N-PX 1 fgb_npx.txt PROXY VOTING RECORD 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 ------------------------------------------------------------- Exact Name of Registrant as Specified in Declaration of Trust 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187 ------------------------------------------------------------------------------ Address of Principal Executive Offices (Number, Street, City, State, Zip Code) W. Scott Jardine First Trust Portfolios L.P. 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 ----------------------------------------------------------------------------- Name and Address (Number, Street, City, State, Zip Code) of Agent for Service (630) 765-8000 -------------------------------------------------- Registrant's Telephone Number, including Area Code Date of fiscal year end: November 30 ----------- Date of reporting period: July 1, 2008 - June 30, 2009 ---------------------------- 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, 100 F Street, N.E., 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

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Apollo Investment Corporation 5-Aug-08 03761U106 AINV

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Claudine Malone as director Issuer For For 1.2) Elect Frank Puleo as director Issuer For For 1.3) Elect Carl Spielvogel as director Issuer For For 2) To ratify the selection of PricewaterhouseCoopers LLP to serve as the Company's independent registered public accounting firm for the year ending March 31, 2009 Issuer For For 3) To approve a proposal to authorize flexibility for the Company, with approval of its Board of Directors, to sell shares of its common stock during the upcoming year at prices slightly below the Company's then current net asset value per share in one or more offerings, subject to certain conditions Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Prospect Capital Corp. 12-Dec-08 74348T102 PSEC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Graham Anderson as director Issuer For For 1.2) Elect Eugene Stark as director Issuer For For 2) Selection of BDO Seidman as the registered public accountant through 6/30/09 Issuer For For 3) Proposal to sell stock at prices below the company's net asset value Issuer For For 4) Proposal to to authorize the company to issue warrants, options or rights offerings Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- PennantPark Inv. Corp. 3-Feb-09 708062104 PNNT

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Marshall Brozost as director Issuer For For 1.2) Elect Samuel Katz as director Issuer For For 2) Ratify the selection of KPMG LLP as PennantPark Investment Corporations independent registered public accounting firm for fiscal year ending September 30, 2009 Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Gladstone Capital 19-Feb-09 376535100 GLAD

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Maurice Coulan as director Issuer For For 1.2) Elect Gerard Mead as director Issuer For For 1.3) Elect David Dullum as director Issuer For For 1.4) Elect Terry Lee Brubaker as director Issuer For For 2) Authorization to sell shares of common stock at a price below current NAV share. Issuer For For 3) To ratify the selection of Price Waterhouse Coopers LLP as the independent registered public accounting firm for fiscal year ending September 30, 2009 Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- American Capital, Ltd. 19-Feb-09 02503Y103 ACAS

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1) Authorization to sell shares of ACAS common stock below the net asset value per share. Issuer For For 2) In their [the board of directors'] discretion on any matter that may properly come before the meeting or any adjournment of such meeting. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- MVC Capital, Inc. 14-Apr-09 553829-102 MVC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Emilio Dominianni as director Issuer For For 1.2) Elect Gerald Hellerman as director Issuer For For 1.3) Elect Robert Knapp as director Issuer For For 1.4) Elect William Taylor as director Issuer For For 1.5) Elect Warren Holtsberg as director Issuer For For 1.6) Elect Michael Tokarz as director Issuer For For 2) Approve an amended & restated investment advisory & management agreement with TTG Advisers. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Ares Capital 4-May-09 04010L-103 ARCC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Gregory Penske as director Issuer For For 1.2) Elect Robert Rosen as director Issuer For For 1.3) Elect Bennett Rosenthal as director Issuer For For 2) Ratify KPMG LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer For For 3) Authorize the company to sell or issue shares of common stock at a price below its then-current NAV per share. Issuer For For 4) Authorize the company to sell or, otherwise, issue warrants or securities to subscribe for or securities convertible into shares of common stock -- not exceeding 25% of its then outstanding common stock, at an exercise or conversion price that, at date of issuance, will not be less than the greater on a per-share basis of the market value of its common stock & NAV. Issuer Against Against 5) Ratify declassification of board of directors & annual election of all company directors. Shareholder

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Highland Distressed Opportunites, Inc. 9-Apr-09 430067-108 HCD

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1) Approve an agreement & plan of merger & liquidation. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- NGP Capital Resources 13-May-09 H27013-103 NGPC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Did Not Vote N/A 1.1) Elect David Albin as director for term ending 2012 Issuer Did Not Vote N/A 1.2) Elect Lon Kile as director for term ending 2012 Issuer Did Not Vote N/A 2) Authorize the company to offer and issue warrants Issuer exercisable for, rights to subscribe for, and preferred stock and debt convertible into, shares of common stock of the company (not to exceed 25% of then-outstanding number of common shares).

