UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
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 number 811-07528
Special Opportunities Fund, Inc.
(Exact name of registrant as specified in charter)
(Exact name of registrant as specified in charter)
615 East Michigan Street
Milwaukee, WI 53202
(Address of principal executive offices) (Zip code)
(Address of principal executive offices) (Zip code)
Andrew Dakos
Bulldog Investors, LLC
Park 80 West
250 Pehle Avenue, Suite 708
Saddle Brook, NJ 07663
(Name and address of agent for service)
(Name and address of agent for service)
Copy to:
Thomas R. Westle, Esq.
Blank Rome LLP
1271 Avenue of the Americas
New York, NY 10020
Registrant's telephone number, including area code: 1-877-607-0414
Date of fiscal year end: December 31, 2020
Date of reporting period: July 1, 2019– June 30, 2020
Item 1. Proxy Voting Record.
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Blackrock Credit Allocation Income Trust | 7/8/2019 | 092508100 | BTZ |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | N/A | 1. DIRECTOR | Shareholder |
Stephen J. Flanagan | |||
Frederic Gabriel | |||
Thomas H. McGlade | |||
Jassen Trenkow | |||
Mirror Vote | N/A | 2. For the Board to consider declassifying the Board so that all directors are elected on an annual basis starting at the next annual meeting of shareholders. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Black Ridge Acquistion Corp. | 7/9/2019 | 09216T107 | BRAC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to August 10, 2019. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
GOLD Proxy | |||
Company Name | Meeting Date | CUSIP | Ticker |
BlackRock Muni New York Intermediate Duration Fund, Inc. | 7/18/2019 | 09255F109 | MNE |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | N/A | 1. DIRECTOR | Shareholder |
David Basile | |||
Stephen J. Flanagan | |||
Frederic Gabriel | |||
Christopher A. Klepps | |||
Thomas H. McGlade | |||
Jassen Trenkow | |||
Mirror vote | N/A | 2. For the Board to consider authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV"). If more than 50% of the Fund's outstanding shares are submitted for tender,the tender offer should be canceled and the Board should take the steps necessary to liquidate or convert the Fund into an open-end mutual fund. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
GOLD Proxy | |||
Company Name | Meeting Date | CUSIP | Ticker |
Blackrock NY Muni Bond Trust | 7/18/2019 | 09249P106 | BQH |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | N/A | 1. DIRECTOR | Shareholder |
Stephen J. Flanagan | |||
Frederic Gabriel | |||
Thomas H. McGlade | |||
Jassen Trenkow | |||
Mirror Vote | N/A | 2. For the Board to consider declassifying the Board so that all directors are elected on an annual basis starting at the next annual meeting of shareholders. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Eaton Vance Municipal Bond Fund | 7/18/2019 | 27827X101 | EIM |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror | For | 1. DIRECTOR | Issuer |
Thomas E. Faust Jr. | |||
Cynthia E. Frost | |||
Scott E. Wennerholm | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Gordon Pointe Acq. | 7/26/2019 | 382788107 | GPAQ |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from July 30, 2019 to October 31, 2019, plus an option for the Company to further extend such date up to three times, each by an additional 30 days | Issuer |
For | For | 2. Trust Amendment: Proposal to amend the Investment Management Trust Agreement, dated as of January 24, 2018, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from July 30, 2019 to October 31, 2019, plus an option for the Company to further extend such date up to three times, each by an additional 30 days. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Blackrock NY Muni Income Qual Tr. | 7/29/2019 | 09249U105 | BSE |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | For | 1. DIRECTOR | Issuer |
Richard E. Cavanagh | |||
Cynthia L. Egan | |||
Robert Fairbairn | |||
Henry Gabbay | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
GOLD Proxy | |||
Company Name | Meeting Date | CUSIP | Ticker |
Apollo Investment Corp. | 8/6/2019 | 03761U502 | AINV |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Elliot Stein, Jr. | |||
Bradley J. Wechsler | |||
James C. Zelter | |||
Mirror vote | For | 2. To ratify the selection of PricewaterhouseCoopers LLP as Apollo Investment Corporation's (the "Company") independent registered public accounting firm for the fiscal year ending March 31, 2020. | Issuer |
Mirror Vote | N/A | 2. For the Board to consider declassifying the Board so that all directors are elected on an annual basis starting at the next annual meeting of shareholders. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Invesco Dynamic Credit Opp Fund | 8/9/2019 | 46132R104 | VTA |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Cynthia Hostetler | |||
Eli Jones | |||
Ann Barnett Stern | |||
Raymond Stickel, Jr. | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Invesco High Income Trust II | 8/9/2019 | 46131F101 | VLT |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Cynthia Hostetler | |||
Eli Jones | |||
Prema Mathai-Davis | |||
Ann Barnett Stern | |||
Raymond Stickel, Jr. | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Invesco Senior Income Trust | 8/9/2019 | 46131H107 | VVR |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Cynthia Hostetler | |||
Eli Jones | |||
Ann Barnett Stern | |||
Raymond Stickel, Jr. | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Simplicity Esports & Gaming Co. | 8/18/2019 | 82887P118 | WINRW |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Approval of an amendment to the Warrant Agreement (the "Warrant Agreement"), by and between Continental Stock Transfer & Trust Company and Simplicity Esports & Gaming Company ("Company"), in order (a) to reduce the exercise price of publicly & privately issued warrants, issued and outstanding under the Warrant Agreement ("Warrants"), and (b) to revise the redemption provisions of the Warrants to provide that the Company may only redeem each Warrant in whole at a price of $0.10 per Warrant upon a minimum of 30 days' written notice of redemption. | Issuer |
For | For | 2. Approval of a proposal to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, we are not authorized to consummate Proposal No. 1. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
NUVEEN CONN QLTY MUNI INC FD | 9/23/2019 | 67060D107 | NTC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Against | For | 1. Approve an Agreement & Plan of Merger pursuant to which Nuveen CT Quality Muni Income Fund (the "Target Fund") will be merged with and into NAMCIF Merger Sub, LLC, a MA LLC and wholly-owned subsidiary of Nuveen AMT-Free Muni Credit Income Fund (the "Acquiring Fund"), with common shares of the Target Fund being converted into newly issued common shares of the Acquiring Fund and each issued and outstanding Adjustable Rate MuniFund Term Preferred Share ("AMTP Shares") of the Target Fund being converted into a newly issued AMTP Share of the Acquiring fund | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Royce Global Value Trust | 9/24/2019 | 78081T104 | RGT |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Patricia W. Chadwick | |||
Arthur S. Mehlman | |||
Michael K. Shields | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Gold Proxy | |||
Company Name | Meeting Date | CUSIP | Ticker |
Neuberger Berman High Yield Strategies Fund | 10/3/2019 | 64128C106 | NHS |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | Against | 1. DIRECTOR | Shareholder |
Frederic Gabriel | |||
Thomas H. McGlade | |||
Arthur D. Lipson | |||
