Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Suro Capital
|
7/7/2021
|
86887Q109
|
SSSS
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Leonard A. Potter
|
|
Mirror Vote
|
For
|
2. To provide an advisory non-binding vote to approve executive compensation
|
Issuer
|
Mirror Vote
|
For
|
3. The ratification of the selection of Marcum LLP as the independent registered public accounting firm for SuRo Capital Corp. for the fiscal year ending December 31, 2021.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Tortoise PWR & Energy Infrastr
|
7/14/2021
|
89147X104
|
TPZ
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhold
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Rand C. Berney
|
|
|
|
Election of Director: Jennifer Paquette
|
|
|
|
2. To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending November 30, 2021.
|
|
Abstain
|
For
|
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Tortoise Energy Independence Fund
|
7/14/2021
|
89148K200
|
NDP
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhold
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Rand C. Berney
|
|
|
|
Election of Director: Jennifer Paquette
|
|
|
|
2. To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending November 30, 2021.
|
|
Abstain
|
For
|
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Empower LTD
|
7/14/2021
|
G3R39W102
|
EMPW
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. Business Combination Proposal - Proposal to adopt the Merger Agreement, dated as of March 11, 2021 (as it may be amended from time to time, the "Merger Agreement") by and among Empower, Empower Merger Sub I,
Inc., a Delaware corporation and subsidiary of Empower ("Merger Sub I"), Empower Merger Sub II, LLC, a Delaware limited liability company and subsidiary of Empower ("Merger Sub II") and Holley Intermediate Holdings, Inc., a Delaware
corporation "Holley"),...(due to space limits,
|
Issuer
|
For
|
For
|
2. Redomestication Proposal - Proposal to approve by special resolution the change of the Company's jurisdiction of incorporation by continuing and 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"). The Redomestication Proposal is conditioned on the
approval of each of the Business Combination ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3A. Authorized Shares - Proposal to amend the Cayman Constitutional Documents to authorize 555,000,000 shares, consisting of 550,000,000 shares of Domestication Common Stock and 5,000,000 shares of New Holley
preferred stock.
|
Issuer
|
For
|
For
|
3B. Exclusive Forum Provision - Proposal to amend the Cayman Constitutional Documents to adopt Delaware as the exclusive forum.
|
Issuer
|
For
|
For
|
3C. Takeovers by Interested Stockholders - Proposal to amend the Cayman Constitutional Documents to allow New Holley to elect not to be governed by Section 203 of the DGCL relating to takeovers by interested
stockholders and, instead, be governed by a provision substantially similar to Section 203 of the DGCL.
|
Issuer
|
For
|
For
|
3D. Adoption of Supermajority Vote Requirement to Amend the Proposed Organizational Documents - Proposal to amend the Cayman Constitutional Documents to require the affirmative vote of at least (i) 66 2/3% to
adopt, amend or repeal Article VI of the Proposed Bylaws (ii) 66.7%, to adopt, amend or repeal amend, alter, repeal or rescind Section 4.2 and Articles V, VII, VIII, X, XI and XII of the Proposed Charter and (iii) 80% to adopt, amend or
repeal Article IX of the Proposed Charter.
|
Issuer
|
For
|
For
|
3E. Removal of Directors - Proposal to amend the Cayman Constitutional Documents to permit the removal of a director only for cause and only by the affirmative vote of the holders of at least a majority of the
outstanding shares entitled to vote at an election of directors.
|
Issuer
|
For
|
For
|
3F. Action by Written Consent of Stockholders - Proposal to amend the Cayman Constitutional Documents to require stockholders to take action at an annual or special meeting and prohibit stockholder action by
written consent in lieu of a meeting.
|
Issuer
|
For
|
For
|
3G. Corporate Opportunities - Proposal to amend the Cayman Constitutional Documents to explicitly waive any expectation of corporate opportunities with respect to New Holley's non- employee directors.
|
Issuer
|
For
|
For
|
3H. Other Changes In Connection With Adoption of the Proposed Organizational Documents - Proposal to amend the Cayman Constitutional Documents to authorize (1) changing the corporate name from "Empower Ltd." to
"Holley Inc.", (2) making New Holley's corporate existence perpetual, and (3) removing certain provisions related to Empower's status as a blank check company that will no longer be applicable upon consummation of the Business
Combination.
|
Issuer
|
For
|
For
|
4. Binding Charter Proposals - Proposal to adopt by special resolution the Proposed Charter in the form attached to the Proxy Statement as Annex C. The Binding Charter Proposal is conditioned on the approval of
each of the Business Combination Proposal, the Redomestication Proposal and the NYSE Proposal. Therefore, if each of the Business Combination Proposal, the Redomestication Proposal and the NYSE Proposal is not approved, the Binding
Charter Proposal will have no effect.
|
Issuer
|
For
|
For
|
5. Director Election Proposal - Proposal to elect seven (7) directors who upon consummation of the Business Combination will be directors of New Holley. The Director Election Proposal is conditioned on the
approval of each of the Business Combination Proposal, the Redomestication Proposal, the NYSE Proposal and the Binding Charter Proposal. Therefore, if each of the Business Combination Proposal, the Redomestication Proposal, the NYSE
Proposal and the Binding Charter Proposal is not approved, the ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
6. The NYSE Proposal - Proposal to approve, for purposes of complying with applicable NYSE listing rules, the issuance of more than 20% of Empower Class A Shares and Empower Class B Shares pursuant to the
Business Combination. The NYSE Proposal is conditioned on the approval of each of the Business Combination Proposal, the Redomestication Proposal and the Binding Charter Proposal. Therefore, if each of the Business Combination Proposal,
the Redomestication Proposal and the ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
7. Incentive Plan Proposal - Proposal to approve the Holley Inc. 2021 Stock Incentive Plan (the "Incentive Plan"), in the form attached to the Proxy Statement as Annex I, including the authorization of the
initial share reserve under the Incentive Plan. The Incentive Plan Proposal is conditioned on the approval of each of the Business Combination Proposal, the Redomestication Proposal, the NYSE Proposal and the Binding Charter Proposal.
Therefore, if each of the Business Combination ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
8. Adjournment Proposal - Proposal to adjourn the Extraordinary Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are insufficient votes for, or
otherwise in connection with, the approval of the Business Combination Proposal, the Redomestication Proposal, the Binding Charter Approval Proposal, the Incentive Plan Proposal, the Director Election Proposal and the NYSE Proposal.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Blue Water Acquisiton
|
8/12/2021
|
09607T104
|
BLUW
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - To approve and adopt the Agreement and Plan of Merger, dated as of April 27, 2021 (as it may be amended or supplemented from time to time, the "Merger Agreement"), by and
among Blue Water, Blue Water Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Blue Water ("Merger Sub") and Clarus Therapeutics, Inc., a Delaware corporation ("Clarus"), and approve the transactions contemplated
thereby, including the merger of Merger Sub with ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): provide that the name of Blue Water shall be changed to "Clarus Therapeutics
Holdings, Inc."
|
Issuer
|
For
|
For
|
3. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): provide for the structure of the board of directors of Blue Water (the "Board")
immediately after the consummation of the Business Combination (the "Closing"), split into three classes of as even size as practicable, Class I, II, and III, each to serve a term of three (3) years, except for the initial term, for which
the Class I directors will be up for reelection at the ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): remove and change certain provisions in the Blue Water Charter related to Blue
Water's status as a special purpose acquisition company.
|
Issuer
|
For
|
For
|
5. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): conditioned upon the approval of Proposals 2 through 4, to approve the proposed
Amended Charter in the form appended to the accompanying proxy statement/prospectus as Annex B, which includes the approval of all other changes in the proposed Amended Charter in connection with replacing the existing Blue Water Charter
with the proposed Amended Charter as of the ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
|
|
6. Vote Board of Directors:
|
|
|
|
Election of Director: John Amory
|
|
|
|
Election of Director: Alex Zisson
|
|
|
|
Election of Director: Elizabeth Cermak
|
|
|
|
Election of Director: Mark Prygocki
|
|
|
|
Election of Director: Robert Dudley
|
|
|
|
Election of Director: Kimberly Murphy
|
|
For
|
For
|
Election of Director: Joseph Hernandez
|
Issuer
|
For
|
For
|
7. The Incentive Plan Proposal - To consider and vote upon a proposal to adopt the Clarus Therapeutics Holdings, Inc. 2021 Stock Option and Incentive Plan, a copy of which is appended to the accompanying proxy
statement/prospectus as Annex C.
|
Issuer
|
For
|
For
|
8. The ESPP Proposal - To consider and vote upon a proposal to adopt the Clarus Therapeutics Holdings, Inc. 2021 Employee Stock Purchase Plan, a copy of which is appended to the accompanying proxy
statement/prospectus as Annex D.
|
Issuer
|
For
|
For
|
9. The Adjournment Proposal - To consider and vote upon a proposal to adjourn this 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 Business Combination Proposal, the Charter Amendment Proposals, the Director Election Proposal, the Incentive Plan Proposal, or the ESPP
Proposal.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Delaware Enhanced Gbl Div & Inc FD
|
8/19/2021
|
246060107
|
DEX
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Jerome D. Abernathy
|
|
|
|
Election of Director: Thomas L. Bennett
|
|
|
|
Election of Director: Ann D. Borowiec
|
|
|
|
Election of Director: Joseph W. Chow
|
|
|
|
Election of Director: H. Jeffrey Dobbs
|
|
|
|
Election of Director: John A. Fry
|
|
|
|
Election of Director: Joseph Harroz, Jr.
|
|
|
|
Election of Director: Sandra A.J. Lawrence
|
|
|
|
Election of Director: Shawn K. Lytle
|
|
|
|
Election of Director: F. A. Sevilla-Sacasa
|
|
|
|
Election of Director: Thomas K. Whitford
|
|
|
|
Election of Director: Christianna Wood
|
|
|
|
Election of Director: Janet L. Yeomans
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Nuveen Diversified Div & Income FD
|
8/19/2021
|
6706EP105
|
JDD
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. To approve an Agreement and Plan of Reorganization pursuant to which Nuveen Diversified Dividend and Income Fund (the "Target Fund") would: (i) transfer substantially all of its assets to Nuveen Multi-Asset
Income Fund ("Acquiring Fund"); (ii) distribute such newly issued common shares of the Acquiring Fund to the common shareholders of the Target Fund; and (iii) liquidate, dissolve and terminate in accordance with applicable law.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Monmouth Real Estate Investment Corp.
|
8/24/2021
|
609720107
|
MNR
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. To approve the merger (the "Merger") of Monmouth Real Estate Investment Corporation ("MNR") with and into EQC Maple Industrial LLC (f/k/a RS18 LLC) ("Merger Sub"), a subsidiary of Equity Commonwealth ("EQC"),
pursuant to the Agreement and Plan of Merger, dated as of May 4, 2021, as it may be amended from time to time (the "Merger Agreement"), by and among MNR, EQC and Merger Sub, and the other transactions contemplated by the Merger Agreement.
|
Issuer
|
For
|
For
|
2. To approve, on a non-binding advisory basis, certain compensation that may be paid or become payable to MNR's five executive officers in connection with the Merger Agreement and the transactions contemplated
thereby.
|
Issuer
|
For
|
For
|
3. To authorize the board of directors of MNR, to approve one or more adjournments of the MNR special meeting to another date, time, place, or format, if necessary or appropriate, including to solicit additional
proxies in favor of the proposal to approve the Merger and the other transactions contemplated by the Merger Agreement.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Vertical Cap Income Fd
|
8/27/2021
|
92535C104
|
VCIF
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhhold
|
For
|
1. To re-elect T. Neil Bathon as a Trustee of the Fund.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
The Swiss Helvetta Fund, Inc.
|
9/9/2021
|
870875101
|
SWZ
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Andrew Dakos
|
|
|
|
Election of Director: Richard Dayan
|
|
|
|
Election of Director: Phillip F. Goldstein
|
|
|
|
Election of Director: Gerald Hellerman
|
|
|
|
Election of Director: Moritz A. Sell
|
|
Mirror vote
|
For
|
2. 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, 2021.
|
Issuer
|
Mirror vote
|
Abstain
|
3. To consider a non-binding proposal by the Fund's Board of Directors to ratify approval by stockholders in 2006 to permit the Fund to leverage up to 10% of the Fund's total assets (including the amount
borrowed).
