UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act File No. 811-22039
First Trust Specialty Finance and
Financial Opportunities Fund
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Exact Name of Registrant as Specified in Declaration of Trust
1001 Warrenville Road, Suite 300, Lisle, Illinois 60532
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Address of Principal Executive Offices (Number, Street, City, State, Zip Code)
W. Scott Jardine
First Trust Portfolios L.P.
1001 Warrenville Road, Suite 300
Lisle, Illinois 60532
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Name and Address (Number, Street, City, State, Zip Code) of Agent for Service
(630) 241-4141
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Registrant's Telephone Number, including Area Code
Date of fiscal year end: November 30
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Date of reporting period: July 1, 2007 - June 30, 2008
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Form N-PX is to be used by a registered management investment company, other
than a small business investment company registered on Form N-5 (ss.ss. 239.24
and 274.5 of this chapter), to file reports with the Commission, not later than
August 31 of each year, containing the registrant's proxy voting record for the
most recent twelve-month period ended June 30, pursuant to section 30 of the
Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4).
The Commission may use the information provided on Form N-PX in its regulatory,
disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and
the Commission will make this information public. A registrant is not required
to respond to the collection of information contained in Form N-PX unless the
Form displays a currently valid Office of Management and Budget ("OMB") control
number. Please direct comments concerning the accuracy of the information
collection burden estimate and any suggestions for reducing the burden to the
Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington
D.C. 20549. The OMB has reviewed this collection of information under the
clearance requirements of 44 U.S.C. Section 3507.
Item 1. Proxy Voting Record
ALLIED CAPITAL CORPORATION SECURITY: 01903Q108 TICKER: ALD
Meeting Date/Type: 06/10/08 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 02/11/08 535,660 535,660 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director John D. Firestone For For With
1.2 Elect Director Anthony T. Garcia For For With
1.3 Elect Director Lawrence I. Hebert For For With
1.4 Elect Director Marc F. Racicot For For With
1.5 Elect Director Laura W. Van Roijen For For With
2 Ratify Auditors For For With
3 Approve Sale of Common Shares Below Net Asset For For With
Value
AMERICAN CAPITAL STRATEGIES, SECURITY: 024937104 TICKER: ACAS
LTD.
Meeting Date/Type: 05/19/08 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 03/20/08 382,326 382,326 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Mary C. Baskin For For With
1.2 Elect Director Neil M. Hahl For For With
1.3 Elect Director Philip R. Harper For For With
1.4 Elect Director John A. Koskinen For For With
1.5 Elect Director Stan Lundine For For With
1.6 Elect Director Kenneth D. Peterson For For With
1.7 Elect Director Alvin N. Puryear For For With
1.8 Elect Director Malon Wilkus For For With
2 Adopt Majority Voting for Uncontested Election of For For With
Directors
3 Approve Stock Option Plan For For With
4 Amend Incentive Bonus Plan For Against Against
5 Approve Issuance of Convertible Debt Securities or For For With
Preferred Stock
6 Change Company Name For For With
7 Ratify Auditors For For With
8 Other Business For Against Against
ANNALY CAPITAL MANAGEMENT INC. SECURITY: 035710409 TICKER: NLY
Meeting Date/Type: 04/21/08 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 03/17/08 350,000 350,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1 Increase Authorized Common Stock For For With
ANNALY CAPITAL MANAGEMENT INC. SECURITY: 035710409 TICKER: NLY
Meeting Date/Type: 05/20/08 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 03/27/08 350,000 350,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Michael J. For For With
Farrell
1.2 Elect Director Jonathan D. For For With
Green
1.3 Elect Director John A. For For With
Lambiase
2 Ratify Auditors For For With
APOLLO INVESTMENT CORPORATION SECURITY: TICKER: AINV
Meeting Date/Type: 08/07/07 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 06/20/07 0 820,400 Unvoted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Elliot Stein, For Withheld Against
Jr.