Mirror vote | Against | Proposal 2- Termination of the Management Agreement between the Fund and Neuberger Berman Management LLC, dated August 6, 2010, as amended or novated and all other advisory and management agreements between the Fund and Neuberger Berman Investment Advisers LLC. | Shareholder |
Mirror vote | Against | Proposal 3- For the Board to consider authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV'). If more than 50% of the Fund's outstanding shares are submitted for tender, the tender offer should be cancelled and the Board should take the steps necessary to liquidate or convert the Fund into an open-end mutual fund. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Neuberger Berman NY Muni | 10/3/2019 | 64124K102 | NBO |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Michael J. Cosgrove | |||
Deborah C. McLean | |||
Tom D. Seip | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Pure Acquistion Corp. | 10/10/2019 | 74621Q106 | PACQ |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. The Extension Proposal - To amend the Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from October 17, 2019 to February 21, 2020. | Issuer |
For | For | 2. The Election of Director - To elect Jared S. Sturdivant to serve as the Class A director on the Company's Board of Directors until the 2022 annual meeting of stockholders or until his successor is elected and qualified. | Issuer |
For | For | 3. The Auditor Proposal - To ratify the selection by the Company's audit committee of WithumSmith+Brown, PC to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Issuer |
For | For | 4. The Adjournment Proposal - to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Legacy Acquistion Corp. | 10/22/2019 | 524643103 | LGC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. To amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from November 21, 2019 to December 21, 2019, plus an option for the Company to further extend such date up to five times, initially to January 21, 2020 and thereafter by additional 30 day periods each to May 20, 2020 (the "Extended Date"), a copy of which is attached as Exhibit A to the proxy statement and as more fully described therein. | Issuer |
For | For | 2. To amend the Company's investment management trust agreement, dated as of November 16, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination from November 21, 2019 to the Extended Date, a copy of which is attached as Exhibit B to the proxy statement and as more fully described therein. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Social Capital Hedosophia | 10/23/2019 | G8250R103 | IPOA |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. The BCA Proposal: To approve by ordinary resolution and adopt the Agreement and Plan of Merger, dated as of July 9, 2019, as amended on October 2, 2019 (the "Merger Agreement"), by and among SCH, Vieco 10 Limited, a company limited by shares under the laws of the British Virgin Islands ("V10"), Vieco USA, Inc., a Delaware corporation and wholly owned subsidiary of V10 ("Vieco US"). | Issuer |
For | For | 2. The Domestication Proposal: To approve by special resolution, the change of SCH's jurisdiction of incorporation by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication" and, together with the Mergers, the "Business Combination"). To approve the following material differences between SCH's Amended and Restated Memorandum and Articles of Association. | Issuer |
For | For | 3. Organizational Documents Proposal A: To authorize the change in the authorized capital stock of SCH from 500,000,000 Class A ordinary shares, par value $0.0001 per share, 50,000,000 Class B ordinary shares, par value $0.0001 per share, and 5,000,000 preferred shares, par value $0.0001 per share, to 700,000,000 shares of common stock, par value $0.0001 per share, of VGH, Inc. (the "VGH, Inc. common stock") and 10,000,000 shares of preferred stock, par value $0.0001 per share, of VGH, Inc. (the "VGH, Inc. preferred stock"). | Issuer |
For | For | 4. Organizational Documents Proposal B: To authorize the board of directors of VGH, Inc. (the "Board") to issue any or all shares of VGH, Inc. preferred stock in one or more series, with such terms and conditions as may be expressly determined by the Board and as may be permitted by the DGCL.5) | Issuer |
For | For | 5. Organizational Documents Proposal C: To provide that certain provisions of the certificate of incorporation of VGH, Inc. will be subject to the Stockholders' Agreement and certain provisions of the bylaws of VGH, Inc. will be subject to the Stockholders' Agreement and the Registration Rights Agreement. | Issuer |
For | For | 6. Organizational Documents Proposal D: To authorize all other changes in connection with the replacement of Cayman Constitutional Documents with the Proposed Certificate of Incorporation and Proposed Bylaws as | Issuer |
For | For | 7. Director Election Proposal: To approve by ordinary resolution, the election of eight directors who, upon consummation of the Business Combination, will be the directors of VGH, Inc. | Issuer |
For | For | 8. The Stock Issuance Proposal: To approve by ordinary resolution, for the purposes of complying with the applicable provisions of Section 312.03 of the New York Stock Exchange's Listed Company Manual, the issuance of shares of VGH, Inc. common stock to (1) Vieco US pursuant to the Merger Agreement and (2) Chamath Palihapitiya, SCH's Chief Executive Officer and Chairman of its board of directors, and Vieco US, in each case, if applicable. | Issuer |
For | For | 9. The Incentive Award Plan Proposal: To approve by ordinary resolution, the VGH, Inc. 2019 Incentive Award Plan. | Issuer |
For | For | 10. The Repurchase Proposal: To approve by ordinary resolution, the repurchase, at Vieco US's election, of up to 20,000,000 shares of VGH, Inc. common stock from Vieco US at a price of $10.00 per share with cash in an aggregate amount equal to the lesser of $200.0 million and the amount (if any) by which the Available Cash (as defined in the accompanying proxy statement/prospectus) exceeds $500.0 million at the Closing (as defined in the accompanying proxy statement/ prospectus). | Issuer |
For | For | 11. The Adjournment Proposal: To approve the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the extraordinary general meeting. | Issuer |
For | For | 11A. Shareholder Certification: I hereby certify that I am not acting in concert, or as a "group" (as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended), with any other shareholders with respect to the ordinary shares of SCH owned by me in connection with the proposed Business Combination. (For = I am not, Against = I am) | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
NUVEEN CONN QLTY MUNI INC FD | 10/25/2019 | 67060D107 | NTC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Approve an Agreement & Plan of Merger pursuant to which Nuveen CT Quality Muni Income Fund (the "Target Fund") will be merged with and into NAMCIF Merger Sub, LLC, a MA LLC and wholly-owned subsidiary of Nuveen AMT-Free Muni Credit Income Fund (the "Acquiring Fund"), with common shares of the Target Fund being converted into newly issued common shares of the Acquiring Fund and each issued and outstanding Adjustable Rate MuniFund Term Preferred Share ("AMTP Shares") of the Target Fund being converted into a newly issued AMTP Share of the Acquiring fund | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Western Asset GBL high Income | 10/25/2019 | 95766B109 | EHI |
Vote | Shareholder Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Shareholder |
David Basile | |||
Frederic Gabriel | |||