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Atlas Crest Investment Corp
|
9/14/2021
|
049284102
|
ACIC
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - To consider and vote upon a proposal to adopt and approve the Business Combination Agreement, dated as of February 10, 2021 (as amended and restated on July 29, 2021 and as
it may be further amended and/ or restated from time to time, the "Business Combination Agreement"), by and among Atlas, Archer Aviation Inc., a Delaware corporation ("Archer") and Artemis Acquisition Sub Inc., a Delaware corporation
("Merger Sub"), and the ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2. The Charter Proposal - To consider and vote upon a proposal to approve the proposed amended and restated certificate of incorporation of New Archer in the form attached to the accompanying proxy statement as
Annex B ("New Archer Charter") (Proposal No. 2, referred to as the "Charter Proposal").
|
Issuer
|
For
|
For
|
3A. Governance Proposal A - To increase the total number of shares of all classes of authorized capital stock from (i) 221,000,000, consisting of (a) 220,000,000 shares of common stock, including (1) 200,000,000
shares of Class A common stock, par value $0.0001 per share and (2) 20,000,000 shares of Class B common stock, par value $0.0001 per share, and (b) 1,000,000 shares of preferred stock, par value $0.0001 per share, to (ii) 1,310,000,000,
consisting of (A) 1,300,000,000 shares of common ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3B. Governance Proposal B - To provide that holders of New Archer Class A Shares (as defined below) will be entitled to one vote per share on all matters to be voted upon by the stockholders, and holders of New
Archer Class B Shares (as defined below) will be entitled to ten votes per share on all matters to be voted upon by the stockholders.
|
Issuer
|
For
|
For
|
3C. Governance Proposal C - To provide that any amendment to New Archer's amended and restated bylaws will require the approval of either New Archer's board of directors or the holders of at least 66 2/3% of the
voting power of New Archer's then- outstanding shares of capital stock entitled to vote generally in an election of directors, voting together as a single class.
|
Issuer
|
For
|
For
|
3D. Governance Proposal D - To provide that any amendment to certain provisions of the New Archer Charter will require the approval of the holders of at least 66 2/3% of the voting power of New Archer's
then-outstanding shares of capital stock entitled to vote generally in an election of directors, voting together as a single class.
|
Issuer
|
For
|
For
|
4. The NYSE Proposal - To consider and vote upon a proposal to adopt and approve, for purposes of complying with applicable listing rules of the New York Stock Exchange (the "NYSE"): (i) (A) the issuance of
2,244,780 shares of Class A common stock, par value $0.0001 per share, of New Archer ("New Archer Class A Shares") and securities convertible into or exchangeable for New Archer Class A Shares in connection with the Business Combination,
and (B) the issuance of up to 215,995,224 shares of ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
5. The Equity Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Equity Incentive Plan in the form of Annex F attached to the accompanying proxy statement) (Proposal No. 5,
referred to as the "Equity Incentive Plan Proposal").
|
Issuer
|
For
|
For
|
6. The Employee Stock Purchase Plan Proposal - To consider and vote upon a proposal to approve and adopt the Employee Stock Purchase Plan in the form of Annex G attached to the accompanying proxy statement
(Proposal No. 6, referred to as the "Employee Stock Purchase Plan Proposal").
|
Issuer
|
For
|
For
|
7. The Adjournment Proposal - To consider and vote upon 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, there are not sufficient votes to approve the Business Combination Proposal, the Charter Proposal, the Governance Proposals, the NYSE Proposal, the Equity Incentive Plan Proposal or the
Employee Stock Purchase Plan Proposal.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Soaring Eagle Acquistion Corp.
|
9/14/2021
|
G8354H126
|
SRNG
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - to consider and vote upon a proposal to approve and adopt, by way of ordinary resolution, the agreement and plan of merger, dated as of May 11, 2021 (as may be amended,
restated, supplemented or otherwise modified from time to time, the "Merger Agreement"), by and among SRNG, SEAC Merger Sub Inc., a Delaware corporation and a wholly owned subsidiary of SRNG ("Merger Sub"), and Ginkgo Bioworks, Inc. a
Delaware corporation ("Ginkgo"), pursuant to which, among other ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2. The Domestication Proposal - to consider and vote upon a proposal to approve, by way of special resolution in accordance with Article 49 of SRNG's amended and restated articles of association, assuming the
Business Combination Proposal is approved and adopted, the transfer of SRNG by way of continuation to Delaware pursuant to Part XII of the Companies Act (Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the
State of Delaware and, ...(due to space limits, see
|
Issuer
|
For
|
For
|
3. The Governing Documents Proposal - to consider and vote upon a proposal to approve and adopt, by way of special resolution, assuming the Business Combination Proposal and the Domestication Proposal are
approved and adopted, the proposed certificate of incorporation of SRNG (the "Proposed Charter"), and the proposed bylaws of SRNG (the "Proposed Bylaws"), which together will replace SRNG's amended and restated memorandum and articles of
association, dated October 22, 2020 (the "Current Charter"), ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4A. Advisory Governing Documents Proposal A - Under the Proposed Charter, New Ginkgo will be authorized to issue 16,000,000,000 shares of capital stock, consisting of (i) 15,800,000,000 shares of common stock,
including 10,500,000,000 shares of New Ginkgo Class A common stock, par value $0.0001 per share ("New Ginkgo Class A common stock"), 4,500,000,000 shares of New Ginkgo Class B common stock, par value $0.0001 per share ("New Ginkgo Class B
common stock"), and 800,000,000 shares of New Ginkgo Class C ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4B. Advisory Governing Documents Proposal B - Holders of shares of New Ginkgo Class A common stock will be entitled to cast one vote per share of New Ginkgo Class A common stock on each matter properly submitted
to New Ginkgo's stockholders entitled to vote, holders of shares of New Ginkgo Class B common stock will be entitled to cast 10 votes per share of New Ginkgo Class B common stock on each matter properly submitted to New Ginkgo's
stockholders entitled to vote and holders of shares of New ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4C. Advisory Governing Documents Proposal C - The number of directors constituting the New Ginkgo board of directors (the "New Ginkgo Board") shall be fixed from time to time solely by resolution of the New
Ginkgo Board and the holders of shares of New Ginkgo Class B common stock shall be entitled to nominate and elect one-quarter of the total number of directors of New Ginkgo (the "Class B Directors") for so long as the outstanding number
of shares of Class B common stock continue to represent ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4D. Advisory Governing Documents Proposal D - (i) The number of authorized shares of New Ginkgo Class A common stock, New Ginkgo Class B common stock and New Ginkgo Class C common stock may be increased by the
affirmative vote of the holders of shares representing a majority of the voting power of all of the outstanding shares of capital stock of New Ginkgo entitled to vote thereon, irrespective of the provisions of Section 242(b) (2) of the
DGCL (or any successor provision thereto), (ii) the ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4E. Advisory Governing Documents Proposal E - Authorization of all other changes in the Proposed Charter and the Proposed Bylaws, including (1) adopting Delaware as the exclusive forum for certain stockholder
litigation and the federal district courts of the United States as the exclusive forum for certain other stockholder litigation, in each case unless New Ginkgo expressly consents in writing to the selection of an alternative forum, (2)
electing not to be governed by Section 203 of the DGCL and ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4F. Advisory Governing Documents Proposal F - Authorization of an amendment to the Proposed Charter in order to change the corporate name of "Soaring Eagle Acquisition Corp." to "Ginkgo Bioworks Holdings, Inc."
in connection with the consummation of the Business Combination.
|
Issuer
|
For
|
For
|
5. The Director Election Proposal - For holders of SRNG Class B ordinary shares, to consider and vote upon a proposal to approve, by way of ordinary resolution, assuming the Business Combination Proposal, the
Domestication Proposal and the Governing Documents Proposal are approved and adopted, to elect seven directors to serve on the New Ginkgo Board; provided that as long as the outstanding number of shares of New Ginkgo Class B common stock
continue to represent at least 2% of the ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
6. The Stock Issuance Proposal - to consider and vote upon a proposal to approve, by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents
Proposal and the Director Election Proposal are approved and adopted, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of (x) shares of New Ginkgo Class A common stock pursuant to the terms of the
Merger Agreement and (y) shares of New SRNG Class A common stock ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
7. The Incentive Plan Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents
Proposal, the Director Election Proposal and the Stock Issuance Proposal are approved and adopted, the Ginkgo Bioworks Holdings, Inc. 2021 Incentive Award Plan (the "2021 Plan"), including the authorization of the initial share reserve
under the 2021 Plan (we refer to such proposal as the "Incentive Plan Proposal").
|
Issuer
|
For
|
For
|
8. The ESPP Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution, assuming the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the
Director Election Proposal, the Stock Issuance Proposal and the Incentive Plan Proposal are approved and adopted, the Ginkgo Bioworks Holdings, Inc. 2021 Employee Stock Purchase Plan (the "ESPP"), including the authorization of the
initial share reserve under the ESPP (the "ESPP Proposal").
|
Issuer
|
For
|
For
|
9. The Adjournment Proposal - to consider and vote upon a proposal to approve by way of ordinary resolution the adjournment of 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, any of the Business Combination Proposal, the Domestication Proposal, the Governing Documents Proposal, the Director Election Proposal,
the Stock Issuance Proposal, the Incentive Plan ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Cerberus Telecom Acquistion
|
9/16/2021
|
G2040C104
|
CTAC
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - To consider and vote upon a proposal to approve the business combination described in the proxy statement/prospectus, including (a) adopting the Agreement and Plan of
Merger, dated as of March 12, 2021 (the "Merger Agreement"), by and among Cerberus Telecom Acquisition Corporation ("CTAC"), King Pubco, Inc. ("Pubco"), a Delaware corporation and wholly owned subsidiary of Cerberus Telecom Acquisition
Holdings, LLC (the "Sponsor"), a Delaware limited ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2. The Cayman Merger Proposal - To consider and vote upon, as a special resolution, a proposal to approve the Pubco Plan of Merger attached to the proxy statement/prospectus as Annex 1 and to authorize the
merger of CTAC with and into LLC Merger Sub, with LLC Merger Sub surviving the merger as a wholly owned subsidiary of Pubco.
|
Issuer
|
For
|
For
|
3A. Advisory Organizational Document Proposal A - To provide that Pubco's board of directors will be a classified board of directors with staggered, three-year terms.
|
Issuer
|
For
|
For
|
3B. Advisory Organizational Document Proposal B - To eliminate the ability for any action required or permitted to be taken by Pubco common stockholders to be effected by written consent.
|
Issuer
|
For
|
For
|
3C. Advisory Organizational Document Proposal B - To eliminate the ability for any action required or permitted to be taken by Pubco common stockholders to be effected by written consent.
|
Issuer
|
For
|
For
|
3D. Advisory Organizational Document Proposal D - To provide that the Court of Chancery of the State of Delaware or, if such court does not have subject matter jurisdiction thereof, another state or federal
court located within the State of Delaware, shall be the exclusive forum for certain actions and claims.
|
Issuer
|
For
|
For
|
4. The Incentive Plan Proposal - To consider and vote on a proposal to approve the Pubco 2021 Incentive Award Plan.
|
Issuer
|
For
|
For
|
5. NYSE Proposal - To consider and vote upon a proposal in accordance with the applicable provisions of Section 312.03 of the New York Stock Exchange Listed Company Manual, to issue more than 20% of the issued
and outstanding shares of Pubco Common Stock in connection with the business combination, including, without limitation, the PIPE Investment (as described below).
|
Issuer
|
For
|
For
|
6. The Adjournment Proposal - To consider and vote upon a proposal to 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 the business combination proposal, the Cayman merger proposal, the advisory organizational documents proposals, the incentive plan proposal or the NYSE
proposal.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
RMR Mortgage Trust
|
9/17/2021
|
76970B101
|
RMRM
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. Approval of the issuance of common shares of beneficial interest of RMR Mortgage Trust, in the merger of Tremont Mortgage Trust, a Maryland real estate investment trust, with and into RMR Mortgage Trust, with
RMR Mortgage Trust as the surviving entity, pursuant to the Agreement and Plan of Merger, dated as of April 26, 2021, as it may be amended from time to time, by and between RMR Mortgage Trust and Tremont Mortgage Trust.
|
Issuer
|
|
|
|
|
For
|
For
|
2. Approval of the adjournment of the special meeting of shareholders of RMR Mortgage Trust from time to time, if RMR Mortgage Trust deems it necessary or appropriate, to solicit additional proxies if there are
not sufficient votes to approve such share issuance.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Amplitude Healthcare Acquisition
|
9/22/2021
|
03212A105
|
AMHC
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - to consider and vote upon a proposal to (a) adopt and approve the Business Combination Agreement, dated as of May 5, 2021 (as may be amended, supplemented or otherwise
modified from time to time, the "Business Combination Agreement"), by and among AMHC, Ample Merger Sub, Inc., a Delaware corporation and wholly owned subsidiary of AMHC ("Merger Sub"), and Jasper Therapeutics, Inc., a Delaware corporation
("Jasper"), pursuant to which ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
2. The Charter Amendment Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, a proposed amended and restated certificate of
incorporation (the "Proposed Charter"), which will amend and restate AMHC's current amended and restated certificate of incorporation (the "Current Charter"), and which Proposed Charter will be in effect when duly filed with the Secretary
of State of the State of Delaware in connection with the closing of the Business Combination.