1.2 Elect Director Bradley J. For Withheld Against
Wechsler
2 Ratify Auditors For Withheld Against
ARBOR REALTY TRUST, INC. SECURITY: 038923108 TICKER: ABR
Meeting Date/Type: 05/21/08 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 04/01/08 330,000 330,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Ivan Kaufman For For With
1.2 Elect Director C. Michael For For With
Kojaian
1.3 Elect Director Melvin F. For For With
Lazar
2 Amend Restricted Stock Plan For Against Against
3 Ratify Auditors For For With
4 Declassify the Board of Against For Against
Directors
ARC ENERGY TRUST (ARC RESOURCES LTD.) SECURITY: 001986108 TICKER: AET-U
Meeting Date/Type: 05/12/08 - AGM RECORD DATE: Shares Voted: Shares: MEETING STATUS:
04/07/08 100 100 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
Meeting for Unit and Special Voting Unitholders
1 Approve Computershare Trust Company of Canada as For For With
Trustee of the Trust
2.1 Elect Frederic C. Coles as Director of ARC For For With
Resources
2.2 Elect Walter DeBoni as Director of ARC Resources For For With
2.3 Elect John P. Dielwart as Director of ARC Resources For For With
2.4 Elect Fred J. Dyment as Director of ARC Resources For For With
2.5 Elect James C. Houck as Director of ARC Resources For For With
2.6 Elect Michael M. Kanovsky as Director of ARC For For With
Resources
2.7 Elect Herbert C. Pinder, Jr. as Director of ARC For For With
Resources
2.8 Elect John M. Stewart as Director of ARC Resources For For With
2.9 Elect Mac H. Van Wielingen as Director of ARC For For With
Resources
3 Ratify Deloitte & Touche LLP as Auditors For For With
ARES CAP CORP SECURITY: 04010L103 TICKER: ARCC
Meeting Date/Type: 05/29/08 - RECORD DATE: 04/07/08 Shares Voted: Shares: MEETING STATUS:
AGM 760,000 760,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Douglas E. Coltharp For For With
2 Ratify Auditors For For With
3 Approve Issuance of Warrants/Convertible For For With
Debentures
BLACKROCK KELSO CAPITAL CORP SECURITY: 092533108 TICKER: BKCC
Meeting Date/Type: 04/24/08 - RECORD DATE: 03/25/08 Shares Voted: Shares: MEETING STATUS:
AGM 650,000 650,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Jerrold B. Harris For For With
2 Approve Investment Advisory Agreement For For With
3 Approve Sale of Common Shares Below Net Asset For For With
Value
4 Ratify Auditors For For With
BLACKROCK LIQUIDITY FUNDS SECURITY: 09248U619 TICKER: TMPXX
Meeting Date/Type: 09/07/07 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 06/25/07 52,352,254 52,352,254 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director David O. Beim For For With
1.2 Elect Director Ronald W. Forbes For For With
1.3 Elect Director Dr. Matina Horner For For With
1.4 Elect Director Rodney D. Johnson For For With
1.5 Elect Director Herbert I. London For For With
1.6 Elect Director Cynthia A. For For With
Montgomery
1.7 Elect Director Joseph P. Platt, For For With
Jr.
1.8 Elect Director Robert C. Robb, For For With
Jr.