For | For | 2. For the board to consider declassifying the board so that all directors are elected on an annual basis starting at the next annual meeting of stockholders. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
The Swiss Helvetia Fund, Inc. | 10/31/2019 | 870875101 | SWZ |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Moritz A. Sell | |||
Richard Dayan | |||
For | For | 2. To approve the proposed Investment Advisory Agreement between the Fund and Bulldog Investors, LLC. NOTE: Proposal 2 will be implemented by the Fund, if approved by stockholders, but is contingent on stockholder approval of Proposal 3 and Proposal 4a. | Issuer |
For | For | 3. To approve the proposed Investment Advisory Agreement between the Fund and Bulldog Investors, LLC. NOTE: Proposal 2 will be implemented by the Fund, if approved by stockholders, but is contingent on stockholder approval of Proposal 3 and Proposal 4a. | Issuer |
For | For | 4A. To approve the proposed Investment Advisory Agreement between the Fund and Bulldog Investors, LLC. NOTE: Proposal 2 will be implemented by the Fund, if approved by stockholders, but is contingent on stockholder approval of Proposal 3 and Proposal 4a. | Issuer |
For | For | 4B. To approve the proposed Investment Advisory Agreement between the Fund and Bulldog Investors, LLC. NOTE: Proposal 2 will be implemented by the Fund, if approved by stockholders, but is contingent on stockholder approval of Proposal 3 and Proposal 4a. | Issuer |
For | For | 4C. To approve amendments to certain of the Fund's fundamental investment restrictions: To permit the Fund to make loans subject to approval by the Fund's Board of Directors. | Issuer |
For | For | 4D. To approve amendments to certain of the Fund's fundamental investment restrictions: To permit the Fund to make loans subject to approval by the Fund's Board of Directors. | Issuer |
For | For | 4E. To approve amendments to certain of the Fund's fundamental investment restrictions: To permit the Fund to make loans subject to approval by the Fund's Board of Directors. | Issuer |
For | For | 5. To ratify the selection by the Fund's Board of Directors of Tait, Weller & Baker, LLP as the Fund's independent registered public accounting firm for the year ending December 31, 2019. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Sentinel Energy Services | 11/6/2019 | 81728P105 | STNL |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. To amend the Company's certificate of incorporation ("charter") to extend the date by which Company has to consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination, involving the Company and one or more businesses, which we refer to as a "business combination" from November 7, 2019 to May 31, 2020 (or August 31, 2020 if we have executed a definitive agreement or binding term sheet for an initial business combination by May 31, 2020) (the "Extension Amendment Proposal"). | Issuer |
For | For | 2. To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal"). | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Boulder Growth & Income Fd | 11/13/2019 | 101507101 | BIF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
mirror vote | For | 1. Directors: 01. Dr. Dean L. jacobson, 02. Stephen C. Miller | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Japan Smaller Capitalization | 11/26/2019 | 47109U104 | JOF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
mirror vote | For | 1. Directors: 01. E Han Kim, 02. Marcia l. MacHarg | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Leisure Acquistion | 11/26/2019 | 52539T107 | LACQ |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension Amendment: Proposal to amend the Company's Second Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from December 5, 2019 to April 5, 2020. | Issuer |
For | For | 2. Trust Amendment: Proposal to amend the Company's investment management trust agreement, dated December 1, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination by April 5, 2020. | Issuer |
For | For | 3. DIRECTOR | Issuer |
Steven M. Rittvo | |||
David L. Weinstein | |||
For | For | 4. Auditor Proposal: Proposal to ratify the selection by our Audit Committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Issuer |
For | For | 5. Adjournment Proposal: Proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
LF Capital Acquistion | 12/3/2019 | 50200K108 | LFAC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Directors: 1. James Erwin, 2. Karen Wendel | Issuer |
For | For | 2. Ratification of the selection by the Audit Committee of RSM US LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
SABA Proxy*** | |||
Company Name | Meeting Date | CUSIP | Ticker |
Nuveen Ohio Qual Income | 12/5/2019 | 670980101 | NUO |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
David Basile | |||
Peter Borish | |||
Charles Clarvit | |||
For | For | 2. For the Board to consider declassifying the Board so that all trustees are elected on an annual basis starting at the next annual meeting of shareholders. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Phunware, Inc | 12/5/2019 | 71948P100 | PHUN |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Withhold all | For | 1. Directors: 01.Keith Cowan, 02. Eric Manlunas | Issuer |
Against | For | 2. Ratify the selection by the Audit Committee of the Board of Marcum LLP as the independent registered public accounting firm of the Company for its fiscal year ending December 31, 2019 | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Boxwood Merger Corp. | 12/12/2019 | 10319T101 | BWMC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. The Business Combination Proposal: To approve and adopt the unit purchase agreement, dated as of August 12, 2019 ("Purchase Agreement"), by and among Boxwood Merger Corp. ("Boxwood" or the "Company"), Atlas TC Holdings LLC, ("Holdings"), Atlas TC Buyer LLC, a wholly-owned subsidiary of Holdings and a Delaware limited liability company ("Buyer"), Atlas Intermediate Holdings LLC, a Delaware limited liability company ("Atlas Intermediate"), and Atlas Technical Consultants Holdings LP, a Delaware limited partnership (the "Seller"). | Issuer |
For | For | 1A. Stockholder Certification: I hereby certify that I am not acting in concert, or as a "group" (as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended), with any other stockholder with respect to the shares of Class A common stock, par value $0.0001 per share, of Boxwood ("Class A common stock") owned by me in connection with the business combination. | Issuer |
For | For | 2. The Charter Amendment Proposal: To approve and adopt, assuming the Business Combination Proposal is approved and adopted, the second amended and restated certificate of incorporation of the Company (the "Proposed Charter"), which, if approved, would take effect upon the closing of the business combination (the "Closing"). | Issuer |
For | For | 3. The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal A: authorize an additional 200,000,000 shares of common stock. | Issuer |
For | For | 4. The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal B: change the stockholder vote required to amend certain provisions of the Proposed Charter and the Company's bylaws. | Issuer |
For | For | 5. The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal C: clarify that the current exclusive forum provision in the Charter adopting Delaware as the exclusive forum for certain stockholder litigation does not apply to claims. | Issuer |
For | For | 6. The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal D: provide that certain amendments to and actions under the Proposed Charter are subject to the director nomination agreement to be entered into by and among Boxwood and BCP. | Issuer |