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Allied Capital 13-May-09 01903Q-108 ALD

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Ann Torre Bates as director Issuer For For 1.2) Elect Edward Mathias as director Issuer For For 1.3) Elect Alex Pollack as director Issuer For For 1.4) Elect John Scheurer as director Issuer For For 2) Ratify the selection of KPMG LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- BlackRock Kelso Capital 18-May-09 092533-108 BKCC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect William Mayer as director Issuer For For 1.2) Elect Francois de Saint Phalle as director Issuer For For 2) Authorize flexibility for the company, with approval of the Board, to sell shares of its common stock at a price below, but no more than 5% below, the company's then current net asset value per share subject to certain limitations Issuer For For 2 Ratify the selection of Grant Thornton LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Compass Diversified Holdings 19-May-09 20451Q-104 CODI

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect C. Sean Day as director Issuer Echo Vote -- For For 1.2) Elect Eugene Ewing as director Issuer Echo Vote -- For For 3) Ratify the selection of Deloitte & Touche LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- State Street 20-May-09 857477-103 STT

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect K. Burnes as director Issuer For For 1.2) Elect P. Coym as director Issuer For For 1.3) Elect P. De Saint-Aignan as director Issuer For For 1.4) Elect A. Fawcett as director Issuer For For 1.5) Elect D. Gruber as director Issuer For For 1.6) Elect L. Hill as director Issuer For For 1.7) Elect R. Kaplan as director Issuer For For 1.8) Elect C. Lamantia as director Issuer For For 1.9) Elect R. Logue as director Issuer For For 1.10) Elect C. Lamantia as director Issuer For For 1.11) Elect R. Sergel as director Issuer For For 1.12) Elect R. Skates as director Issuer For For 1.13) Elect G. Summe as director Issuer For For 1.14) Elect R. Weissman as director Issuer For For 2) Approve the board's proposal to amend articles of organization & bylaws to adopt a majority vote standard for uncontested elections of directors. Issuer For For 3) Approve the board's proposal to amend & restate 2006 equity incentive plan to increase by 17m the maximum number of shares that may be delivered in satisfaction of awards under the plan. Issuer For For 4) Annually hold a shareholder vote on an advisory resolution on the compensation of executive officers. Issuer For For 5) Ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer Against Against 6) Require annual board certification that the corporation has paid no fees or equity to its audit firm for any services other than audit activity as required by State & Federal law Shareholder

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- NorthStar Realty Financial 21-May-09 66704R-100 NRF

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect C. Preston Butcher as director Issuer Echo Vote -- For For 1.2) Elect David Hamamoto as director Issuer Echo Vote -- For For 1.3) Elect Judith Hannaway as director Issuer Echo Vote -- For For 1.4) Elect Wesley D. Minami as director Issuer Echo Vote -- For For 1.5) Elect Louis Paglia as director Issuer Echo Vote -- For For 1.6) Elect Frank Sica as director Issuer Echo Vote -- For For 2) Ratify the selection of Grant Thornton LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- MFA Financial 21-May-09 55272X-102 MFA

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Michael Dahir as director Issuer For For 1.2) Elect George Krauss as director Issuer For For 2) Ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Highland Distressed Opportunites, Inc. 27-May-09 430067-108 HCD

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1) Approve an Agreement and Plan of Merger and Liquidation among Highland Distressed Opportunities, Inc. (the "Acquired Fund"), Highland Credit Strategies Fund (the "Acquiring Fund") and HCF Acquisition LLC, a wholly owned subsidiary of the Acquiring Fund ("Merger Sub") Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- iSTAR Financial 27-May-09 45031U-101 SFI

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Glenn August as director Issuer Echo Vote -- For For 1.2) Elect Robert Holman, Jr. as director Issuer Echo Vote -- For For 1.3) Elect Robin Josephs as director Issuer Echo Vote -- For For 1.4) Elect John McDonald as director Issuer Echo Vote -- For For 1.5) Elect George Puskar as director Issuer Echo Vote -- For For 1.6) Elect Dale Anne Reiss as director Issuer Echo Vote -- For For 1.7) Elect Jay Sugarman as director Issuer Echo Vote -- For For 1.8) Elect Jeffrey Weber as director Issuer Echo Vote -- For For 2) Approve 2009 Long-Term Incentive Plan Issuer Echo Vote -- For For 3) Approve performance-based retention reward for chairman & CEO Issuer Echo Vote -- For For 4) Ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Fidelity National Financial, Inc. 28-May-09 31620R-105 FNF

