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