For | For | 7. The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company ("Charter") as reflected in the Proposed Charter, ("advisory charter proposals"): Advisory Charter Proposal E: To revise the existing waiver of the corporate opportunity doctrine. | Issuer |
For | For | 8. The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company ("Charter") as reflected in the Proposed Charter, ("advisory charter proposals"): Advisory Charter Proposal F: provide for certain additional changes, including, among other things, (i) changing the post-business combination company's corporate name and (ii) removing certain provisions related to our status as a blank check company. | Issuer |
For | For | 9. The Nasdaq Proposal: To approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for the purposes of complying with the applicable listing rules of The Nasdaq Stock Market ("Nasdaq"). | Issuer |
For | For | 10. DIRECTOR | |
L. Joe Boyer | |||
Joe Reece | |||
Daniel G. Weiss | |||
R. Foster Duncan | |||
Stephen M. Kadenacy | |||
Duncan Murdoch | |||
George P. Bevan | Issuer | ||
For | For | 11. The Incentive Plan Proposal: To approve and adopt, assuming the condition precedent proposals are approved and adopted, the Atlas Technical Consultants, Inc. 2019 Omnibus Incentive Plan. | Issuer |
For | For | 12. The Adjournment Proposal: To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the condition precedent proposals. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
OHA Investment Corp. | 12/12/2019 | 67091U102 | OHAI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. To approve the merger of Storm Acquisition Sub Inc., a wholly owned subsidiary of Portman Ridge Finance Corporation ("PTMN"), with and into OHA Investment Corporation ("OHAI") (the "Merger Proposal"), after which OHAI will merge immediately with and into PTMN. | Issuer |
Mirror vote | For | 2. To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are not sufficient votes at the time of the Special Meeting to approve the Merger Proposal. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
SABA Proxy*** | |||
Company Name | Meeting Date | CUSIP | Ticker |
AMCI Acquistion Corp. | 12/16/2019 | 00165R101 | AMCI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Jason Grant | |||
For | For | 2. Ratification of the selection by the audit committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
SABA Proxy*** | |||
Company Name | Meeting Date | CUSIP | Ticker |
CF Finance Acquistion | 12/18/2019 | 12528N107 | CFFA |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Steven Bisgay | |||
Anshu Jain | |||
Robert G. Sharp | |||
For | For | 2. Ratification of independent registered public accounting firm. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Mexico Equity & Income Fund | 12/19/2019 | 592834105 | MXE |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. Directors Class III: 1A.Glenn Goodstein, 1B. Gerald Hellerman | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Allegro Merger Corp. | 12/23/2019 | 01749N103 | ALGR |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension of Corporate Life: Amend the Company's amended and restated certificate of Incorporation to extend the date that the Company has to consummate a business combination to March 31, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Tiberius Acquistion | 12/23/2019 | 88633A107 | TIBR |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
C. Allen Bradley | |||
Senator E. B. Nelson | |||
John W. Hayden | |||
Michael Millhouse | |||
For | For | 2. Ratification of the selection by the Audit committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Albertson Acquisition | 12/31/2019 | G35006108 | ALAC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Bin (Ben) Wang | |||
Guan Wang | |||
Harry Edelson | |||
John W. Allen | |||
Howard Jiang | |||
For | For | 2. To ratify the appointment of Friedman LLP ("Friedman") as the Company's independent registered public accounting firm to audit the Company's financial statements for the fiscal year ended December 31, 2018 and the fiscal year then ending December 31, 2019. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
HL Acquistion Corp. | 1/2/2020 | G4603R106 | HCCH |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension Amendment: Amend the Company's memorandum and articles of association to allow the Company to extend the date by which the Company has to consummate a business combination to the Extended Date. | Issuer |
For | For | 2. Extended Date: Provided that the amendment to the Company's memorandum and articles of association is approved and subject to the registration of the amended memorandum and articles of association by the Registrar of Corporate Affairs, extend the date by which the Company has to consummate a business combination from January 2, 2020 to March 2, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Gordon Pointe Acquistion | 1/24/2020 | 382788107 | GPAQ |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination from January 29, 2020 to February 29, 2020, plus an option for the Company to further extend such date for an additional 30 days. | Issuer |
For | For | 2. Trust Amendment: Proposal to amend the Investment Management Trust Agreement, dated as of January 24, 2018, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from January 29, 2020 to February 29, 2020, plus an option for the Company to further extend such date for an additional 30 days. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Alcentra Capital | 1/29/2020 | 01374T102 | ABDC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote via legal proxy | For | 1. To approve the merger of a wholly-owned subsidiary of Crescent Capital BDC, Inc. with and into the Company, as contemplated by the Agreement and Plan of Merger, dated August 12, 2019, as amended, by and among Crescent Capital BDC, Inc., Atlantis Acquisition Sub, Inc., the Company and Crescent Cap Advisors, LLC ("Proposal 1"). | Issuer |
Mirror vote via legal proxy | For | 2. To approve the adjournment of the Special Meeting to another time and place to permit further solicitation of proxies, if necessary or appropriate, to obtain additional proxies if there are not sufficient votes to approve Proposal 1. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Forum Merger II Corp | 2/7/2020 | 34986F103 | FMCI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. The Extension Amendment Proposal - amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses from February 7, 2020 to June 10, 2020 or such earlier date as determined by the Company's board of directors in its sole discretion (the "Extension Amendment Proposal"). | Issuer |
For | For | 2. DIRECTOR | Issuer |
Neil Goldberg | |||
Richard Katzman | |||
Steven Berns | |||
For | For | 3. The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal"). | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
JH Tax-ADV Shareholder Yield | 2/8/2020 | 41013P749 | HTY |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | For | 1. DIRECTOR | Issuer |
James R. Boyle | |||
William H. Cunningham | |||
Grace K. Fey | |||
Hassell H. McClellan | |||
Gregory A. Russo | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Mudrick Capital Acquisiton | 2/10/2020 | 624745105 | MUDS |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Approval of an amendment to the Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") for an additional six months, from February 12, 2020 (the "Current Termination Date") to August 12, 2020 (the "Extended Termination Date"). | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