|
Issuer
|
For
|
For
|
3. The Bylaws Amendment Proposal - consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the proposed amended and restated bylaws (the "Proposed
Bylaws"), which will amend and restate AMHC's current bylaws.
|
Issuer
|
For
|
For
|
4A. The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current
Charter: Advisory Charter Proposal A - to change the corporate name of New Jasper to "Jasper Therapeutics, Inc."
|
Issuer
|
For
|
For
|
4BThe Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current Charter:
Advisory Charter Proposal B - to increase AMHC's capitalization so that it will have 490,000,000 authorized shares of voting common stock, 2,000,000 authorized shares of non-voting common stock and 10,000,000 authorized shares of
preferred stock.
|
Issuer
|
For
|
For
|
4C. The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current
Charter: Advisory Charter Proposal C - to provide that the removal of any director be only for cause and by the affirmative vote of at least 66 2/3% of New Jasper's then- outstanding shares of capital stock entitled to vote generally in
the election of directors (provided that as of the three-year ...
|
Issuer
|
For
|
For
|
4D. The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current
Charter: Advisory Charter Proposal D - to provide that certain amendments to provisions of the Proposed Charter will require the approval of at least 66 2/3% of New Jasper's then-outstanding shares of capital stock entitled to vote
generally in the election of directors, voting together as a ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
4E. The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current
Charter: Advisory Charter Proposal E - to provide that amendments to the Proposed Bylaws will require the approval of at least 66 2/3% of New Jasper's then-outstanding shares of capital stock entitled to vote generally in the election of
directors, voting together as a single-class (provided that as ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
4F. The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current
Charter: Advisory Charter Proposal F - to make New Jasper's corporate existence perpetual as opposed to AMHC's corporate existence, which is required to be dissolved and liquidated 24 months following the closing of its initial public
offering, and to remove from the Proposed Charter the various ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
4G. The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current
Charter: Advisory Charter Proposal G - to remove the provision that allows certain stockholders to act by written consent as opposed to holding a stockholders meeting
|
Issuer
|
For
|
For
|
4H. The Advisory Charter Amendment Proposal - consider and vote upon a proposal to approve, on a non-binding advisory basis, the following material differences between the Proposed Charter and the Current
Charter: Advisory Charter Proposal H - to remove the current limitation in place on the corporate opportunity doctrine.
|
Issuer
|
For
|
For
|
5. The Nasdaq Stock Issuance Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable
provisions of Nasdaq Listing Rule 5635, (a) the issuance of up to 27,500,000 newly issued shares of New Jasper Common Stock in the Business Combination, which amount will be determined as described in more detail in the accompanying proxy
statement/prospectus and (b) the PIPE Investment.
|
Issuer
|
|
|
6. Vote Board of Directors:
|
|
|
|
Election of Director: Kurt von Emster
|
|
|
|
Election of Director: Anna French, D.Phil
|
|
|
|
Election of Director: Judith Shizuru, MD, PhD
|
|
|
|
Election of Director: William Lis
|
|
For
|
For
|
Election of Director: Christian W. Nolet
|
Issuer
|
For
|
For
|
7. The Equity Incentive Plan Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the Jasper Therapeutics, Inc. 2021 Equity Incentive
Plan, a copy of which is appended to the accompanying proxy statement/ prospectus as Annex D, which will become effective as of the date immediately preceding the date of the closing of the Business Combination.
|
Issuer
|
For
|
For
|
8. The ESPP Proposal - consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, the Jasper Therapeutics, Inc. 2021 Employee Stock Purchase Plan, a copy of
which is appended to the accompanying proxy statement/prospectus as Annex E, which will become effective as of the date immediately preceding the date of the closing of the Business Combination.
|
Issuer
|
For
|
For
|
9. The Adjournment Proposal - approve 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, there are not sufficient votes to approve the Business Combination Proposal, the Charter Amendment Proposal, the Bylaws Amendment Proposal, the Nasdaq Stock Issuance Proposal, the Director Election Proposal,
the Equity Incentive Plan Proposal or the ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Saba Capital Income & Opp FD
|
9/24/2021
|
78518H103
|
BRW
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Aditya Bindal
|
|
|
|
Election of Director: Karen Caldwell
|
|
|
|
Election of Director: Ketu Desai
|
|
|
|
Election of Director: Kieran Goodwin
|
|
|
|
Election of Director: Thomas Bumbolow
|
|
|
|
Election of Director: Andrew Kellerman
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Royce Value Trust, Inc.
|
9/28/2021
|
780910105
|
RVT
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Election of Directors
|
Issuer
|
|
|
01 Cecile B. Hjarper
|
|
|
|
02 G. Peter O'Brien
|
|
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
MFS Investment Grade Municipal Tr
|
10/7/2021
|
59318B108
|
CXH
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
NO VOTE, Sold.
|
For
|
1. Election of Trustees
|
Issuer
|
|
|
01 John A. Caroselli
|
|
|
|
02 James W. Kilman, Jr.
|
|
|
|
03 Clarence It is, Jr.
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Miller/Howard High Income Equity Fund
|
10/15/2021
|
600379101
|
HIE
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Charles I. Leone
|
|
|
|
Election of Director: Mayra Martinez-Sacco
|
|
|
|
Election of Director: Catherine M. Johnston
|
|
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Alkuri Global Acquistion Corp.
|
10/20/2021
|
66981N103
|
KURI
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination proposal - to consider and vote upon a proposal to approve and adopt the merger agreement, by and among Alkuri, Babylon Holdings Limited, Liberty USA Merger Sub, Inc., and, solely for
purposes of Section 1.08 of the Merger Agreement, each of Alkuri Sponsors LLC and Dr. Ali Parsadoust, pursuant to which, among other things, Merger Sub will merger with and into Alkuri, with Alkuri continuing as the surviving corporation
and a wholly owned subsidiary of Babylon (the "Business Combination").
|
Issuer
|
For
|
For
|
2. The Equity Plans Proposal - to consider and vote upon a proposal to approve the Babylon 2021 Equity Incentive Plan.
|
Issuer
|
For
|
For
|
3. The Adjournment Proposal - to consider and vote upon a proposal to adjourn the special meeting to a later date or dates, if necessary, if the parties are not able to consummate the Business Combination.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
DFP Healthcare Acquisition
|
10/20/2021
|
23343Q100
|
DFPH
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - to consider and vote upon a proposal to approve the Agreement and Plan of Merger, dated as of June 28, 2021 (as it may be amended and/or restated from time to time, the
"Merger Agreement"), by and among DFP, Orion Merger Sub I, Inc., a Delaware corporation and direct, wholly owned subsidiary of DFP ("First Merger Sub"), Orion Merger Sub II, LLC, a Delaware limited liability company and direct, wholly
owned subsidiary of DFP ("Second Merger Sub") and TOI Parent, ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2. Stock Issuance Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable listing rules of
Nasdaq (each, a "Nasdaq Listing Rule"), (i) the issuance of DFP Class A Common Stock, par value $0.0001 per share (the "DFP Class A Common Stock") pursuant to the Merger Agreement and up to 12,500,000 additional Earnout Shares (as defined
herein), as described in more detail in the ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3. The Charter Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Stock Issuance Proposal are approved and adopted, a proposed third amended and
restated certificate of incorporation (the "Proposed Charter") of DFP, which will amend and restate the second amended and restated certificate of incorporation of DFP, dated March 10, 2020, (the "Current Charter"), which Proposed Charter
will be in effect upon the closing of the Business Combination (the "Closing") (the "Charter Amendment Proposal").
|
Issuer
|
For
|
For
|
4A. Advisory Charter Proposal A - to change the number of shares of authorized capital stock to 510,000,000, consisting of 500,000,000 shares of New TOI Common Stock, par value $0.0001 per share ("New TOI Common
Stock") and 10,000,000 shares of preferred stock, par value $0.0001 per share from 100,000,000 shares of DFP Class A Common Stock, 10,000,000 shares of DFP Class B common stock, par value $0.0001 per share (the "DFP Class B Common Stock")
and 1,000,000 shares of preferred stock, par value $0.0001 per share ("Advisory Charter Proposal A").
|
Issuer
|
For
|
For
|
4B. Advisory Charter Proposal B - to make each member of New TOI's board of directors (the "New TOI Board") subject to election at each annual meeting of stockholders (or special meeting in lieu thereof), as
opposed to DFP having three classes of directors, with only one class of directors being elected in each year and each class serving a three-year term ("Advisory Charter Proposal B").
|
Issuer
|
For
|
For
|
4C. Advisory Charter Proposal C - to change the stockholder vote required to amend certain provisions of the Proposed Charter ("Advisory Charter Proposal C").
|
Issuer
|
For
|
For
|
4D. Advisory Charter Proposal D - to change the stockholder vote required to amend the amended and restated bylaws to be adopted by DFP immediately prior to the Closing ("Advisory Charter Proposal D").
|
Issuer
|
For
|
For
|
4E. Advisory Charter Proposal E - to prohibit stockholders form acting by written consent by specifying that any action required or permitted to be taken by stockholders must be effected by a duly called annual
or special meeting and may not be effected by written consent ("Advisory Charter Proposal E").
|
Issuer
|
For
|
For
|
4F. Advisory Charter Proposal F - to renounce any interest or expectancy that New TOI has in, or right to be offered an opportunity to participate in, specified business opportunities that are from time to time
presented to its nonemployee directors (including any non-employee director who serves as one of New TOI's officers in both his or her director and officer capacities) ("Advisory Charter Proposal F").
|
Issuer
|
For
|
For
|
4G. Advisory Charter Proposal G - to amend the exclusive forum provision of the Current Charter to provide that, among other administrative or clarifying revisions, unless New TOI consents in writing to the
selection of an alternative forum, to the fullest extent permitted by law, the sole and exclusive forum for any action asserting a cause of action arising under the Securities Act or any rule or regulation promulgated thereunder (in each
case, as amended) shall be the federal district courts of the United States of America ("Advisory Charter Proposal G").
|
Issuer
|
For
|
For
|
4H. Advisory Charter Proposal H - to provide for certain additional changes, including, among others, (i) changing the post-business combination company's corporate name from "DFP Healthcare Acquisitions Corp."
to "The Oncology Institute, Inc." and making the company's corporate existence perpetual and (ii) removing certain provisions related to DFP's status as a blank check company that will no longer apply upon consummation of the Business
Combination, all of which the DFP board of directors ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
5. The Incentive Plan Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, Stock Issuance Proposal and Charter Proposal are approved and adopted, The Oncology
Institute, Inc. 2021 Incentive Award Plan (the "2021 Plan"), including the authorization of the initial share reserve under the 2021 Plan (the "Incentive Plan Proposal").
|
Issuer
|
For
|
For
|
6. The ESPP Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Stock Issuance Proposal, the Charter Proposal and the Incentive Plan Proposal are approved
and adopted, The Oncology Institute, Inc. 2021 Employee Stock Purchase Plan (the "ESPP"), including the authorization of the initial share reserve under the ESPP (the "ESPP Proposal").
|
Issuer
|
For
|
For
|
7. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Richard Barasch
|
|
|
|
Election of Director: Brad Hively
|
|
|
|
Election of Director: Karen Johnson
|
|
|
|
Election of Director: Mohit Kaushal
|
|
|
|
Election of Director: Anne McGeorge
|
|
|
|
Election of Director: Maeve O'Meara
|
|
|
|
Election of Director: Ravi Sarin
|
|
For
|
For
|
8. The Adjournment Proposal - to consider and vote upon 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, there are not sufficient votes to approve one or more proposals presented to stockholders for vote, or DFP determines that one or more of the closing conditions under the Business
Combination is not satisfied or waived (the "Adjournment Proposal").