1.9 Elect Director Toby Rosenblatt For For With
1.10 Elect Director Kenneth L. Urish For For With
1.11 Elect Director Frederick W. For For With
Winter
1.12 Elect Director Richard S. Davis For For With
1.13 Elect Director Henry Gabbay For For With
CAPITAL TRUST, INC. SECURITY: 14052H506 TICKER: CT
Meeting Date/Type: 06/05/08 - RECORD DATE: 04/28/08 Shares Voted: Shares: MEETING STATUS:
AGM 225,000 225,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Samuel Zell For For With
1.2 Elect Director Thomas E. For For With
Dobrowski
1.3 Elect Director Martin L. Edelman For For With
1.4 Elect Director Craig M. Hatkoff For For With
1.5 Elect Director Edward S. Hyman For For With
1.6 Elect Director John R. Klopp For For With
1.7 Elect Director Henry N. Nassau For For With
1.8 Elect Director Joshua A. Polan For For With
1.9 Elect Director Lynne B. Sagalyn For For With
2 Ratify Auditors For For With
CAPITALSOURCE, INC SECURITY: 14055X102 TICKER: CSE
Meeting Date/Type: 05/01/08 - RECORD DATE: Shares Voted: Shares: MEETING STATUS:
AGM 03/10/08 870,000 870,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Frederick W. For For With
Eubank, II
1.2 Elect Director Jason M. Fish For For With
1.3 Elect Director Timothy M. Hurd For For With
2 Ratify Auditors For For With
3 Increase Authorized Common Stock For For With
4 Amend Omnibus Stock Plan For Against Against
ENERPLUS RESOURCES FUND SECURITY: 29274D604 TICKER: ERF
Meeting Date/Type: 05/09/08 - RECORD DATE: 03/20/08 Shares Voted: Shares: MEETING STATUS:
MIX 364,100 364,100 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
Annual Meeting Agenda for Enerplus Trust Units
1 Elect Douglas R. Martin, Edwin V. Dodge, Robert B. Hodgins, For For With
Gordon J. Kerr, David P. O'Brien, Glen D. Roane, W.C.
(Mike) Seth, Donald T. West, Harry B. Wheeler, Clayton H.
Woitas and Robert L. Zorich as Directors of Enermark Inc.
2 Approve Deloitte & Touche LLP as Auditors and Authorize For For With
Board to Fix Their Remuneration
3 Approve Unallocated Rights under the Trust Unit Rights For For With
Incentive Plan
4 Amend Trust Unit Rights Incentive Plan For For With
5 Approve Unitholder Rights Plan For For With
6 Approve Computershare Trust Company of Canada as Trustee of For For With
the Fund
FINANCIAL FEDERAL CORP. SECURITY: 317492106 TICKER: FIF
Meeting Date/Type: 12/11/07 - RECORD DATE: 10/15/07 Shares Voted: Shares: MEETING STATUS:
AGM 85,211 85,211 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Lawrence B. For For With
Fisher
1.2 Elect Director Michael C. Palitz For Withhold Against
1.3 Elect Director Paul R. For For With
Sinsheimer
1.4 Elect Director Leopold Swergold For For With
1.5 Elect Director H.E. Timanus, Jr. For For With
1.6 Elect Director Michael J. For For With
Zimmerman
2 Ratify Auditors For For With
GLADSTONE CAPITAL CORP. SECURITY: 376535100 TICKER: GLAD
Meeting Date/Type: 02/21/08 - RECORD DATE: 12/07/07 Shares Voted: Shares: MEETING STATUS:
AGM 410,000 410,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
Elect Director Michela A. English For For With
1.2 Elect Director Anthony W. Parker For For With
1.3 Elect Director George Stelljes III For For With
2 Approve Change of Fundamental Investment Policy For For With
3 Approve Change of Fundamental Investment Policy For For With
4 Approve Change of Fundamental Investment Policy For For With
5 Approve Change of Fundamental Investment Policy For For With
6 Approve Change of Fundamental Investment Policy For For With
7 Approve Change of Fundamental Investment Policy For For With
8 Approve Change of Fundamental Investment Policy For For With
9 Approve Change of Fundamental Investment Policy For For With
10 Approve Issuance of Warrants/Convertible For For With
Debentures
11 Ratify Auditors For For With
GRAMERCY CAPITAL CORP SECURITY: 384871109 TICKER: GKK
Meeting Date/Type: 02/13/08 - RECORD DATE: 01/02/08 Shares Voted: Shares: MEETING STATUS:
EGM 640,000 640,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1 Issue Shares in Connection with For For With
Acquisition
2 Adjourn Meeting For For With
GRAMERCY CAPITAL CORP SECURITY: 384871109 TICKER: GKK
Meeting Date/Type: 06/25/08 - RECORD DATE: 04/04/08 Shares Voted: Shares: MEETING STATUS:
AGM 640,000 640,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Jeffrey E. Kelter For For With
1.2 Elect Director Charles S. Laven For For With
2 Ratify Auditors For For With
3 Approve Qualified Employee Stock Purchase For For With
Plan
HERCULES TECHNOLOGY GROWTH CAPITAL, SECURITY: 427096508 TICKER: HTGC
INC.