HL Acquistion Corp. | 3/2/2020 | G4603R106 | HCCH |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension Amendment Proposal: To extend the date by which the Company has to consummate a business combination from March 2, 2020 to July 2, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Aberdeen Emer Mkts Equity Income | 3/4/2020 | 00301W105 | AEF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. Election of Class III Director to serve for a term expiring in 2023: Steven N. Rappaport | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
First Tr High Income L/S Fund | 3/9/2020 | 33738E109 | FSD |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
01. Robert F. Keith | |||
Mirror vote | For | 2. If properly presented at the Meeting, a shareholder proposal to terminate all investment advisory and management agreements pertaining to the Fund. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Franklin Universal Trust | 3/12/2020 | 355145103 | FT |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | DIRECTOR | Issuer |
1. Harris J. Ashton | |||
Terrence J. Checki | |||
Mary C. Choksi | |||
Edith E. Holiday | |||
Gregory E. Johnson | |||
Rupert H. Johnson, Jr. | |||
J. Michael Luttig | |||
Larry D. Thompson | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Tiberius Acquistion | 3/13/2020 | 88633A107 | TIBR |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
NO VOTE sold shares | For | 1. The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of October 10, 2019, by and among Tiberius Acquisition Corporation, International General Insurance Holdings Ltd., the other parties thereto and, International General Insurance Holdings Ltd., a Bermuda exempted company, and Tiberius Merger Sub, Inc. & to approve transactions contemplated thereby and the performance by Tiberius Acquisition Corporation of its obligations thereunder ("Business Combination"). | Issuer |
NO VOTE sold shares | For | 2. The Incentive Compensation Proposal: To consider and vote upon a proposal to approve the adoption of the 2020 Omnibus Incentive Plan of International General Insurance Holdings Ltd. | Issuer |
NO VOTE sold shares | For | 3. The Share Issuance Proposal: To consider and vote upon a proposal to approve, for purposes of complying with applicable NASDAQ Stock Market LLC listing rules, the issuance of 20% or more of the issued and outstanding shares of common stock of Tiberius Acquisition Corporation in financing transactions in connection with the Business Combination | Issuer |
NO VOTE sold shares | For | 4. The Adjournment Proposal: To consider and vote upon a proposal to adjourn the special meeting of Tiberius stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination. | Issuer |
NO VOTE sold shares | For | A. Intention to Exercise Redemption Rights: If you intend to exercise your redemption rights, please check 'For' box. Checking 'For' box, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the proxy statement/prospectus under the heading "Special Meeting of Tiberius Stockholders - Redemption Rights | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Central Securities Corp. | 3/18/2020 | 155123102 | CET |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
L. Price Blackford | |||
Simms C. Browning | |||
Donald G. Calder | |||
David C. Colander | |||
Jay R. Inglis | |||
Wilmot H. Kidd | |||
Wilmot H. Kidd IV | |||
David M. Poppe | |||
Mirror vote | For | 2. Ratification of the appointment of KPMG LLP as independent registered accounting firm for 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Tiberius Acq. Corp | 3/19/2020 | 88633A107 | TIBR |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
No Vote Shares sold | For | 1. The Extension Amendment Proposal - To amend the amended and restated certificate of incorporation of Tiberius Acquisition Corporation ("Tiberius") to extend the date by which Tiberius has to consummate a business combination from March 20, 2020 to April 20, 2020. | Issuer |
No Vote Shares sold | For | 2. The Adjournment Proposal - To adjourn the special meeting of Tiberius stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
BrandywineGlobal - Global Income OPP | 3/20/2020 | 10537L104 | BWG |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1.1 Election of Director: Andrew Dakos | Shareholder |
For | For | 1.2 Election of Director: Rajeev Das | Shareholder |
For | For | 2. Ratification of PricewaterhouseCoopers LLP ("PwC") as the fund's independent registered public accountants. | Shareholder |
For | For | 3. To conduct a self-tender offer at or close to NAV. | Shareholder |
For | For | 4. The Board should amend the bylaws to provide that in a contested election, a majority of the votes cast in the election of Directors shall be required to elect a Director. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Western Asset Corp Loan Fund | 3/20/2020 | 95790J102 | TLI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1.1 Election of Director: Phillip Goldstein | Shareholder |
For | For | 1.2 Election of Director: Andrew Dakos | Shareholder |
For | For | 1.3 Election of Director: Rajeev Das | Shareholder |
For | For | 2. Ratification of PricewaterhouseCoopers LLP ("PwC") as the fund's independent registered public accountants. | Shareholder |
For | For | 3. The board should amend the bylaws to provide that in a contested election, a majority of the votes cast in the election of directors shall be required to elect a director. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Western Asset High Inc Opp Fd | 3/20/2020 | 95766K109 | HIO |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1.1 Election of Class I Director: Robert D. Agdern | Issuer |
Mirror vote | For | 1.2 Election of Class I Director: Carol L. Colman, CFA | Issuer |
Mirror vote | For | 1.3 Election of Class I Director: Daniel P. Cronin | Issuer |
Mirror vote | For | 2. To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended September 30, 2020. | Issuer |
Mirror vote | Against | 3. A non-binding proposal put forth by Saba Capital Management, L.P. regarding a self-tender offer, if properly presented before the Meeting. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Adams Diversified Equity Fund | 4/9/2020 | 006212104 | ADX |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Enrique R. Arzac | |||
Kenneth J. Dale | |||
Frederic A. Escherich | |||
Roger W. Gale | |||
Lauriann C. Kloppenburg | |||
Kathleen T. McGahran | |||
Craig R. Smith | |||
Mark E. Stoeckle | |||
Mirror vote | For | 2. Ratification of the selection of PricewaterhouseCoopers LLP as independent public auditors. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Adams Natural Resources Fund | 4/9/2020 | 00548F105 | PEO |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Against | For | 1. DIRECTOR | Issuer |
Enrique R. Arzac | |||
Kenneth J. Dale | |||
Frederic A. Escherich | |||
Roger W. Gale | |||
Lauriann C. Kloppenburg | |||
Kathleen T. McGahran | |||
Craig R. Smith | |||
Mark E. Stoeckle | |||
For | For | 2. Ratification of the selection of PricewaterhouseCoopers LLP as independent public auditors. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Graf Industrial Corp | 4/9/2020 | 384278107 | GRAF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
No VOTE | For | 01. Election of Director:Julie J. Levenson | Issuer |
No VOTE | For | 02.Election of Director: Sabrina Mckee | Issuer |
No VOTE | For | 1. Amend (the "Extension Amendment") the Company's second amended and restated certificate of incorporation (the "charter") to extend the date by which the Company has to consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses (a "business combination") from April 18, 2020 to July 31, 2020 (the "Extension," and such date, the "Extended Date") ("the Extension Amendment Proposal"). | Issuer |