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
FS KKR Capital Corp.
|
10/27/2021
|
302635206
|
FSK
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Election of Directors
|
Issuer
|
|
|
Election of Director: Todd C. Builione
|
|
|
|
Election of Director: Brian R. Ford
|
|
|
|
Election of Director: Richard I. Goldstein
|
|
|
|
Election of Director: Osagie Imasogie
|
|
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, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Spartacus Acquisition Corp.
|
10/27/2021
|
84677L109
|
TMTS
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - To consider and vote upon a proposal to approve the business combination (the "Business Combination") and adopt the Agreement and Plan of Merger, dated as of June 9, 2021,
as it may be amended (the "Merger Agreement"), by and among the Company, Spartacus Acquisition Shelf Corp. ("Shelf"), NextNav, LLC, NextNav Holdings, LLC ("Holdings"), NEA 14 NextNav Blocker, LLC, Oak NextNav Blocker, LLC, Columbia
Progeny Partners IV, Inc., Global Long Short ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2A. The Business Combination Proposal - To consider and vote upon a proposal to approve the business combination (the "Business Combination") and adopt the Agreement and Plan of Merger, dated as of June 9, 2021,
as it may be amended (the "Merger Agreement"), by and among the Company, Spartacus Acquisition Shelf Corp. ("Shelf"), NextNav, LLC, NextNav Holdings, LLC ("Holdings"), NEA 14 NextNav Blocker, LLC, Oak NextNav Blocker, LLC, Columbia
Progeny Partners IV, Inc., Global Long Short ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2B. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To remove certain provisions related to the Company's status as a special purpose acquisition company.
|
Issuer
|
For
|
For
|
2C. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To remove certain provisions related to the Company's status as a special purpose acquisition company.
|
Issuer
|
For
|
For
|
2D. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To remove certain provisions related to the Company's status as a special purpose acquisition company.
|
Issuer
|
For
|
For
|
2E. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To eliminate explicit authority to create and issue rights, warrants and options with such terms as set by the board of directors.
|
Issuer
|
For
|
For
|
2F. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To eliminate explicit authority to create and issue rights, warrants and options with such terms as set by the board of directors.
|
Issuer
|
For
|
For
|
2G. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To eliminate from the certificate of incorporation the ability of the board to fill any newly created directorships and vacancies; however, a similar right has been added to
Shelf's proposed bylaws.
|
Issuer
|
For
|
For
|
2H. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To provide that any and all directors of Shelf may be removed at any time with or without cause and only by the affirmative vote of holders of at least two-thirds (2/3) of the
voting power of all then outstanding shares of capital stock.
|
Issuer
|
For
|
For
|
2I. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To require the vote of at least two-thirds (2/3) of the voting power of all then outstanding shares of capital stock or a majority of the board, to adopt, amend or repeal Shelf's
bylaws.
|
Issuer
|
For
|
For
|
2J. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To provide that the business conducted at a special meeting of stockholders will be limited to matters properly brought before the meeting by or at the direction of the board.
|
Issuer
|
For
|
For
|
2K. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To indemnify and hold harmless a person who is or was made or threatened to be made a party to or is otherwise involved in any threatened, pending or completed action, suit or
proceeding, by reason of the fact that he or she is or was a ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2L. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To remove corporate opportunity provisions.
|
Issuer
|
For
|
For
|
2M. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To require the vote of at least two-thirds (2/3) of the voting power of all then outstanding shares of capital stock, to amend or repeal certain provisions of the certificate of
incorporation or, if two-thirds (2/3) of the board has ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2N. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's
current amended and restated certificate of incorporation: To include certain transfer restrictions, including prohibiting the transfer of (i) common stock, warrants or shares issuable upon the exercise or conversion of warrants issued by
Shelf pursuant to the Merger Agreement (a) received by ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3. The Incentive Plan Proposal - To consider and vote upon a proposal to adopt the NextNav Inc. 2021 Omnibus Incentive Plan.
|
Issuer
|
For
|
For
|
4. The Employee Stock Purchase Plan Proposal - To consider and vote upon a proposal to adopt the NextNav Inc. 2021 Employee Stock Purchase Plan.
|
Issuer
|
For
|
For
|
Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Skyler Wichers
|
|
|
|
Election of Director: Alan B. Howe
|
|
|
|
Election of Director: Andrew Day
|
|
|
|
Election of Director: Gary Parsons
|
|
|
|
Election of Director: Ganesh Pattabiraman
|
|
|
|
Election of Director: Peter Barris
|
|
|
|
Election of Director: Bandel Carano
|
|
|
|
Election of Director: James B. Fleming
|
|
|
|
Election of Director: Peter D. Aquino
|
|
For
|
For
|
7. The Nasdaq Proposal - To approve, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of shares of the Company in connection with a private placement in connection with and
immediately prior to consummation of the Business Combination.
|
Issuer
|
For
|
For
|
8. The Nasdaq Proposal - To approve, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of shares of the Company in connection with a private placement in connection with and
immediately prior to consummation of the Business Combination.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Boulder Growth & Income FD, Inc.
|
11/12/2021
|
101507101
|
BIF
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Election of Directors:
|
Issuer
|
|
|
01. Richard I. Barr
|
|
|
|
02. Steven K. Norgaard
|
|
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Texas Pacific Land Corp.
|
11/16/2021
|
88262P102
|
TPL
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhold All
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Barbara J. Duganier
|
|
|
|
Election of Director: Tyler Glover
|
|
|
|
Election of Director: Dana F. McGinnis
|
|
Against
|
For
|
2. To approve, by non-binding advisory vote, executive compensation.
|
Issuer
|
1 Year
|
1 Year
|
3. To determine, by non-binding advisory vote, the frequency of future stockholder advisory votes on executive compensation
|
Issuer
|
Against
|
For
|
4. To approve the Company's 2021 Incentive Plan.
|
Issuer
|
Against
|
For
|
5. To approve the Company's 2021 Non-Employee Director Stock and Deferred Compensation Plan.
|
Issuer
|
For
|
For
|
6. To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Japan Smaller Capitalization FD
|
11/22/2021
|
47109U104
|
JOF
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Election of Director to serve for a term of one year:
|
Issuer
|
|
|
1a. Rodney A. Buck
|
|
|
|
1b. David B. Chemidlin
|
|
|
|
1c. Marcia L. MacHarg
|
|
|
|
1d. Yuichi Nomoto
|
|
|
|
1e. Paige P. Ouimet
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Thimble Point Acquisition Corp.
|
11/23/2021
|
88408P107
|
THMA
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. A proposal to (a) approve and adopt the Business Combination Agreement, dated as of June 21, 2021 (as it may be amended, supplemented or otherwise modified from time to time in accordance with its terms, the
"Business Combination Agreement"), by and among THMA, Oz Merger Sub, Inc., a Delaware corporation and wholly-owned subsidiary of THMA ("Merger Sub"), and Pear Therapeutics, Inc., a Delaware corporation ("Pear"), and (b) approve the
transactions contemplated thereby, including ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2. A proposal to amend the current certificate of incorporation of THMA (the "Current Charter") and adopt the Second Amended and Restated Certificate of Incorporation (the "Proposed Charter") to be effective
upon the consummation of the Merger (the "Closing") which will include amendments to (a) increase the number of authorized shares of THMA's capital stock, par value $0.0001 per share, from 221,000,000 shares, consisting of (i) 220,000,000
shares of common stock, including 200,000,000 shares ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3. On a non-binding advisory basis, a separate proposal with respect to certain governance provisions in the Proposed Charter in accordance with Securities and Exchange Commission guidance. The Proposed Charter,
and the provisions that are the subject of this proposal, is further described in the Proxy Statement for the Special Meeting and a copy of the Proposed Charter is attached as Annex B to the Proxy Statement.
|
Issuer
|
For
|
For
|
4. Vote Board of Directors:
|
|
|
|
Election of Director: Zack Lynch
|
|
|
|
Election of Director: Kirthiga Reddy
|
|
|
|
Election of Director: Andrew J. Schwab
|
|
|
|
Election of Director: Alison Bauerlein
|
|
|
|
Election of Director: Nancy Schlichting
|
|
|
|
Election of Director: Jorge Gomez
|
|
|
|
Election of Director: Corey McCann
|
Issuer
|
For
|
For
|
5. A proposal to approve, in connection with the Merger, for purposes of complying with applicable listing rules of the NASDAQ Stock Market ("NASDAQ"), the issuance and/or sale of (a) up to 132,395,625 THMA
Class A Common Shares to the holders of Pear's capital stock pursuant to the Business Combination Agreement and the reservation for issuance of THMA Class A Common Shares subject to Rollover Options (as defined in the Proxy Statement)
pursuant to the Business Combination Agreement ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
6. A proposal to approve and adopt the Pear Holdings Corp. 2021 Stock Option and Incentive Plan (the "2021 Plan"), a copy of which is attached as Annex K to the Proxy Statement, and the material terms
thereunder.
|
Issuer
|
For
|
For
|
7. A proposal to approve and adopt the Pear Holdings Corp. Employee Stock Purchase Plan (the "2021 ESPP"), a copy of which is attached as Annex L to the Proxy Statement, and the material terms thereunder.
|
Issuer
|
For
|
For
|
8. A proposal to approve the adjournment of 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, Proposals 1-2 and 4-7.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
High Income Securities Fund
|
11/30/2021
|
42968F108
|
PCF
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For All
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Phillip Goldstein
|
|
|
|
Election of Director: Andrew Dakos
|
|
|
|
Election of Director: Rajeev Das
|
|
|
|
Election of Director: Richard Dayan
|
|
|
|
Election of Director: Gerald Hellerman
|
|
|
|
Election of Director: Ben H. Harris
|
|
|
|
Election of Director: Mortiz Sell
|
|
For
|
For
|
2. To provide a non-binding advisory vote on whether the amendment to the Fund's proxy voting policy is in the best interests of the Fund and its shareholders.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Gigcapital4, Inc
|
12/3/2021
|
37518G101
|
GIG
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. To approve and adopt the Agreement and Plan of Merger dated June 4, 2021, as amended on August 6, 2021, and as it may be further amended from time to time, the ("Merger Agreement") by and among the Company,
GigCapital4 Merger Sub Corporation, a Delaware corporation ("Merger Sub"), BigBear.ai Holdings, LLC, a Delaware limited liability company ("BigBear"), and BBAI Ultimate Holdings, LLC, a Delaware limited liability company, a copy of which
is attached to the proxy statement as Annex A, and approve the transactions contemplated thereby.
|
Issuer
|
For
|
For
|
2. To approve, for purposes of complying with applicable Nasdaq listing rules, the issuance of more than 20% of the Company's outstanding GigCapital4 Common Stock in connection with the Business Combination and
the Convertible Note Subscription Agreements, including up to 123,710,000 shares of GigCapital4 Common Stock to Ultimate as the sole equity holder of BigBear, and 17,391,304 shares of GigCapital4 Common Stock upon conversion of the
Convertible Notes.
|
Issuer
|
For
|
For
|
3. To consider and vote upon a proposal to amend the Company's current amended and restated certificate of incorporation (the "Charter") to provide for the classification of our board of directors (our "Board")
into three classes of directors with staggered terms of office and to make certain related changes.
|
Issuer
|
For
|
For
|
4. To consider and vote upon a proposal to amend the Company's Charter to provide for certain additional changes, including but not limited to changing the Company's name from "GigCapital4, Inc." to "BigBear.ai
Holdings, Inc." and eliminating certain provisions specific to our status as a blank check company.
|
|
For
|
For
|
5A. To approve the BigBear.ai Holdings, Inc. 2021 Long-Term Incentive Plan (the "2021 Plan"), including the authorization of the initial share reserve under the 2021 Plan.
|
Issuer
|
For
|
For
|
5B. To approve the BigBear.ai Holdings, Inc. 2021 Employee Stock Purchase Plan (the "2021 ESPP"), including the authorization of the initial share reserve under the 2021 ESPP.
|
Issuer
|
For
|
For
|
6. To elect, effective at Closing, eleven directors to serve staggered terms on our board of directors until the 2022, 2023 and 2024 annual meetings of stockholders, respectively, and until their respective
successors are duly elected and qualified.
|
Issuer
|
For
|
For
|
7. To approve, if necessary the adjournment of the Special Meeting to a later date or dates to permit further solicitation and votes of proxies in the event there are insufficient votes for, or otherwise in
connection with, the approval of the Business Combination Proposal, the Nasdaq Stock Issuance Proposal, the Charter Amendment Proposals, the Equity Plans Proposals or the Election of Directors Proposal. This proposal will only be
presented at the Special Meeting if there are not sufficient votes to approve the proposals.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Cion Investment Corp.
|
12/3/2021
|
17259U204
|
CION
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. To approve a proposal to approve the application of the reduced asset coverage requirements in Section 61(a)(2) of the Investment Company Act of 1940, as amended, to the Company, which would permit the
Company to increase the maximum amount of leverage that it is permitted to incur by reducing the asset coverage requirement applicable to the Company from 200% to 150% (the "Leverage Proposal").