Meeting Date/Type: 05/29/08 - AGM RECORD DATE: Shares Voted: Shares: MEETING STATUS:
04/21/08 506,205 506,205 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Robert P. Badavas For For With
1.2 Elect Director Joseph W. Chow For For With
2 Ratify Auditors For For With
3 Approve Sale of Common Shares Below Net Asset For For With
Value
HIGHLAND DISTRESSED OPPORTUNITIES, SECURITY: 430067108 TICKER: HCD
INC
Meeting Date/Type: 06/20/08 - AGM RECORD DATE: Shares Voted: Shares: MEETING STATUS:
04/14/08 50,000 50,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Mr. James F. Leary For For With
1.2 Elect Director Mr. Bryan A. Ward For For With
2 Ratify Auditors For For With
3 Approve Sale of Common Shares Below Net Asset For For With
Value
INVESCO LTD. (FORMERLY INVESCO PLC) SECURITY: G491BT108 TICKER: IVZ
Meeting Date/Type: 05/14/08 - AGM RECORD DATE: Shares Voted: Shares: MEETING STATUS:
03/14/08 15,000 15,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
This is a duplicate meeting for ballots received via
the Broadridge North American ballot distribution system
1 ELECTION OF DIRECTOR: REX D. ADAMS For For With
2 ELECTION OF DIRECTOR: SIR JOHN BANHAM For For With
3 ELECTION OF DIRECTOR: DENIS KESSLER For Against Against
4 Ratify Auditors For For With
5 APPROVAL OF 2008 GLOBAL EQUITY INCENTIVE PLAN For For With
6 APPROVAL OF EXECUTIVE INCENTIVE BONUS PLAN For For With
ISTAR FINANCIAL INC. SECURITY: 45031U101 TICKER: SFI
Meeting Date/Type: 05/28/08 - RECORD DATE: 04/02/08 Shares Voted: Shares: MEETING STATUS:
AGM 420,000 420,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Jay Sugarman For For With
1.2 Elect Director Glenn R. August For For With
1.3 Elect Director Robert W. For For With
Holman, Jr.
1.4 Elect Director Robin Josephs For For With
1.5 Elect Director John G. McDonald For For With
1.6 Elect Director George R. Puskar For For With
1.7 Elect Director Jeffrey A. Weber For For With
2 Amend Deferred Compensation Plan For For With
3 Ratify Auditors For For With
KOHLBERG CAPITAL CORP SECURITY: 500233101 TICKER: KCAP
Meeting Date/Type: 06/13/08 - RECORD DATE: 04/18/08 Shares Voted: Shares: MEETING STATUS:
AGM 490,000 490,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Albert G. Pastino For For With
1.2 Elect Director C. Michael Jacobi For For With
1.3 Elect Director Samuel P. Frieder For Withhold Against
2 Ratify Auditors For For With
3 Authorize Company to Sell Shares Below Net For For With
Asset Value
4 Amend Omnibus Stock Plan For For With
5 Approve Non-Employee Director Stock Option Plan For For With
MCG CAPITAL CORP SECURITY: 58047P107 TICKER: MCGC
Meeting Date/Type: 04/23/08 - RECORD DATE: 03/17/08 Shares Voted: Shares: MEETING STATUS:
AGM 472,000 472,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Robert J. Merrick For For With
1.2 Elect Director B. Hagen Saville For For With
1.3 Elect Director Wallace B. Millner, III For For With
1.4 Elect Director Richard W. Neu For For With
2 Ratify Auditors For For With
3 Approve Sale of Common Shares Below Net Asset For Against Against
Value
4 Amend Restricted Stock Plan For For With
