2) Elect A. Hugh Ewing, III as director Issuer
Echo Vote -- For For 1.3) Elect Kenneth O'Keefe as director Issuer
Echo Vote -- For For 2) Ratify the selection of Ernst & Young LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
Echo Vote -- For For 3) Authorize the company to issue securities to
subscribe to, to convert to, or purchase shares of its
common stock in one or more offerings up to an aggregate of
10m shares Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Patriot Capital Funding, Inc. 17-Jun-09 70335Y-104 PCAP
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Steven Drogin as director Issuer
Echo Vote -- For For 1.2) Elect Mel Melsheimer as director Issuer
Echo Vote -- For For 1.3) Elect Richard Sebastiao as director Issuer
Echo Vote -- For For 2) Ratify the selection of Grant Thornton LLP as
the independent registered public accounting firm
for the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Arbor Realty Trust 18-Jun-09 038923-108 ABR
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Walter Horn as director Issuer
Echo Vote -- For For 1.2) Elect William Helmreich as director Issuer
Echo Vote -- For For 1.3) Elect Karen Edwards as director Issuer
Echo Vote -- For For 2) Amend & restate the company's 2003 Omnibus Stock
Incentive Plan Issuer
Echo Vote -- For For 3) Ratify the selection of Ernst & Young LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Gramercy Capital 18-Jun-09 384871-109 GKK
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Allan Baum as director Issuer
Echo Vote -- For For 1.2) Elect Roger Cozzi as director Issuer
Echo Vote -- For For 2) Ratify the selection of Ernst & Young LLP as the
independent registered public accounting firm for
the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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TICC Capital 18-Jun-09 87244T-109 TICC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1.1) Elect Jonathan Cohen as director Issuer
Echo Vote -- For For 1.2) Elect G. Peter O'Brien as director Issuer
Echo Vote -- For For 2) Ratify the selection of PricewaterhouseCoopers
LLP as the independent registered public accounting
firm for the fiscal year 2009. Issuer
COMPANY NAME MEETING DATE CUSIP TICKER
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Fifth Street Finance Corp. 24-Jun-09 31678A-103 FSC
FOR/AGAINST PROPOSED BY ISSUER OR
VOTE MANAGEMENT PROPOSAL SECURITY HOLDER
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Echo Vote -- For For 1) Authorize the company to sell shares of its
common stock at a price below the then-current NAV
per share for the company. Issuer
SIGNATURES
[See General Instruction F]
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) FIRST TRUST SPECIALTY FINANCE
AND FINANCIAL OPPORTUNITIES FUND
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By (Signature and Title)* /s/ James A. Bowen
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James A. Bowen, President
Date August 31, 2009
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* Print the name and title of each signing officer under his or her signature.