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Monmouth Real Estate Investment Corp.
|
12/16/2021
|
609720107
|
MNR
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhold All
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Catherine B. Elflein
|
|
|
|
Election of Director: Eugene W. Landy
|
|
|
|
Election of Director: Michael P. Landy
|
|
|
|
Election of Director: Samuel A. Landy
|
|
For
|
For
|
2. Ratification of the appointment of PKF O'Connor Davies, LLP as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2022.
|
Issuer
|
Against
|
For
|
3. An advisory resolution for the executive compensation of the Company's named executive officers for the fiscal year ended September 30, 2021 as more fully described in the proxy statement.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Mexico Equity and Income Fund, Inc.
|
12/16/2021
|
592834105
|
MXE
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
|
Director nominees:
|
|
Mirror vote
|
For
|
1A. Class II Director: Richard Abraham
|
Issuer
|
Mirror vote
|
For
|
1B. Class II Director: Rajeev Das
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Village Super Market, Inc.
|
12/17/2021
|
927107409
|
VLGEA
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
|
1. Election of Directors:
|
Issuer
|
Withhold
|
For
|
01. Election of Director: Robert Sumas
|
|
Withhold
|
For
|
02. Election of Director: William Sumas
|
|
Withhold
|
For
|
03. Election of Director: John P. Sumas
|
|
Withhold
|
For
|
04. Election of Director: Nicholas Sumas
|
|
Withhold
|
For
|
05. Election of Director: John J. Sumas
|
|
Withhold
|
For
|
06. Election of Director: Kevin Begley
|
|
For
|
For
|
07. Election of Director: Steven Crystal
|
|
Withhold
|
For
|
08. Election of Director: Stephen F. Rooney
|
|
For
|
For
|
2. Ratification of KPMG LLP as the independent registered public accounting firm for fiscal 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
MCAP Acquisition Corp.
|
12/21/2021
|
55282T106
|
MACQ
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
|
Director nominees:
|
|
For
|
For
|
1. The Business Combination Proposal - to consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of July 27, 2021 (as may from time to time be amended, restated,
supplemented or otherwise modified, the "Business Combination Agreement"), by and among MCAP, GRNT Merger Sub 1 LLC,.
|
Issuer
|
For
|
For
|
2. The Charter Amendment Proposal - to approve and adopt, an amendment to MCAP's current certificate of incorporation.
|
Issuer
|
For
|
For
|
3A. Advisory Proposal A - provide that the total number of shares of all classes of capital stock which the Company will have authority to issue is 370,000,000 shares, consisting of (i) 350,000,000 shares of
common stock, par value $0.0001 per share and (ii) 20,000,000 shares of preferred stock, par value $0.0001 per share.
|
Issuer
|
For
|
For
|
3B. Advisory Proposal B - provide that the capital stock consists of common and preferred stock only and does not delineate classes of common stock.
|
Issuer
|
For
|
For
|
3C. Advisory Proposal C - provide for the waiver of the corporate opportunity doctrine with respect to H.I.G. and its affiliates and any Non-Employee Director or his or her affiliates.
|
Issuer
|
For
|
For
|
3D. Advisory Proposal D - provide that certain actions under the Proposed Charter relating to the nomination and election of directors are subject to the Stockholders Agreement.
|
Issuer
|
For
|
For
|
3E. Advisory Proposal E - provide that any action required or permitted to be taken by the stockholders of the combined company must be effected by a duly called annual or special meeting of such stockholders
and may not be effected by written consent of the stockholders.
|
Issuer
|
For
|
For
|
3F. Advisory Proposal F - provide that amendments to the Proposed Charter will require the affirmative vote of the holders of at least 66 2/3% of the voting power of the then outstanding shares of capital stock
of the combined company entitled to vote, voting together as a single class.
|
Issuer
|
For
|
For
|
3G. Advisory Proposal G - provide that directors may be removed by the affirmative vote of the holders of at least 66 2/3% of voting stock of the combined company entitled to vote at an election of directors.
|
Issuer
|
For
|
For
|
3H. Advisory Proposal H - (i) provide that the post-business combination company's corporate name would change from "MCAP Acquisition Corporation" to "AdTheorent, Inc." and make the Company's corporate existence
perpetual and (ii) remove certain provisions related to MCAP's status as a blank check company that will no longer apply upon consummation of the business combination.
|
Issuer
|
For
|
For
|
4A. Election of Director 2022 special meeting of stockholders: John Black
|
Issuer
|
For
|
For
|
4B. Election of Director 2022 special meeting of stockholders: Danielle Qi
|
Issuer
|
For
|
For
|
4C. Election of Director 2022 special meeting of stockholders: Ben Tatta
|
Issuer
|
For
|
For
|
4D. Election of Director 2023 special meeting of stockholders: Rich Boghosian
|
Issuer
|
For
|
For
|
4E. Election of Director 2023 special meeting of stockholders: Vineet Mehra
|
Issuer
|
For
|
For
|
4F. Election of Director 2023 special meeting of stockholders: Zia Uddin
|
Issuer
|
For
|
For
|
4G. Election of Director 2024 special meeting of stockholders: Kihara Kiarie
|
Issuer
|
For
|
For
|
4H. Election of Director 2024 special meeting of stockholders: James Lawson
|
Issuer
|
For
|
For
|
4I. Election of Director 2024 special meeting of stockholders: Eric Tencer
|
Issuer
|
For
|
For
|
5. The Long-Term Incentive Plan Proposal - to consider and vote upon a proposal to approve the 2021 Long-Term Incentive Plan to be effective after the closing of the Business Combination.
|
Issuer
|
For
|
For
|
6. The ESPP Proposal - to consider and vote upon a proposal to approve the 2021 Employee Stock Purchase Plan ("ESPP") to be effective after the closing of the Business Combination
|
Issuer
|
For
|
For
|
7. The Nasdaq Proposal - to consider and vote upon a proposal to approve, (i) for purposes of complying with Nasdaq Listing Rules 5635(a) and (b), the issuance of more than 20% of the issued and outstanding
Class A common stock and the resulting change in control in connection with the Business Combination and (ii) for the purposes of complying with Nasdaq Listing Rules 5635(d) the issuance of more than 20% of the issued and outstanding
shares of Class A common stock in the PIPE Financing, upon the completion of the Business Combination.
|
Issuer
|
For
|
For
|
8. The Adjournment Proposal - to consider and vote on a proposal to adjourn the Stockholders 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 Stockholders Meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Roman DBDR Tech Acquisition
|
12/23/2021
|
77584N101
|
DBDC
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. Business Combination Proposal - To approve the Agreement and Plan of Merger, dated as of April 19, 2021, and as amended as of May 25, 2021, or the "Merger Agreement", by and among Roman DBDR, CompoSecure
Holdings, L.L.C., ("CompoSecure"), Roman Parent Merger Sub LLC, a Delaware limited liability company and wholly-owned subsidiary of Roman DBDR (the "Merger Sub") and LLR Equity Partners IV, L.P., a Delaware limited partnership ("Member
Representative"), and the transactions contemplated ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2. Nasdaq Stock Issuance Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable provisions of Nasdaq Stock Exchange Listing Rule
5635 (each, a "Nasdaq Listing Rule"), (a) the issuance of up to 49,195,000 (assuming no redemption) or 63,919,627 (assuming maximum redemption) of newly issued shares of Roman DBDR Class B Common Stock, par value $0.0001 per share (the
"Roman DBDR Class B Common Stock") in the ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3. Governing Documents Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, a proposed second amended and restated certificate of incorporation (the "Proposed Charter"),
which will amend and restate the current Amended and Restated Certificate of Incorporate of Roman DBDR, dated November 5, 2020 (the "Current Charter") and a proposed second amended and restated bylaws (the "Proposed Bylaws"), which will
amend and restate the current bylaws (the "Current Bylaws"), ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4A. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To increase the authorized shares of Class A Common
Stock to 250,000,000 shares.
|
Issuer
|
For
|
For
|
4B. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To increase the authorized shares of "blank check"
preferred stock that the Combined Entity's board of directors could issue to raise capital and/or to discourage a takeover attempt to 10,000,000 shares.
|
Issuer
|
For
|
For
|
4C. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To provide that amendments to provisions of the
Proposed Charter will require the approval of at least a majority of the Combined Entity's then-outstanding shares of capital stock entitled to vote on such amendment.
|
Issuer
|
For
|
For
|
4D. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To provide holders of any then outstanding Preferred
Stock the right, voting separately by class or series, to elect one or more directors.
|
Issuer
|
For
|
For
|
4E. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To limit action required or permitted to be taken by
the stockholders of the Combined Company only to annual meetings or special meetings by eliminating the right for actions to be taken by written consent.
|
Issuer
|
For
|
For
|
4F. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: (i) To change the corporate name from "Roman DBDR Tech
Acquisition Corp." to "CompoSecure, Inc.", (ii) to make the Combined Entity's corporate existence perpetual as opposed to Roman DBDR's corporate existence, which is presently required to be dissolved and liquidated 18 months following the
closing of its initial public offering and to ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
4G. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To provide that any amendment by stockholders to the
Proposed By-laws will require the approval of at least a majority of the Combined Entity's then- outstanding shares of capital stock entitled to vote such amendment.
|
Issuer
|
For
|
For
|
5. Director Election Proposal - To elect, assuming the Business Combination Proposal is approved and adopted, seven directors to serve staggered terms on the Combined Entity's board of directors until the 2022,
2023 and 2024 annual meeting of stockholders, respectively, and until their respective successors are duly elected and qualified.
|
Issuer
|
For
|
For
|
6. Equity Incentive Plan Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Equity Incentive Plan (the "Equity Incentive Plan"), which will become effective the
day prior to the Closing
|
Issuer
|
For
|
For
|
7. ESPP Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Employee Stock Purchase Plan (the "ESPP"), which will become effective the day prior to the Closing.
|
Issuer
|
For
|
For
|
8. Adjournment Proposal - To approve 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, there are not sufficient votes to approve the Business Combination Proposal, the Nasdaq Stock Issuance Proposal, the Governing Documents Proposal, the Advisory Charter Proposals, the Director Election
Proposal, the Incentive Plan Proposal or the ESPP ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Texas Pacific Land Corp.
|
12/28/2021
|
88262P102
|
TPL
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
|
|
Vote Board of Directors:
|
Issuer
|
Against
|
For
|
1A. Election of Director: Barbara J. Duganier
|
|
Against
|
For
|
1B. Election of Director: Tyler Glover
|
|
Against
|
For
|
1C. Election of Director: Dana F. McGinnis
|
|
Against
|
For
|
2. To approve, by non-binding advisory vote, executive compensation.
|
Issuer
|
1 Year
|
1 Year
|
3. To determine, by non-binding advisory vote, the frequency of future stockholder advisory votes on executive compensation.
|
Issuer
|
Against
|
For
|
4. To approve the Company's 2021 Incentive Plan.
|
Issuer
|
Against
|
For
|
5. To approve the Company's 2021 Non-Employee Director Stock and Deferred Compensation Plan
|
Issuer
|
For
|
For
|
6. To ratify the appointment of Deloitte & Touche LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021.
|
Issuer
|
For
|
Against
|
7. To consider a stockholder proposal requesting that the Board of Directors take actions to declassify the Board of Directors.