5 Amend Non-Employee Director Restricted Stock Plan For For With
MEDALLION FINANCIAL CORP SECURITY: 583928106 TICKER: TAXI
Meeting Date/Type: 06/13/08 - RECORD DATE: 04/21/08 Shares Voted: Shares: MEETING STATUS:
AGM 446,000 446,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Henry L. For For With
Aaron
1.2 Elect Director Henry D. For For With
Jackson
1.3 Elect Director Alvin For For With
Murstein
2 Ratify Auditors For For With
MVC CAPITAL INC SECURITY: 553829102 TICKER: MVC
Meeting Date/Type: 03/24/08 - RECORD DATE: 02/08/08 Shares Voted: Shares: MEETING STATUS:
AGM 690,000 690,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Emilio For For With
Dominianni
1.2 Elect Director Gerald For For With
Hellerman
1.3 Elect Director Warren For For With
Holtsberg
1.4 Elect Director Robert Knapp For For With
1.5 Elect Director William Taylor For For With
1.6 Elect Director Michael Tokarz For For With
NGP CAPITAL RESOURCES COMPANY SECURITY: 62912R107 TICKER: NGPC
Meeting Date/Type: 05/14/08 - RECORD DATE: 03/17/08 Shares Voted: Shares: MEETING STATUS:
AGM 371,737 371,737 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Edward W. For For With
Blessing
NORTHSTAR REALTY FINANCE CORP SECURITY: 66704R100 TICKER: NRF
Meeting Date/Type: 05/22/08 - RECORD DATE: 04/22/08 Shares Voted: Shares: MEETING STATUS:
AGM 1,030,000 1,030,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director William V. For For With
Adamski
1.2 Elect Director Preston C. For For With
Butcher
1.3 Elect Director David T. For For With
Hamamoto
1.4 Elect Director Judith A. For For With
Hannaway
1.5 Elect Director Wesley D. For For With
Minami
1.6 Elect Director Louis J. Paglia For For With
1.7 Elect Director Frank V. Sica For For With
2 Ratify Auditors For For With
PATRIOT CAPITAL FUNDING INC SECURITY: 70335Y104 TICKER: PCAP
Meeting Date/Type: 06/24/08 - RECORD DATE: 05/12/08 Shares Voted: Shares: MEETING STATUS:
AGM 550,000 550,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1 Elect Director Richard P. Buckanavage For For With
2 Elect Director Timothy W. Hassler For For With
3 Ratify Auditors For For With
4 Authorize Company to Sell Shares Below Net Asset For For With
Value
5 Approve Restricted Stock Plan For Against Against
6 Approve Issuance of Warrants/Convertible For For With
Debentures
PENN WEST ENERGY TRUST SECURITY: 707885109 TICKER: PWE
Meeting Date/Type: 06/02/08 - RECORD DATE: 05/02/08 Shares Voted: Shares: MEETING STATUS:
AGM 129,800 129,800 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1 Approve CIBC Mellon Trust Company as Trustee of the Trust For For With
2 Approve all Unallocated Rights under the Trust Unit Rights For For With
Incentive Plan
3 Approve all Unallocated Trust Units under the Employee For Against Against
Trust Unit Savings Plan
4 Ratify KPMG LLP as Auditors For For With
5 Elect James E. Allard, William E. Andrew, Robert G. Brawn, For For With
George H. Brookman, John A. Brussa, Daryl Gilbert, Shirley
A. McClellan, Frank Potter, R. Gregory Rich, Jack Schanck
and James C. Smith as Directors of Penn West Petroleum Ltd.