No VOTE | For | 3. Approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal"). | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Tottenham Acquistion Corp. | 4/9/2020 | G8959N106 | TOTA |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Jason Ma | |||
Felix Wong | |||
Satoshi Tominaga | |||
Albert Lyu | |||
Estela Kuo | |||
For | For | 2. APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") TWO TIMES FOR AN ADDITIONAL THREE MONTHS EACH TIME FROM MAY 6, 2020. | Issuer |
For | For | 3. APPROVAL OF AN AMENDMENT TO THE COMPANY'S EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. | Issuer |
For | For | 4. RATIFICATION OF THE APPOINTMENT OF FRIEDMAN LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2019. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Eaton Vance Float-Rate Inc Plus | 4/16/2020 | 278284104 | EFF |
Vote | Shareholder Recommended Vote | Proposal | Propose by issuer or shareholder |
For All | For | 1. DIRECTOR | Shareholder |
David Basile | |||
Peter Borish | |||
Charles Clarvit | |||
For | For | 2. For the Board to consider declassifying the Board so that all trustees are elected on an annual basis starting at the next annual meeting of shareholders. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
The Taiwan Fund | 4/21/2020 | 874036106 | TWN |
Vote | Shareholder Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Shareholder |
William C. Kirby | |||
Anthony S. Clark | |||
Thomas G. Kamp | |||
Warren J. Olsen | |||
Shelley E. Rigger | |||
Mirror vote | For | 2. To approve an Agreement of Merger reincorporating the Fund, currently a Delaware corporation, as a Maryland corporation by means of a merger of the Fund into a wholly-owned, newly formed Maryland subsidiary. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
General American Investors | 4/22/2020 | 368802104 | GAM |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Mr. Berens | |||
Mr. Davidson | |||
Ms. Del Villar | |||
Mr. Gordan | |||
Ms. Gotbaum | |||
Ms. Lynch | |||
Mr. Priest | |||
Mirror vote | For | 2. Ratification of the selection of Ernst & Young LLP as auditors. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Cohen & Steers Qlty Inc Realty FD | 4/23/2020 | 19247L106 | RQI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
No vote shares sold | For | 2. DIRECTOR | Issuer |
01 Michael G. Clark | |||
02 Dean A. Junkans | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
THL Credit Senior Loan Fund | 4/24/2020 | 87244R103 | TSLF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
No vote shares sold | For | 2. DIRECTOR | Issuer |
01 Laurie Hesslein | |||
No vote shares sold | For | 1. To approve new advisory agreement between the fund and First Eagle Alternative Credit, LLC (fomally known as THL Credit Advosors, LLC) | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Barings BDC, Inc | 4/30/2020 | 06759L103 | BBDC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1A. Election of Class II Director: Michael Freno | Issuer |
Mirror vote | For | 1B.Election of Class II Director: John A. Switzer | Issuer |
Mirror vote | For | 2. To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Tegna Inc. | 4/30/2020 | 87901J105 | TGNA |
Vote | Shareholder Recommended Vote | Proposal | Propose by issuer or shareholder |
FOR | For | 1. DIRECTOR | Shareholder |
Soohyung Kim | |||
Colleen B. Brown | |||
Ellen McClain Haime | |||
Deborah McDermott | |||
FOR | For | 2. Company's proposal to ratify the appointment of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for fiscal 2020. | Shareholder |
Against | For | 3. Company's proposal of an advisory resolution to approve executive compensation. | Shareholder |
Against | For | 4. Company's proposal to approve the TEGNA 2020 Omnibus Incentive Compensation Plan. | Shareholder |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Crescent Capital BDC | 5/4/2020 | 225655109 | CCAP |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | For | 1A. Election of Class I Director for a two-year term: Kathleen S. Briscoe | Issuer |
Mirror Vote | For | 1B. Election of Class II Director for a three-year term: Michael S. Segal | Issuer |
Mirror Vote | For | 1C. Election of Class II Director for a three-year term: John S. Bowman | Issuer |
Mirror Vote | For | 2. To ratify the selection of Ernst & Young LLP ("E&Y") as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Issuer |
Mirror Vote | For | 3. To consider and vote upon a proposal to allow the Corporation to increase leverage by approving the application to the Corporation of a minimum asset coverage ratio of 150%, pursuant to Section 61(a)(2) of the Investment Company Act of 1940, to become effective the date after the Annual Meeting, which would permit the Corporation to double the maximum amount of leverage that it is currently permitted to incur | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Equus Total Return Inc. | 5/7/2020 | 294766100 | EQS |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | 1. DIRECTOR | Issuer | |
Fraser Atkinson | |||
Kenneth I. Denos | |||
Henry W. Hankinson | |||
John A. Hardy | |||
Robert L. Knauss | |||
Mirror Vote | |||
Mirror Vote | For | 2. To ratify the selection of BDO USA, LLP as the Company's independent registered public accountant for the fiscal year ending December 31, 2020. | Issuer |
Mirror Vote | For | 3. To approve, in a non-binding vote, the compensation paid to the Company's executive officers in 2019, as disclosed pursuant to Item 402 of Regulation S-K, including the Compensation Discussion and Analysis, compensation tables, and narrative discussion. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Griffin Industrial Realty Inc. | 5/7/2020 | 398231100 | GRIF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
FOR | For | 1. Election of Director to serve for a one-year term expiring at the 2021 annual meeting: | Issuer |
FOR | For | David R. Bechtel | |
FOR | For | Edgar M. Cullman, Jr | |
FOR | For | Frederick M. Danziger | |
FOR | For | Gordon F. DuGan | |
FOR | For | Michael S. Gamzon | |
FOR | For | Jonathan P. May | |
FOR | For | Molly North | |
FOR | For | Amy Rose Silverman | |
FOR | For | Albert H. Small, Jr. | |
FOR | For | 2. The ratification of the selection of RSM US LLP as Griffin's independent registered public accountants for fiscal 2020. | Issuer |
Against | For | 3. The approval, on an advisory (non-binding) basis, of the compensation of Griffin's named executive officers as presented in Griffin's Proxy Statement. | Issuer |
Against | For | 4. The approval of an amendment to Griffin's amended and restated certificate of incorporation to impose certain ownership and transfer restrictions. | Issuer |
Against | For | 5. The approval of Griffin's reincorporation as a Maryland corporation, through and including a merger with and into our wholly owned subsidiary. | Issuer |
Against | For | 6. The approval of the Griffin Industrial Realty, Inc. and Griffin Industrial, LLC 2020 Incentive Award Plan. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Source Capital | 5/11/2020 | 836144105 | SOR |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTORS | Issuer |
Atwood | |||
Brown | |||
Lipson | |||
Osborne | |||
Pisano | |||
Purcell | |||
Mirror vote | For | 2A. To approve the amendment or elimination of the fundamental investment restrictions: Commodities and Real Estate | Issuer |
Mirror vote | For | 2B. To approve the amendment or elimination of the fundamental investment restrictions: Senior Securities and Borrowing | Issuer |
Mirror vote | For | 2C. To approve the amendment or elimination of the fundamental investment restrictions: Concentration of Investments | Issuer |
Mirror vote | For | 2D. To approve the amendment or elimination of the fundamental investment restrictions: Making Loans | Issuer |