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Yellowstone Acquisition Company
|
1/25/2022
|
98566K105
|
YSAC
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - to approve and adopt the Equity Purchase Agreement, dated as of August 1, 2021, by and among YAC and Sky Harbour LLC, a Delaware limited liability company ("SKY"). The
transactions contemplated by the Equity Purchase Agreement are referred to herein as the Business Combination.
|
Issuer
|
For
|
For
|
2. The NYSE Proposal - to approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with applicable NYSE listing rules, (i) the issuance by Sky Harbour Group
Corporation ("SHG Corporation"), as successor to YAC, of Class A Common Stock and Class B Common Stock in the Business Combination in an amount equal to 20% or more of the amount of YAC's issued and outstanding common stock immediately
prior to the issuance and (ii) the issuance by SHG ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3. The Charter and Governance Proposals - to approve and adopt, assuming the Business Combination Proposal and the NYSE Proposal are approved and adopted, the Amended and Restated Certificate of Incorporation
(the "A&R Certificate of Incorporation"), which, if approved, would take effect upon Closing, a copy of which is attached to the accompanying proxy statement as Annex B (the "Charter Proposal").In addition to the approval of the
A&R Certificate of Incorporation, the stockholders are also ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
3A. To increase the total number of authorized shares and classes of stock to 260,000,000 shares consisting of (i) 10,000,000 shares of preferred stock, par value 0.0001 per share, (ii) 200,000,000 shares of
Class A Common Stock. par value $0,0001 per share, and (iii) 50,000,000 shares of Class B Common Stock, par value $0.0001 per share.
|
Issuer
|
For
|
For
|
3B. To declassify the board of directors, to provide that the SHG Corporation Board will be elected by holders of Class A Common Stock and Class B Common Stock voting together as a single class and to provide
that the number of directors of SHG Corporation will be not less than 3 and not more than 11, with the then- authorized number of directors being fixed from time to time by the SHG Corporation Board within such range, which number shall
initially be seven.
|
Issuer
|
For
|
For
|
3C. To elect not to be governed by Section 203 of the DGCL.
|
Issuer
|
For
|
For
|
4. The Director Election Proposal - for holders of YAC Class B Common Stock to elect, assuming the Business Combination Proposal, the NYSE Proposal, and the Charter Proposal are approved and adopted, seven
Directors of the SHG Corporation Board until the 2022 annual meeting of stockholders or until such directors' successors have been duly elected and qualified, or until such directors' earlier death, resignation, retirement or removal.
|
Issuer
|
For
|
For
|
5. The Incentive Plan Proposal - to approve and adopt, assuming the Business Combination Proposal, the NYSE Proposal, and the Charter Proposal are approved and adopted, the SHG Corporation 2022 Incentive Award
Plan (the "2022 Plan").
|
Issuer
|
For
|
For
|
6. 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, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Silverbox Engaged Merger Corp. I
|
2/3/2022
|
82836L101
|
SBEA
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of November 2, 2021 (as may be amended from time to time, the
"Business Combination Agreement"), by and among SilverBox Engaged Merger Corp I ("SilverBox), BRC Inc. ("PubCo"), SBEA Merger Sub LLC ("Merger Sub 1"), BRCC Blocker Merger Sub LLC, Authentic Brands LLC and Grand Opal Investment Holdings,
Inc. The Business Combination Agreement provides for, ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2A. To approve an amendment and restatement of the Existing Charter providing for the creation of 35,000,000 authorized shares of Class C Common Stock of SilverBox (the "SilverBox Class C Common Stock") for
purposes of issuance to certain investors.
|
Issuer
|
For
|
For
|
2B. To approve the provision in the Proposed Charter changing the authorized capital stock of 111,000,000 shares, consisting of 100,000,000 shares of Class A Common Stock, par value $0.0001 per share, 10,000,000
shares of Class B Common Stock, par value $0.0001 per share, and 1,500,000 preferred shares, par value $0.0001 per share, to authorized capital stock of 2,802,500,000 shares, consisting of 2,500,000,000 shares of Class A Common Stock, par
value $0.0001 per share, 300,000,000 shares of Class ...(due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2C. To approve the provision in the Proposed Charter pursuant to which: (a) the affirmative vote of the holders of at least 66-2/3% of the total voting power of all then outstanding shares entitled to vote
generally in the election of directors, voting together as a single class is required to amend provisions relating to, among other matters: (i) stockholder meetings, (ii) the board of directors, (iii) indemnification and limitation of
liability of officers and directors, (iv) election not be ... (due to space limits, see proxy statement for full proposal).
|
Issuer
|
For
|
For
|
2D. To approve all other changes in connection with the replacement of the Existing Organizational Documents of SilverBox with the Proposed Organizational Documents of PubCo, including, among other things,
changing from a blank check company seeking a business combination within a certain period (as provided in the Existing Organizational Documents), to a public benefit corporation having perpetual existence (as provided in the Proposed
Charter).
|
Issuer
|
For
|
For
|
2E. To provide for a classified board of directors and direct that board vacancies be filled by the majority of directors then in office, unless specified otherwise in the Investor Rights Agreement; or the
Proposed Bylaws.
|
Issuer
|
For
|
For
|
3. The Stock Issuance Proposal - To consider and vote upon a proposal to approve and adopt, for purposes of complying with the applicable provisions of The Nasdaq Stock Market Listing Rule 5635, the issuance of
shares of SilverBox Class C Common Stock to certain investors.
|
Issuer
|
For
|
For
|
4. The Omnibus Incentive Plan Proposal - To consider and vote upon a proposal to approve the adoption of the Omnibus Incentive Plan.
|
Issuer
|
For
|
For
|
5. The Employee Stock Purchase Plan Proposal - To consider and vote upon a proposal to approve the adoption of the Employee Stock Purchase Plan.
|
Issuer
|
For
|
For
|
6. The Adjournment Proposal - To consider and vote upon a proposal to adjourn the special meeting of SilverBox's 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 one or more proposals presented to stockholders for vote at such special meeting.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Pennantpark Investment Corp.
|
2/8/2022
|
708062104
|
PNNT
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1A. Election of Director: Arthur H. Penn
|
Issuer
|
Mirror vote
|
For
|
2. To ratify the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
M3-Bridge Acquisition II
|
2/9/2022
|
553800103
|
MBAC
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. Business Combination Proposal - To consider and vote upon a proposal to approve the transactions contemplated by the Agreement and Plan of Merger, dated as August 16, 2021 (as it may be amended from time to
time in accordance with its terms, the "Merger Agreement"), by and among M3-Brigade Acquisition II Corp. (the "Company"), Blue Steel Merger Sub Inc. ("Merger Sub") and Syniverse Corporation ("Syniverse"), including the business
combination described in the accompanying proxy statement (the "Business Combination").
|
Issuer
|
For
|
For
|
2. To approve, (i) the issuance of more than 20% of the issued and outstanding shares, and (ii) the issuance of more than one percent of the issued and outstanding shares of Common Stock.
|
Issuer
|
For
|
For
|
3. Charter Proposal - To consider and vote upon a proposal to adopt two separate proposed charters, proposed charter alternative A, substantially in the form attached to the accompanying proxy statement as Annex
B-1 ("Charter Amendment Alternative A"), and proposed charter alternative B, substantially in the form attached to the accompanying proxy statement as Annex B-2 ("Charter Amendment Alternative B," and together with Charter Amendment
Alternative A, the "Charter Amendments");
|
Issuer
|
For
|
For
|
4A. Super Majority Vote Requirements - Proposal to add a super majority vote provision requiring that the prior affirmative vote of holders of at least sixty-six and two-thirds percent of the voting power of the
outstanding shares of Common Stock, voting as a single class will be required before the Company.
|
Issuer
|
For
|
For
|
4B. Change in Authorized Shares - Proposal (i) in the case of Charter Amendment Alternative A, to increase our total number of authorized shares of all classes of Common Stock (ii) in the case of Charter
Amendment Alternative B, to increase our total number of authorized shares of all classes of Common Stock.
|
Issuer
|
For
|
For
|
4C. Corporate Opportunity - To consider and vote upon a proposal to update the provisions regarding corporate opportunities to, among other things.
|
Issuer
|
For
|
For
|
4D. Declassification of Board - To consider and vote upon a proposal to declassify our Board.
|
Issuer
|
For
|
For
|
4E. Special Quorum Requirement and Director Voting Rights related to Carlyle and Twilio - To consider and vote upon a proposal to make certain of the terms of the Second Amended and Restated Certificate of
Incorporation and also provide that for as long as any director nominated by Carlyle and its affiliates.
|
Issuer
|
For
|
For
|
4F. Ability to Call a Special Meeting - To consider and vote upon a proposal to provide that special meetings can only be called by the Board (or an officer of the Company at the direction of the Board) and no
longer individually by the Company's Chief Executive Officer or the Chairman of the Board.
|
Issuer
|
For
|
For
|
4G. Class A Stock to Have Exclusive Right to Vote for the Election and Removal of Directors - To consider and vote upon a proposal to give the Class A Stock the exclusive right to vote for the election and
removal of directors and the Class C Stock no right to vote for the election or removal of directors.
|
Issuer
|
For All
|
For All
|
5. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: James Attwood
|
|
|
|
Election of Director: Kevin Beebe
|
|
|
|
Election of Director: Orisa Cherenfant
|
|
|
|
Election of Director: Andrew Davies
|
|
|
|
Election of Director: Tony Holcombe
|
|
|
|
Election of Director: Greg Kleiner
|
|
|
|
Election of Director: Dan Mead
|
|
|
|
Election of Director: Mohsin Y. Meghji
|
|
|
|
Election of Director: Lauren Nemeth
|
|
|
|
Election of Director: Matthew Perkal
|
|
|
|
Election of Director: Raymond Ranelli
|
|
For
|
For
|
6. Incentive Award Plan Proposal - To consider and vote upon a proposal to adopt the Syniverse Technologies Corporation 2021 Omnibus Incentive Plan (the "Incentive Award Plan"), a copy of which is attached to
the accompanying proxy statement as Annex J, including the authorization of the initial share reserve under the Incentive Award Plan.
|
Issuer
|
For
|
For
|
7. Adjournment Proposal - To consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are insufficient
votes for, or otherwise.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Monmouth Real Estate Investment Corp.
|
2/17/2022
|
609720107
|
MNR
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. To approve the merger (the "Merger") of Monmouth Real Estate Investment Corporation, a Maryland corporation ("Monmouth"), with and into Maple Delaware Merger Sub LLC ("Merger Sub"), a subsidiary of Industrial
Logistics Properties Trust, a Maryland real estate investment trust ("ILPT"), pursuant to the Agreement and Plan of Merger, dated as of November 5, 2021 (as it may be amended, the "Merger Agreement"), by and among Monmouth, ILPT, and
Merger Sub (the "Merger Proposal").
|
Issuer
|
For
|
For
|
2. To approve on a non-binding, advisory basis, certain compensation that may be paid or become payable to Monmouth's named executive officers in connection with the Merger Agreement and the transactions
contemplated thereby (the "Compensation Proposal").
|
Issuer
|
For
|
For
|
3. To approve any adjournment of the special meeting of the shareholders of Monmouth, if necessary or appropriate, including to solicit additional proxies in favor of the Merger Proposal (the "Adjournment
Proposal").
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Boulder Growth & Income FD, Inc.
|
2/24/2022
|
101507101
|
BIF
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. To approve a new investment advisory agreement between the Fund and Paralel Advisors LLC ("Paralel").
|
Issuer
|
Mirror Vote
|
For
|
2. To approve a new sub-advisory agreement with respect to the Fund between Paralel and Rocky Mountain Advisers, LLC.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
CF Acquisition Corp. VIII
|
3/8/2022
|
12520C109
|
CFFE
|
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 by which the Company has to consummate a business combination from March 16, 2022 to
September 30, 2022.
|
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, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Spartan Acquisition Corp. III
|
3/8/2022
|
84677R106
|
SPAQ
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - To consider and vote upon a proposal to (a) approve and adopt the Business Combination Agreement, dated as of July 28, 2021 (the "Business Combination Agreement"), by and
among Spartan, Athena Pubco B.V., a Dutch private limited liability company (besloten vennootschap met beperkte aansprakelijkheid) ("Allego"), Athena Merger Sub, Inc., a Delaware corporation ("Merger Sub"), Madeleine Charging B.V., a
Dutch private limited liability company (besloten vennootschap ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
2. The Governance Proposal - To consider and vote upon, on a non- binding advisory basis, a proposal to approve certain governance provisions contained in the Articles of Association of Allego N.V., the
successor to Allego following the Business Combination (the "Allego Articles") that materially affect Allego shareholder rights (the "Governance Proposal").
|
Issuer
|
For
|
For
|
3. The Adjournment Proposal - To consider and vote upon a 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 the Business Combination Proposal (the "Adjournment Proposal").
