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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
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Period:
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July 1, 2009 - June 30, 2010
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Company Name
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Meeting Date
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CUSIP
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Ticker
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RVS Lasalle International Real Estate Fund
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4/8/2010
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76932W102
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SLS
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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To elect five Directors, one of which to hold office until the 2012 Annual Meeting of Stockholders and four of which to hold office until the 2013 Annual Meeting of Stockholders and all until their successors are elected and qualify.
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Issuer
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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To consider a proposal to ratify the selection of Ernst & Young LLP as the Corporation’s independent registered public accounting firm.
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Issuer
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Company Name
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Meeting Date
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CUSIP
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Ticker
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Tri-Continental Corp.
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4/8/2010
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895436103
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TY
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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To elect five Directors, one of which to hold office until the 2012 Annual Meeting of Stockholders and four of which to hold office until the 2013 Annual Meeting of Stockholders and all until their successors are elected and qualify.
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Issuer
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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To consider a proposal to ratify the selection of Ernst & Young LLP as the Corporation’s independent registered public accounting firm.
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Issuer
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Company Name
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Meeting Date
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CUSIP
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Ticker
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MVC Capital Inc.
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4/27/2010
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553829102
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MVC
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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1. Election of Directors Nominees: 01) Emilio Dominianni 02) Gerald Hellerman 03) Warren Holtsberg 04) Robert Knapp 05) William Taylor 06) Michael Tokarz.
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Issuer
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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To Ratify the selection of Ernst & Young LLP as the Fund's independent registered public accounting firm. Such other business as may properly come before the meeting or any adjournment thereof.
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Issuer
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Company Name
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Meeting Date
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CUSIP
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Ticker
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|||
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Sunamerica Focused Alpha Growth Fund
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4/27/2010
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867037103
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FGF
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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A vote for Election of the following nominees 1-01-Dr. Judith L. Craven, 02-William J. Shea.
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Issuer
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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Against
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To approve a shareholder proposal recommending that the board promptly initiate a self-tender offer under which the fund shall repurchase 50% of its issued shares at a price equivalent to 98% of the net asset value per share.
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Shareholder
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Company Name
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Meeting Date
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CUSIP
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Ticker
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LMP Capital & Income Fund
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4/30/2010
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50208A102
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SCD
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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A vote for election of the following nominees 1-01-Leslie H. Gelb, 02- William R Hutchinson, 03-R.Jay Gerken.
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Issuer
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Company Name
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Meeting Date
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CUSIP
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Ticker
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Blue Chip Value Fund, Inc.
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5/4/2010
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095333100
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BLU
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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1) To elect one Class I director to serve until the Annual Meeting of Stockholders in the year 2013 and until the election and qualification of his successor.
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Issuer
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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2) To ratify the appointment by the Board of Directors of Delotte & Touche LLP as the Fund's independent registered public accounting firm for its fiscal year ending December 31, 2010.
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Issuer
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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3) In their discretion, the proxies are authorized to vote upon such other business as may properly come before the Meeting or any adjournment thereof.
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Issuer
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Company Name
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Meeting Date
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CUSIP
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Ticker
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The Gabelli Global Multimedia Trust, Inc.
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6/8/2010
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36239Q109
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GGT
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Vote
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Management
Recommended Vote
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Proposal
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Propose by issuer or
shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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Against
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1. Western's proposal to elect two nominees to serve as Directors of the Board of Directors of the Fund (the "Board") until the 2013 annual meeting of shareholders: 1) Gregory R. Dube 02) Arthur D. Lipson.
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Shareholder
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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Against
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2. David Massey's proposal that the Board take the necessary steps to declassify the Board so that all Directors are elected on an annual basis. To vote and otherwise represent the undersigned on any other matter that may properly come before the Annual Meeting or any postponements or adjournments thereof.
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Shareholder
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Company Name
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Meeting Date
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CUSIP
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Ticker
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The Gabelli Global Multimedia Trust, Inc.
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6/8/2010
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36239Q109
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GGT
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Vote
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Management Recommended Vote
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Proposal
|
Propose by issuer or
shareholder
|
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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A vote for the election of the following nominees 1-01-Marion J Gabelli, CFA , 02-Thomas E. Bratter.
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Issuer
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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Against
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Shareholder proposal to eliminate the fund's classified board structure.
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Shareholder
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Company Name
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Meeting Date
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CUSIP
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Ticker
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H & Q Healthcare Investors
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6/8/2010
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404052102
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HQH
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|||
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Vote
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Management Recommended Vote
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Proposal
|
Propose by issuer or
shareholder
|
|||
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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A vote for election of the following nominees 1-01-Eric Oddleifson, 02-Oleg M. Pohotsky, 03-William S Rearsdon.
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Issuer
|
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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To ratify the selection of Deloitte & Touche LLP as the independent registered public accountants of the fund for the fiscal year ending September 30, 2010.
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Issuer
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Company Name
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Meeting Date
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CUSIP
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Ticker
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DWS Enhanced Commodity Strategy Fund, Inc.
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6/28/2010
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23338Y100
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GCS
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Vote
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Management Recommended Vote
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Proposal
|
Propose by issuer or
shareholder
|
|||
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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Against
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Western's proposal to elect three nominees to serve as class I Directors of the Board of Directors of the Fund (the "Board") 01) Arthur D. Lipson 02) Richard A. Rappaport 03) William J. Roberts and five nominees to serve as class III Directors of the Board 04) Neil Chelo 05) Matthew S. Crouse 06) Robert H. Daniels 07) Gregory R. Dube 08) Robert A. Wood.
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Shareholder
|
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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The Fund's proposal to consider and vote upon an agreement and plan of reorganization and the transactions it contemplates, including the transfer of all of the assets of the fund to DWS Enhanced Commodity Strategy Fund, a series of DWS Institutional Funds (the "ECS Open-end Fund"), in exchange for shares of the ECS Open-end Fund and the assumption by the ECS Open-end Fund of all the liabilities of the fund and the distribution of such shares, expected to occur on a tax-free basis for federal income tax purposes, to the stockholders of the fund in complete liquidation and termination of the fund.
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Issuer
|
|||
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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Against
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Western's proposal to terminate the Investment Management Agreement between the Fund and Deutsche Investment Management America Inc.
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Shareholder
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Company Name
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Meeting Date
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CUSIP
|
Ticker
|
|||
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DWS Enhanced Commodity Strategy Fund, Inc.
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6/28/2010
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23338Y100
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GCS
|
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Vote
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Management Recommended Vote
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Proposal
|
Propose by issuer or
shareholder
|
|||
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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Directors proposal to elect three nominees to serve as class I Directors of the Board of Directors of the Fund (the "Board") 01) Dawn-Marie Driscoll 02) John W. Ballantine 03) Henry P. Becton, Jr. and five nominees to serve as class III Directors of the Board 04) Rebecca W. Rimel 05) Paul K.Freeman 06) William MCClayton 07) William N. Searcy Jr. 08) Robert H. Wadsworth.
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Issuer
|
|||
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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For
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To consider & vote upon an agreement and plan of reorganization and the transactions it contemplates, including the transfer of all of the assets of DWS Enhanced Commodity Strategy Fund, a series of DWS Institutional Funds (The "ECS Open-end Fund"), all as more fully described in the Proxy Statement.
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Issuer
|
|||
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SPE instructed its nominee to vote the shares beneficially owned by SPE on the record date in the same proportion as the vote of all other holders of such shares.
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Against
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If properly presented at the meeting, a stockholder proposal to terminate the investment management agreement between the fund and Deutsche Investment Management Americas Inc.
|
Shareholder
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