Mirror vote | For | 2E. To approve the amendment or elimination of the fundamental investment restrictions: Underwriting | Issuer |
Mirror vote | For | 2F. To approve the amendment or elimination of the fundamental investment restrictions: Concentration Limits | Issuer |
Mirror vote | For | 2G. To approve the amendment or elimination of the fundamental investment restrictions: Short Sales and Purchases of Securities on Margin | Issuer |
Mirror vote | For | 2H. To approve the amendment or elimination of the fundamental investment restrictions: Investments in which a Director or Officer is Invested | Issuer |
Mirror vote | For | 2I. To approve the amendment or elimination of the fundamental investment restrictions: Writing and Selling Options | Issuer |
Mirror vote | For | 2J. To approve the amendment or elimination of the fundamental investment restrictions: Investments in Other Investment Companies | Issuer |
Mirror vote | For | 2K. To approve the amendment or elimination of the fundamental investment restrictions: Investments in Securities for Which Market Quotations Are Not Readily Available | Issuer |
Mirror vote | For | 2L. To approve the amendment or elimination of the fundamental investment restrictions: Purchases of Certain Restricted Securities | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
The Howard Hughes Corp | 5/14/2020 | 44267D107 | HHC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Abstain all | For | 1. DIRECTOR | Issuer |
Election of Director: William Ackman | |||
Election of Director: Adam Flatto | |||
Election of Director: Jeffrey Furber | |||
Election of Director: Beth Kaplan | |||
Election of Director: Paul Layne | |||
Election of Director: Allen Model | |||
Election of Director: R. Scot Sellers | |||
Election of Director: Steven Shepsman | |||
Election of Director: Mary Ann Tighe | |||
Against | For | 2. Advisory vote to approve executive compensation (Say-on-Pay) | Issuer |
Against | For | 3. Approval of The Howard Hughes Corporation 2020 Equity Incentive Plan | Issuer |
For | For | 4. Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2020 | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
180 Degree Capital | 5/14/2020 | 68235B109 | TURN |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
No Vote shares sold | For | 1. DIRECTORS | Issuer |
STACY R. BRANDOM | |||
KEVIN M. RENDINO | |||
RICHARD P. SHANLEY | |||
PARKER A. WEIL | |||
DANIEL B. WOLFE | |||
No Vote shares sold | For | 2. To approve an amendment to the Company's restated certificate of incorporation to effect a reverse stock split of the Company's common stock, by a ratio of not less than 1-for-2 and not more than 1-for-4, and a proportionate reduction in the number of authorized shares of common stock, such ratio and the implementation and timing of such Reverse Stock Split to be determined in the discretion of the Board of Directors of the Company. | Issuer |
No Vote shares sold | For | 3. To ratify, confirm and approve the Audit Committee's selection of PricewaterhouseCoopers LLP as the independent registered public accountant for the fiscal year ending December 31, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
AMCI Acquistion Corp. | 5/15/2020 | 00165R101 | AMCI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
No Vote shares sold | For | 1. Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from May 20, 2020 to October 20, 2020 or such earlier date as determined by the board of directors. | Issuer |
No Vote shares sold | For | 2. Adjournment Proposal: Adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Tenzing Acquistion | 5/21/2020 | G8708A116 | TZAC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
NO Vote late mail | For | 1. Amend Tenzing's Amended and Restated Memorandum and Articles of Association ("Articles") to extend the date by which Tenzing has to consummate a business combination from May 26, 2020 (or June 23, 2020 if Tenzing has executed a definitive agreement for a business combination by May 26, 2020) to July 27, 2020 (or Sep. 28, 2020 if Tenzing has executed a definitive agreement for a business combination by July 27, 2020), by amending the Articles to delete existing Regulation 23.2 and replacing it with new Regulation 23.2 (see proxy statement). | Issuer |
NO Vote late mail | For | 2. Adjournment of the Meeting: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve Proposal 1 | |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
RMR Real Estate Income Fund | 5/22/2020 | 76970B101 | RIF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1A. To elect Class I Trustee to our Board (Common Shareholders and Preferred Shareholders, voting together as a single class): John L. Harrington | Issuer |
Mirror vote | For | 2. If properly presented at the meeting, vote on a shareholder proposal to terminate all investment advisory and management agreements with RMR Advisors. (Common Shareholders and Preferred Shareholders, voting together as a single class) | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Longevity Acquistion Corp | 5/22/2020 | G56372132 | LOAC |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension Proposal: Amend Longevity's Amended and Restated Memorandum and Articles of Association to extend the date by Longevity must consummate a business combination to November 30, 2020, by amending the Amended and Restated Memorandum and Articles of Association to delete the existing Regulation 23.2 thereof and replacing it with the new Regulation 23.2 in the form set forth in Annex A of the accompanying proxy statement. | Issuer |
For | For | 2. DIRECTOR | Issuer |
Jun Liu | |||
Pai Liu | |||
For | For | 3. Adjournment Proposal: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Proposal and the Director Proposal. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Aberdeen Japan Equity | 5/27/2020 | 00306JA10 | JEQ |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1A.Election of Class III Director to serve until the 2023 Annual Meeting of Shareholders: Anthony S. Clark | Issuer |
Mirror vote | For | 1B.Election of Class III Director to serve until the 2023 Annual Meeting of Shareholders: Richard J. Herring | Issuer |
Mirror vote | For | 2A.Election of Class II Director to serve until the 2022 Annual Meeting of Shareholders: Martin Gilbert | Issuer |
Mirror vote | For | To amend the Fund's fundamental investment restriction related to borrowing or issuing senior securities. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
THL Credit | 5/28/2020 | 872438106 | TCRD |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | For | 1. To approve the Company's entry into a new investment management agreement between the Company and First Eagle Alternative Credit, LLC, formerly known as THL Credit Advisors LLC (the "Adviser"), that will replace the prior investment management agreement with the Adviser. | Issuer |
Mirror Vote | For | 2. To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies. | |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Hill International | 6/4/2020 | 431466101 | HIL |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Paul J. Evans | |||
James B. Renacci | |||
For | For | 2. Advisory vote to approve the Company's named executive officer compensation | Issuer |