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
PGIM Global High Yield Fund, Inc.
|
3/9/2022
|
69346J106
|
GHY
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1.1Election of Class I Director: Ellen S. Alberding
|
Issuer
|
Mirror vote
|
For
|
1.2 Election of Class I Director: Stuart S. Parker
|
Issuer
|
Mirror vote
|
For
|
1.3 Election of Class I Director: Brian K. Reid
|
Issuer
|
Mirror vote
|
For
|
2. Ratify the appointment of PricewaterhouseCoopers LLP as the Fund's independent registered public accountant for the fiscal year ending July 31, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Central Securities Corp.
|
3/16/2022
|
155123102
|
CET
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: L. Price Blackford
|
|
|
|
Election of Director: Simms C. Browning
|
|
|
|
Election of Director: Donald G. Calder
|
|
|
|
Election of Director: David C. Colander
|
|
|
|
Election of Director: John C. Hill
|
|
|
|
Election of Director: Jay R. Inglis
|
|
|
|
Election of Director: Wilmot H. Kidd
|
|
|
|
Election of Director: Wilmot H. Kidd IV
|
|
|
|
Election of Director: David M. Poppe
|
|
Mirror Vote
|
For
|
2. Ratification of the appointment of KPMG LLP as independent registered public accounting firm for 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Tailwind Two Acquistion
|
3/22/2022
|
G86613109
|
TWNT
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - RESOLVED, as an ordinary resolution, that Tailwind Two's entry into the Agreement and Plan of Merger, dated as of October 28, 2021 (as may be amended, supplemented or
otherwise modified from time to time, the "Business Combination Agreement"), by and among Tailwind Two, Titan Merger Sub, Inc., a Delaware corporation ("Merger Sub") and Terran Orbital Corporation, a Delaware corporation ("Terran
Orbital"), a copy of which is attached to the accompanying proxy ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
2. The Domestication Proposal - RESOLVED, as a special resolution, that Tailwind Two be transferred by way of continuation to Delaware pursuant to Part XII of the Companies Act (Revised) of the Cayman Islands
and Section 388 of the General Corporation Law of the State of Delaware and, immediately upon being de- registered in the Cayman Islands, Tailwind Two be continued and domesticated as a corporation under the laws of the state of Delaware.
|
Issuer
|
For
|
For
|
3. The Charter Proposal - RESOLVED, as a special resolution, that, upon the Domestication, the amended and restated memorandum and articles of association of Tailwind Two ("Existing Governing Documents") be
amended and restated by the deletion in their entirety and the substitution in their place of the proposed new certificate of incorporation of "Terran Orbital Corporation" upon the Domestication, a copy of which is attached to the
accompanying proxy statement/prospectus as Annex C (the ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
4. Advisory Governing Documents Proposal A - RESOLVED, that an amendment to change the authorized share capital of Tailwind Two from US$55,100 divided into (i) 500,000,000 Class A ordinary shares, par value
$0.0001 per share, (ii) 50,000,000 Class B ordinary shares, par value $0.0001 per share and (iii) 1,000,000 preference shares, par value $0.0001 per share, to (a) 300,000,000 shares of common stock, par value $0.0001 per share, of New
Terran Orbital and (b) 50,000,000 shares of preferred ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
5. Advisory Governing Documents Proposal B - RESOLVED, that an amendment to authorize the board of directors of New Terran Orbital to issue any or all shares of New Terran Orbital preferred stock in one or more
classes or series, with such terms and conditions as may be expressly determined by the board of directors of New Terran Orbital and as may be permitted by the Delaware General Corporation Law be approved on a non- binding advisory basis.
|
Issuer
|
For
|
For
|
6. Advisory Governing Documents Proposal C - RESOLVED, that an amendment to remove the ability of New Terran Orbital stockholders to take action by written consent in lieu of a meeting be approved on a
non-binding advisory basis.
|
Issuer
|
For
|
For
|
7. Advisory Governing Documents Proposal D - RESOLVED, that certain other changes in connection with the replacement of Existing Governing Documents with the Proposed Certificate of Incorporation as part of the
Domestication (a copy of which is attached to the accompanying proxy statement/ prospectus as Annex C), including (i) changing the post-Business Combination corporate name from "Tailwind Two Acquisition Corp." to "Terran Orbital
Corporation" (which is expected to occur after the ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
8. Advisory Governing Documents Proposal E - RESOLVED, that an amendment to require the affirmative vote of the holders of (i) at least two thirds (2/3) of the total voting power of all the then-outstanding
shares of New Terran Orbital's stock entitled to vote thereon, and voting as a single class, to amend or repeal the proposed bylaws (or a majority of the total voting power of the then-outstanding shares of capital stock of New Terran
Orbital entitled to vote on such amendment or repeal, ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
9. The Exchange Proposal - RESOLVED, as an ordinary resolution, that for the purposes of complying with the applicable provisions of New York Stock Exchange Listing Rule 312.03 or Nasdaq Stock Exchange Listing
Rule 5635, as applicable, the issuance of shares of New Terran Orbital Common Stock in connection with the Business Combination, the Debt Financings and the PIPE Financing (each term as defined in the accompanying proxy
statement/prospectus) be approved.
|
Issuer
|
For
|
For
|
10. The Incentive Award Plan Proposal - RESOLVED, as an ordinary resolution, that the New Terran Orbital 2021 Omnibus Incentive Plan, a copy of which is attached to the accompanying proxy statement/prospectus as
Annex E, be adopted and approved.
|
Issuer
|
For
|
For
|
11. The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the Extraordinary General Meeting to a later date or dates (A) to the extent necessary to ensure that any required
supplement or amendment to the accompanying proxy statement/prospectus is provided to Tailwind Two shareholders or, if as of the time for which the Extraordinary General Meeting is scheduled, there are insufficient Tailwind Two ordinary
shares represented (either in person or by proxy) to ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Syncora Holdings LTD.
|
3/29/2022
|
G8649T109
|
SYCRF
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhold
|
For
|
1.1 Election of Director to hold office until the 2022 Annual General Meeting: Alan J. Carr
|
Issuer
|
Withhold
|
For
|
1.2 Election of Director to hold office until the 2022 Annual General Meeting: E. Grant Gibbons
|
Issuer
|
Withhold
|
For
|
1.3 Election of Director to hold office until the 2022 Annual General Meeting: Frederick B. Hnat
|
Issuer
|
Withhold
|
For
|
1.4 Election of Director to hold office until the 2022 Annual General Meeting: Frank C. Puleo
|
Issuer
|
Withhold
|
For
|
1.5 Election of Director to hold office until the 2022 Annual General Meeting: Coleman D. Ross
|
Issuer
|
Withhold
|
For
|
1.6 Election of Director to hold office until the 2022 Annual General Meeting: Robert J. White
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Western Asset Muni Partners FD Inc.
|
4/8/2022
|
95766P108
|
MNP
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1.1 Election of Class III Director to serve until 2025 Annual Meeting: Robert D. Agdern
|
Issuer
|
Mirror Vote
|
For
|
1.2 Election of Class III Director to serve until 2025 Annual Meeting: William R. Hutchinson
|
Issuer
|
Mirror Vote
|
For
|
1.3Election of Class III Director to serve until 2025 Annual Meeting: Eileen A. Kamerick
|
Issuer
|
Mirror Vote
|
For
|
2. To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending November 30, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
First Tr High Income L/S Fund
|
4/18/2022
|
433738E109
|
FSD
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1.1 Election of Class III Trustee for a three-year term: James A. Bowen
|
Issuer
|
Mirror vote
|
For
|
1.2 Election of Class III Trustee for a three-year term: Niel B. Nielson
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
First Tr Dynamic Europe Equity Inc FD
|
4/18/2022
|
33740D107
|
FDEU
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1.1 Election of Class III Trustee for a three-year term: James A. Bowen
|
Issuer
|
Mirror vote
|
For
|
1.2 Election of Class III Trustee for a three-year term: Niel B. Nielson
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
The Taiwan Fund
|
4/19/2022
|
874036106
|
TWN
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: William C. Kirby
|
|
|
|
Election of Director: Anthony S. Clark
|
|
|
|
Election of Director: Thomas G. Kamp
|
|
|
|
Election of Director: Warren J. Olsen
|
|
|
|
Election of Director: Shelley E. Rigger
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
General American Investors Co.
|
4/20/2022
|
368802104
|
GAM
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Mr. Berens
|
|
|
|
Election of Director: Mr. Davidson
|
|
|
|
Election of Director: Ms. Del Villar
|
|
|
|
Election of Director: Mr. Gordan
|
|
|
|
Election of Director: Ms. Gotbaum
|
|
|
|
Election of Director: Ms. Lynch
|
|
|
|
Election of Director: Mr. Priest
|
|
|
|
Election of Director: Ms. Sachs
|
|
Mirror Vote
|
For
|
Ratification of the selection of Ernst & Young LLP as auditors.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Adams Diversified Equity Fund
|
4/21/2022
|
006212104
|
ADX
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Kenneth J. Dale
|
|
|
|
Election of Director: Frederic A. Escherich
|
|
|
|
Election of Director: Mary C. Jammet
|
|
|
|
Election of Director: Lauriann C. Kloppenburg
|
|
|
|
Election of Director: Kathleen T. McGahran
|
|
|
|
Election of Director: Jane Musser Nelson
|
|
|
|
Election of Director: Mark E. Stoeckle
|
|
Mirror Vote
|
For
|
Ratification of the selection of PricewaterhouseCoopers LLP as independent public auditors.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Aberdeen Asia-Pacific Income Fund
|
4/28/2022
|
003009107
|
FAX
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1.1 Election of Class I director of the Fund, for a three-year term until the 2025 Annual Meeting of Stockholders: Stephen Bird
|
Issuer
|
Mirror vote
|
For
|
3.1 To consider the continuation of the terms of Director under the Fund's Corporate Governance Policies: P. Gerald Malone (Class II - 3 year term ending 2023)
|
Issuer
|
Mirror vote
|
For
|
3.2 To consider the continuation of the terms of Director under the Fund's Corporate Governance Policies: William J. Potter (Preferred - 3 year term ending 2024)
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Gabelli Utility Trust
|
5/9/2022
|
36240A101
|
GUT
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Mario J. Gabelli
|
|
|
|
Election of Director: Elizabeth C. Bogan
|
|
|
|
Election of Director: Vincent D. Enright
|
|
|
|
Election of Director: Kuni Nakamura
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Ellsworth Growth And Income Fd
|
5/9/2022
|
289074106
|
ECF
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: James A. Dinsmore
|
|
|
|
Election of Director: Elizabeth C. Bogan
|
|
|
|
Election of Director: Anthonie C. van Ekris
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Bancroft Fund
|
5/9/2022
|
059695106
|
BCV
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Jane D. O'Keeffe
|
|
|
|
Election of Director: Elizabeth C. Bogan
|
|
|
|
Election of Director: Agnes Mullady
|
|
|
|
Election of Director: Anthonie C. van Ekris
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Crescent Capital BDC, Inc.
|
5/13/2022
|
225655109
|
CCAP
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1A.Election of Class I Director to serve for a three-year term expiring at the 2025 Annual Meeting: Kathleen S. Briscoe
|
Issuer
|
Mirror Vote
|
For
|
1B. Election of Class I Director to serve for a three-year term expiring at the 2025 Annual Meeting: George G. Strong, Jr.
|
Issuer
|
Mirror Vote
|
For
|
2A. Election of Class III Director to serve for a two-year term expiring at the 2024 Annual Meeting: Elizabeth Ko
|
Issuer
|
Mirror Vote
|
For
|
3.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, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Virtus Total Return Fund Inc.
|
5/23/2022
|
92835W107
|
ZTR
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1E. Election of Class II Director: George R. Aylward
|
Issuer
|
Mirror Vote
|
For
|
1F. Election of Class II Director: F. Ford Drummond
|
Issuer
|
Mirror Vote
|
For
|
1G. Election of Class II Director: John R. Mallin
|
Issuer
|
Mirror Vote
|
For
|
1H. Election of Class II Director: Philip R. McLoughlin
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Xai Octagon FR & ALT Inc. Term Tr-PREF
|
5/24/2022
|
98400T205
|
XFLT/PA
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1a. Election of Class II Trustee of the Trust, to be elected by common shares and preferred shares voting as a single class, to serve until the 2025 annual meeting: Gregory G. Dingens
|
Issuer
|
Mirror Vote
|
For
|
1b. Election of Class II Trustee of the Trust, to be elected by preferred shares voting as a separate class, to serve until the 2025 annual meeting: Philip G. Franklin
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Seven Hills Realty Trust
|
5/25/2022
|
81784E101
|
SEVN
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1.1 Election of Class III Independent Trustee: Barbara D. Gilmore
|
Issuer
|
For
|
For
|
1.2 Election of Class III Independent Trustee: Joseph L. Morea
|
Issuer
|
For
|
For
|
2. Ratification of the appointment of Deloitte & Touche LLP as independent auditors to serve for the 2022 fiscal year.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Aberdeen Japan Equjity Fund
|
5/26/2022
|
00306J109
|
JEQ
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1.1. Election of Class II Director to serve until the 2025 Annual Meeting: Rahn Porter
|
Issuer
|
Mirror Vote
|
For
|
2.1 Election of Class II Director to serve until the 2025 Annual Meeting: Stephen Bird
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Cushing MLP & Infra Total Return FD
|
5/26/2022
|
231631300
|
SRV
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1a. Election of Class III Trustee to serve until 2025 annual meeting: Mr. Ronald P. Trout
|
Issuer
|
Mirror Vote
|
For
|
1b.Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Ms. Andrea N. Mullins
|
|
|
|
Election of Director: Mr. Jerry V. Swank
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
The Howard Hughes Corp.