PENNANTPARK INVESTMENT CORP. SECURITY: 708062104 TICKER: PNNT
Meeting Date/Type: 02/08/08 - RECORD DATE: 01/11/08 Shares Voted: Shares: MEETING STATUS:
AGM 555,000 555,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Marshall For For With
Brozost
1.2 Elect Director Samuel L. For For With
Katz
2 Ratify Auditors For For With
PROGRESS ENERGY TRUST SECURITY: 74326T108 TICKER: PGX-U
Meeting Date/Type: 05/01/08 - RECORD DATE: 03/27/08 Shares Voted: Shares: MEETING STATUS:
AGM 100 100 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1 Fix Number of Directors of Progress Energy Ltd. at Seven For For With
2 Elect David D. Johnson, Donald F. Archibald, John A. For For With
Brussa, Frederic C. Coles, Howard J. Crone, Michael R.
Culbert and Gary E. Perron as Directors of Progress
Energy Ltd.
3 Approve KPMG LLP as Auditors and Authorize Board to Fix For For With
Their Remuneration
PROSPECT CAPITAL CORP. SECURITY: 74348T102 TICKER: PSEC
Meeting Date/Type: 11/29/07 - RECORD DATE: 10/09/07 Shares Voted: Shares: MEETING STATUS:
AGM 306,152 306,152 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director John F. For Withhold Against
Barry
2 Ratify Auditors For For With
RAIT FINANCIAL TRUST SECURITY: 749227104 TICKER: RAS
Meeting Date/Type: 05/20/08 - RECORD DATE: 03/10/08 Shares Voted: Shares: MEETING STATUS:
AGM 200,000 200,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Betsy Z. Cohen For For With
1.2 Elect Director Daniel G. Cohen For For With
1.3 Elect Director Edward S. Brown For For With
1.4 Elect Director Frank A. For For With
Farnesi
1.5 Elect Director S. Kristin Kim For For With
1.6 Elect Director Arthur Makadon For For With
1.7 Elect Director Daniel Promislo For For With
1.8 Elect Director John F. For For With
Quigley, III
1.9 Elect Director Murray For For With
Stempel, III
2 Ratify Auditors For For With
3 Amend Omnibus Stock Plan For For With
REDWOOD TRUST, INC. SECURITY: 758075402 TICKER: RWT
Meeting Date/Type: 05/22/08 - RECORD DATE: 03/31/08 Shares Voted: Shares: MEETING STATUS:
AGM 250,000 250,000 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Douglas B. Hansen For For With
1.2 Elect Director Greg H. Kubicek For For With
1.3 Elect Director C.J. For For With
Toeniskoetter
2 Ratify Auditors For For With
3 Amend Omnibus Stock Plan For Against Against
4 Increase Authorized Common Stock For For With
5 Declassify the Board of Against For With
Directors
TICC CAPITAL CORP. SECURITY: 87244T109 TICKER: TICC
Meeting Date/Type: 06/16/08 - RECORD DATE: 04/25/08 Shares Voted: Shares: MEETING STATUS:
AGM 463,785 463,785 Voted
BALLOT ISSUES MGMT VOTE WITH/
REC CAST AGAINST
MGMT
1.1 Elect Director Charles M. Royce For Withhold Against
1.2 Elect Director Steven P. Novak For For With
2 Ratify Auditors For For With
3 Authorize Company to Sell Shares Below Net For For With
Asset Value
4 Approve Issuance of Warrants/Convertible For For With
Debentures
SIGNATURES
[See General Instruction F]
Pursuant to the requirements of the Investment Company Act of 1940, the
registrant has duly caused this report to be signed on its behalf by the
undersigned, thereunto duly authorized.
(Registrant) FIRST TRUST SPECIALTY FINANCE
AND FINANCIAL OPPORTUNITIES FUND
---------------------------------------
By (Signature and Title)* /s/ James A. Bowen
-----------------------------------
James A. Bowen, President
Date August 29, 2008
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* Print the name and title of each signing officer under his or her signature.