For | For | 3. Ratification of the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for 2020 | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Legacy Acquistion WTS | 6/5/2020 | 524643111 | LGC WS |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. To approve amendments to that certain Warrant Agreement, dated as of November 16, 2017, between the Company and Continental Stock Transfer & Trust Company (the "Warrant Agreement"), which amendments provide, among other things, that subject to the closing of the Business Combination (the "Closing"), each outstanding Public Warrant and each outstanding Private Placement Warrant shall, respectively, no longer be exercisable to purchase one-half share of Class A common stock for $5.75 per half-share (subject to adjustment as provided in the Warrant Agreement) and instead shall be converted solely into the right to receive (i) if, at the Closing, the aggregate gross Cash in the Trust Fund (after all redemptions of shares of Class A common stock in connection with the Business Combination but including any proceeds received by the Company from the PIPE Financing (as defined in the Consent Solicitation Statement) (if consummated)) equals at least $225 million, $1.00 in cash, or (ii) if, at the Closing, the aggregate gross Cash in the Trust Fund (after all redemptions of shares of Class A common stock in connection with the Business Combination but including any proceeds received by the Company from the PIPE Financing (if consummated)) is less than $225 million, $0.50 in cash and 0.055 of a share of common stock of Blue Impact Inc., the post-Business Combination company (the "Warrant Amendments"), a copy of which is attached to the Consent Solicitation Statement as ExhibitA. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
The GDL Fund | 6/5/2020 | 361570104 | GDL |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Clarence A. Davis | |||
For | For | 2. RESOLVED: Request that the Board of Trustees consider authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value. If more than 50% of the Fund's outstanding shares are submitted for tender, the tender offer should be cancelled and the Fund should be liquidated or converted into an open-end mutual fund. | Issuer |
Meeting extended from 5/11/20 | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Forum Merger II Corp | 6/8/2020 | 34986F103 | FMCI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. The Extension Amendment Proposal - amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses from June 10, 2020 to September 30, 2020 (the "Extension Amendment Proposal"). | Issuer |
For | For | 2. The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal"). | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
The New Ireland Fund | 6/9/2020 | 645673104 | IRL |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Sean Hankshaw | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Schultz Special Purpose Acquistion | 6/9/2020 | 80821R109 | SAMA |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. The Charter Amendment: To amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from June 13, 2020 to September 30, 2020. | Issuer |
For | For | 2. DIRECTOR | Issuer |
William G. LaPerch | |||
William T. Allen | |||
For | For | 3. The Auditor Proposal: To ratify the selection by our audit committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020 | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Dividend & Income Fund | 6/10/2020 | 25538A204 | DNI |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
ELECTION OF ONE TRUSTEE: MATTHEW S. CROUSE | |||
For | For | 2. A NON-BINDING PROPOSAL TO CONDUCT A SELF-TENDER OFFER AT OR CLOSE TO NAV | Issuer |
For | For | 3. THE FUND'S INVESTMENT MANAGEMENT AGREEMENT WITH BEXIL SHALL BE TERMINATED UNLESS WITHIN THIRTY DAYS AFTER THE DATE THIS MEETING IS CONCLUDED, THOMAS B. WINMILL RECOMMENDS THAT THE BOARD OF TRUSTEES (1) ELIMINATE THE FUND'S 4.99% SHARE OWNERSHIP LIMITATION, AND (2) REPLACE THE FUND'S 75% VOTE STANDARD IN A CONTESTED ELECTION WITH A PLURALITY STANDARD. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Highland Global Allocation Fund | 6/12/2020 | 43010T104 | HGLB |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | For | 1. DIRECTOR | Issuer |
Dr. Bob Froehlich | |||
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
CF Finance Acquisition | 6/15/2020 | 12528N107 | CFFA |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from June 17, 2020 to September 17, 2020 or such earlier date as determined by the board of directors. | Issuer |
For | For | 2. Adjournment Proposal: Adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Brookfield Property Reit Inc. | 6/17/2020 | 1182X103 | BPYU |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Against ALL | For | 1. Election of Director: Caroline M. Atkinson | Issuer |
Election of Director: Jeffrey M. Blidner | |||
Election of Director: Soon Young Chang | |||
Election of Director: Richard B. Clark | |||
Election of Director: Omar Carneiro da Cunha | |||
Election of Director: Scott R. Cutler | |||
Election of Director: Stephen DeNardo | |||
Election of Director: Louis J. Maroun | |||
Election of Director: A. Douglas McGregor | |||
Election of Director: Lars Rodert | |||
For | For | 2. To ratify the selection of Deloitte & Touche LLP as our independent registered public accounting firm for the year ending December 31, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Atlas Technical Consultants WTS | 6/19/2020 | 049430119 | ATCXW |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
L. Joe Boyer | |||
Brian Ferraioli | |||
For | For | 2. To approve the selection of Grant Thornton as our independent registered public accounting firm to audit our financial statements for the fiscal year ending December 31, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Sutter Rock Capital | 6/19/2020 | 86944Q100 | SSSS |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror Vote | For | 1. DIRECTOR | Issuer |
For | Mark D. Klein | ||
Lisa Westley | |||
Mirror Vote | For | 2. To approve the Sutter Rock Capital Corp. Amended and Restated 2019 Equity Incentive Plan. | Issuer |
Mirror Vote | For | 3. To provide an advisory non-binding vote to approve executive compensation. | Issuer |
Mirror Vote | For | 4. The ratification of the selection of Marcum LLP as the independent registered public accounting firm for Sutter Rock Capital Corp. for the fiscal year ending December 31, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
FS KKR Capital | 6/23/2020 | 302635107 | FSK |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Elizabeth J. Sandler | |||
Michael J. Hagan | |||
Jeffrey K. Harrow | |||
James H. Krop | |||
Mirror vote | For | 2. To approve the proposal to allow the Company in future offerings to sell its shares below net asset value per share in order to provide flexibility for future sales. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Garrison Capital | 6/24/2020 | 366554103 | GARS |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Against | For | 1A. Election of Director: Matthew Westwood | Issuer |
Abstain | For | 2. Ratification of selection of RSM US LLP to serve as our independent registered public accounting firm for fiscal year ending December 31, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Trinity Place Holdings Inc. | 6/25/2020 | 89656D101 | TPHS |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
For | For | 1. DIRECTOR | Issuer |
Alexander C. Matina | |||
Jeffrey B. Citrin | |||
For | For | 2. To ratify the appointment of BDO USA, LLP as the independent registered public accounting firm for the fiscal year ending December 31, 2020. | Issuer |
Name of Fund: | Special Opportunities Fund, Inc. (SPE) | ||
Period: | July 1, 2019 - June 30,2020 | ||
Company Name | Meeting Date | CUSIP | Ticker |
Morgan Stanley India Inv FD | 6/25/2020 | 61745C105 | IIF |
Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
Mirror vote | For | 1. DIRECTOR | Issuer |
Nancy C. Everett | |||
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 and Title)* /s/ Andrew Dakos
Andrew Dakos, President
Date August 12, 2020
* Print the name and title of each signing officer under his or her signature.