|
5/26/2022
|
44267D107
|
HCC
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1A. Election of Director: William Ackman
|
Issuer
|
For
|
For
|
1B. Election of Director: Adam Flatto
|
Issuer
|
For
|
For
|
1C. Election of Director: Beth Kaplan
|
Issuer
|
For
|
For
|
1D. Election of Director: Allen Model
|
Issuer
|
For
|
For
|
1E. Election of Director: David O'Reilly
|
Issuer
|
For
|
For
|
1F. Election of Director: R. Scot Sellers
|
Issuer
|
For
|
For
|
1G. Election of Director: Steven Shepsman
|
Issuer
|
For
|
For
|
1H. Election of Director: Mary Ann Tighe
|
Issuer
|
For
|
For
|
1I. Election of Director: Anthony Williams
|
Issuer
|
Abstain
|
|
2. Advisory (non-binding) vote to approve executive compensation Say-on-Pay
|
Issuer
|
For
|
For
|
3. Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for fiscal 2022
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Cedar Realty Trust, Inc.
|
5/27/2022
|
150602605
|
CDR
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
No vote
|
For
|
1. To approve the sale of the Company and substantially all of its assets, including the Grocery-Anchored Portfolio Sale and the Mergers (the "Transactions").
|
Issuer
|
No vote
|
For
|
2. To approve, on a non-binding advisory basis, the compensation to be paid or that may become payable by the Company to its named executive officers that is based on or otherwise relates to the Transactions.
|
Issuer
|
No vote
|
For
|
3. To approve one or more adjournments of the special meeting, if necessary, to solicit additional proxies if we have not obtained sufficient affirmative stockholder votes to approve the Transactions.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Suro Capital Corp.
|
6/1/2022
|
86887Q109
|
SSSS
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Ronald M. Lott
|
|
|
|
Election of Director: Marc Mazur
|
|
Mirror Vote
|
For
|
2. To provide an advisory non-binding vote to approve executive compensation.
|
Issuer
|
Mirror Vote
|
For
|
3. The ratification of the selection of Marcum LLP as the independent registered public accounting firm for SuRo Capital Corp. for the fiscal year ending December 31, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Templeton Global Income Fund
|
6/6/2022
|
880198106
|
GIM
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. Vote Board of Directors:
|
Shareholder
|
|
|
Election of Director: Karen Caldwell
|
|
|
|
Election of Director: Ketu Desai
|
|
|
|
Election of Director: Mark Hammitt
|
|
|
|
Election of Director: Anatoly Nakum
|
|
For
|
For
|
2. Proposal to ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2022.
|
Shareholder
|
For
|
For
|
3. Saba's proposal to terminate the Investment Management Agreement between the Fund and Templeton Investment Counsel, LLC, dated as of October 30, 1992, as amended or novated, and all other advisory and
management agreements between the Fund and Franklin Advisers, Inc.
|
Shareholder
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Portman Ridge Finance Corp.
|
6/6/2022
|
73688F201
|
PTMN
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: George Grunebaum
|
|
|
|
Election of Director: Dean C. Kehler
|
|
|
|
Election of Director: Matthew Westwood
|
|
Mirror Vote
|
For
|
2. To ratify the selection of Deloitte & Touche LLP as the independent registered public accountant of the Company for the fiscal year ending December 31, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Oaktree Acquisition Corp. II
|
6/7/2022
|
G6715X103
|
OACB
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. The Business Combination Proposal - RESOLVED, as an ordinary resolution, that OACB's entry into the Business Combination Agreement, dated as of December 7, 2021 (as may be amended, supplemented or otherwise
modified from time to time, the "Business Combination Agreement"), by and among OACB, Alvotech Holdings S.A., a public limited liability company (société anonyme) incorporated and existing under the laws of the Grand Duchy of Luxembourg,
having its registered office at 9, Rue de ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
For
|
For
|
2. The First Merger Proposal - RESOLVED, as a special resolution, that (a) OACB be authorized to merge with TopCo so that TopCo is the surviving entity and all the undertaking, property and liabilities of OACB
vest in TopCo; (b) the plan of merger in the form tabled to the General Meeting (a draft of which is attached to the accompanying proxy statement/prospectus as Exhibit G of Annex A, the "Plan of First Merger") be authorized, approved and
confirmed in all respects; and (c) OACB be authorized to enter into the Plan of First Merger.
|
Issuer
|
For
|
For
|
3. The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the OACB General Meeting to a later date or dates (A) to the extent necessary to ensure that any required supplement or
amendment to the accompanying proxy statement/prospectus is provided to OACB shareholders, (B) in order to solicit additional proxies from OACB shareholders in favor of one or more of the proposals at the OACB General Meeting or (C) if
OACB shareholders redeem an amount of the OACB ...(due to space limits, see proxy material for full proposal).
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Nexpoint Diversified RE TR
|
6/14/2022
|
65340G205
|
NXDT
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Bryan A. Ward
|
|
|
|
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Nexpoint Diversified RE TR Pfd 5.5%
|
6/14/2022
|
65340G304
|
NXDT Pfd
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Ethan Powell
|
|
|
|
Election of Director: Bryan A. Ward
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Highland Global Allocation Fund
|
6/14/2022
|
43010T104
|
HGLB
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Ethan Powell
|
|
|
|
Election of Director: Bryan A. Ward
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Highland Income Fund
|
6/14/2022
|
43010E204
|
HFRO
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Bryan A. Ward
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
The New Ireland Fund, Inc.
|
6/14/2022
|
645673104
|
IRL
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Election of Director
|
Issuer
|
|
|
1a. David Dempsey
|
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Indus Realty Trust
|
6/14/2022
|
45580R103
|
INDT
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1a. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: David R. Bechtel
|
Issuer
|
For
|
For
|
1b. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Frederick M. Danziger
|
Issuer
|
For
|
For
|
1c. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Gordon F. DuGan
|
Issuer
|
For
|
For
|
1d. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Michael S. Gamzon
|
Issuer
|
For
|
For
|
1e. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Jonathan P. May
|
Issuer
|
For
|
For
|
1f. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Molly North
|
Issuer
|
For
|
For
|
1g. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Amy Rose Silverman
|
Issuer
|
For
|
For
|
1h. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Michael Simanovsky
|
Issuer
|
For
|
For
|
1i. Election of Director to serve for a one-year term expiring at the 2023 Annual Meeting: Albert H. Small, Jr.
|
Issuer
|
Abstain
|
For
|
2. The approval, on an advisory (non-binding) basis, of the compensation of INDUS's named executive officers as presented in INDUS's Proxy Statement.
|
Issuer
|
For
|
For
|
3. The ratification of the selection of RSM US LLP as INDUS's independent registered public accountants for the year ending December 31, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Lucent
|
6/15/2022
|
55025L108
|
LFT
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhold All
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: James P. Flynn
|
|
|
|
Election of Director: James C. Hunt
|
|
|
|
Election of Director: Neil A. Cummins
|
|
|
|
Election of Director: William A. Houlihan
|
|
|
|
Election of Director: Walter C. Keenan
|
|
|
|
Election of Director: Marie D. Reynolds
|
|
Abstain
|
For
|
2. Approval, on advisory basis, of the compensation of our named executive officers, as described in the proxy statement under "executive compensation."
|
Issuer
|
For
|
For
|
3. Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
|
Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Corner Growth Acquistion Corp. 2
|
6/15/2022
|
G2426E104
|
TRON
|
Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
For
|
For
|
1. Extension Proposal: Amend the Company's amended and restated memorandum and articles of association to (i) extend the date that the Company has to consummate a business combination from June 21, 2022 to July
21, 2022 (the "Extended Date") and (ii) allow the Company without another shareholder vote, to elect to extend the date to consummate a business combination after the Extended Date on a monthly basis for an additional eight months,
through and until March 21, 2023 the ("Additional Extension Date").
|
Issuer
|
For
|
For
|
2. Adjournment Proposal: Adjourn 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,
or otherwise in connection with, the approval of Proposal 1.
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Issuer
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|
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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, 2021 - June 30,2022
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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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Runway Growth Finance Corp.
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6/16/2022
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78163D100
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RWAY
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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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Mirror Vote
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For
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1. Vote Board of Directors:
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Issuer
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|
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Election of Director: R. David Spreng
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|
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Election of Director: Brian Laibow
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|
|
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Mirror Vote
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For
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2. To ratify the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022.
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Issuer
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Mirror Vote
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For
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3. To approve a proposal to authorize the Company to issue options, warrants or securities to subscribe to, convert to, or purchase common stock, subject to the conditions as set forth in the proxy statement.
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Issuer
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Mirror Vote
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For
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4. To approve of the Company becoming subject to a minimum asset coverage ratio of at least 150%, permitting the Company to double its amount of debt incurrence, pursuant to Section 61(a) (2) of the Investment
Company Act of 1940, as amended by the Small Business Credit Availability Act.
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Issuer
|
|
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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, 2021 - June 30,2022
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|
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Company Name
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Meeting Date
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CUSIP
|
Ticker
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Synchronoss Technologies
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6/16/2022
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87157B103
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SNCR
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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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Withhold All
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For
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1. Vote Board of Directors:
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Issuer
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|
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Election of Director: Laurie L. Harris
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|
|
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Election of Director: Jeffrey G. Miller
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For
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For
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2. To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022.
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Issuer
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Abstain
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For
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3. To approve on a non-binding advisory basis the compensation of the Company's named executive officers.
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Issuer
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For
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For
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4. To approve the amendment to the Company's Restated Certificate of Incorporation to increase the aggregate number of authorized shares of Common Stock.
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Issuer
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Abstain
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For
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5. To approve the amendment of the Synchronoss Technologies, Inc. 2015 Equity Incentive Plan.
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Issuer
|
|
|
|
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
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|
|
|
|
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Company Name
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Meeting Date
|
CUSIP
|
Ticker
|
FS KKR Capital
|
6/22/2022
|
302635206
|
FSK
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Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
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Mirror Vote
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For
|
1. Vote Board of Directors:
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Issuer
|
|
|
Election of Director: Barbara Adams
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|
|
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Election of Director: Michael C. Forman
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|
|
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Election of Director: Jerel A. Hopkins
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Mirror Vote
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For
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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.
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Issuer
|
|
|
|
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Name of Fund:
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Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
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Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Central and Eastern Europe Fund, Inc.
|
6/23/2022
|
153436100
|
CEE
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Vote
|
Management Recommended Vote
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Proposal
|
Propose by issuer or shareholder
|
Mirror Vote
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Dr.Christopher Pleister
|
|
|
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Election of Director: Ms. Hepsen Uzcan
|
|
|
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Election of Director: Mr. Christian M. Zügel
|
|
|
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Election of Director: Ms. Fiona Flannery
|
|
|
|
Election of Director: Mr. Bernhard Koepp
|
|
|
|
|
|
Mirror Vote
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For
|
2. To ratify the appointment by the Audit Committee and the Board of Directors of Ernst & Young LLP, an independent public accounting firm, as independent auditors for the fiscal year ending October 31,
2022.
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Issuer
|
Mirror Vote
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For
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3. To approve a proposal to change the Fund's fundamental investment policy that "the Fund may not invest 25% or more of its total assets in the securities of issuers in any one industry, except that the Fund
will concentrate its investments in the energy sector" to "the Fund may not invest 25% or more of its total assets in the securities of issuers in any one industry."
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
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Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Trinity Place Holdings, Inc
|
6/28/2022
|
89656D101
|
TPHS
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Vote
|
Management Recommended Vote
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Proposal
|
Propose by issuer or shareholder
|
Withhold
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For
|
1a. Election of Director: Alexander C. Matina
|
Issuer
|
Withhold
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For
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1b. Election of Director: Jeffrey B. Citrin
|
Issuer
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For
|
For
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2. Ratification of the appointment of BDO USA, LLP as the independent registered public accounting firm for the year ending December 31, 2022.
|
Issuer
|
|
|
|
|
Name of Fund:
|
Special Opportunities Fund, Inc. (SPE)
|
|
Period:
|
July 1, 2021 - June 30,2022
|
|
|
|
|
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Company Name
|
Meeting Date
|
CUSIP
|
Ticker
|
Creative Media & Community Trust
|
6/30/2022
|
125525584
|
CMCT
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Vote
|
Management Recommended Vote
|
Proposal
|
Propose by issuer or shareholder
|
Withhold All
|
For
|
1. Vote Board of Directors:
|
Issuer
|
|
|
Election of Director: Douglas Bech
|
|
|
|
Election of Director: Marcie Edwards
|
|
|
|
Election of Director: Kelly Eppich
|
|
|
|
Election of Director: Shaul Kuba
|
|
|
|
Election of Director: Richard Ressler
|
|
|
|
Election of Director: Avraham Shemesh
|
|
|
|
Election of Director: Elaine Wong
|
|
|
|
|
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For
|
For
|
2. To consider and approve the ratification of Deloitte & Touche, LLP as Creative Media's auditor for the fiscal year ending December 31, 2022.
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Issuer
|