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Frank Willey as director Issuer For For 1.2) Elect Willie Davis as director Issuer For For 2) Ratify the selection of KPMG LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Annaly Capital Management 29-May-09 035710-409 NLY

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect W. Denahan-Norris as director Issuer For For 1.2) Elect Michael Haylon as director Issuer For For 1.3) Elect Donnell Segalas as director Issuer For For 2) Ratify the selection of Deloitte & Touche LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Hercules Technology Growth Capital, Inc. 3-Jun-09 427096-508 HTGC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Allyn Woodward, Jr. as director Issuer Echo Vote -- For For 2) Ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer Echo Vote -- For For 3) Authorize the company to sell or otherwise issue up to 20% of its outstanding common stock at a price below the company's then-current net asset value ("NAV") per share Issuer Echo Vote -- For For 4) Authorize the company to offer and issue debt with warrants or debt convertible into shares of its common stock at an exercise or conversion price that, at the time such warrants or convertible debt are issued, will not be less than the fair market value per share but may be below NAV Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Medallion Financial 5-Jun-09 583928-106 TAXI

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Stanley Kreitman as director Issuer Echo Vote -- For For 1.2) Elect Frederick Menowitz as director Issuer Echo Vote -- For For 1.3) Elect David Rudnick as director Issuer Echo Vote -- For For 2) Ratify the selection of Weiser LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer Echo Vote -- For For 3) Approve overall executive pay-for-performance compensation policies & procedures employed by the company Issuer Echo Vote -- For For 4) Approve 2009 employee restricted stock plan Issuer Echo Vote -- For For 5) Approve Amended & Restated 2006 Non-Employee Director Stock Option Plan Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- American Capital, Ltd. 11-Jun-09 02503Y-103 ACAS

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- For For 1.1) Elect Mary Baskin as director Issuer For For 1.2) Elect Neil Hahl as director Issuer For For 1.3) Elect Philip Harper as director Issuer For For 1.4) Elect John Koskinen as director Issuer For For 1.5) Elect Stan Lundine as director Issuer For For 1.6) Elect Kenneth Peterson, Jr. as director Issuer For For 1.7) Elect Alvin Puryear as director Issuer For For 1.8) Elect Malon Wilkus as director Issuer For For 2) Amend certificate of incorporation to affect a reverse split, subject to certain limitations Issuer For For 3) Approve the 2009 Stock Option Plan Issuer For For 4) Ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Kohlberg Capital 12-Jun-09 500233-101 KCAP

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Christopher Locovara as director Issuer Echo Vote -- For For 1.2) Elect Dayl Pearson as director Issuer Echo Vote -- For For 2) Ratify the selection of Deloitte & Touche LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- MCG Capital 17-Jun-09 58047P-107 MCGC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Jeffrey Bucher as director Issuer Echo Vote -- For For 1.2) Elect A. Hugh Ewing, III as director Issuer Echo Vote -- For For 1.3) Elect Kenneth O'Keefe as director Issuer Echo Vote -- For For 2) Ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer Echo Vote -- For For 3) Authorize the company to issue securities to subscribe to, to convert to, or purchase shares of its common stock in one or more offerings up to an aggregate of 10m shares Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Patriot Capital Funding, Inc. 17-Jun-09 70335Y-104 PCAP

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Steven Drogin as director Issuer Echo Vote -- For For 1.2) Elect Mel Melsheimer as director Issuer Echo Vote -- For For 1.3) Elect Richard Sebastiao as director Issuer Echo Vote -- For For 2) Ratify the selection of Grant Thornton LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Arbor Realty Trust 18-Jun-09 038923-108 ABR

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Walter Horn as director Issuer Echo Vote -- For For 1.2) Elect William Helmreich as director Issuer Echo Vote -- For For 1.3) Elect Karen Edwards as director Issuer Echo Vote -- For For 2) Amend & restate the company's 2003 Omnibus Stock Incentive Plan Issuer Echo Vote -- For For 3) Ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Gramercy Capital 18-Jun-09 384871-109 GKK

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Allan Baum as director Issuer Echo Vote -- For For 1.2) Elect Roger Cozzi as director Issuer Echo Vote -- For For 2) Ratify the selection of Ernst & Young LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- TICC Capital 18-Jun-09 87244T-109 TICC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1.1) Elect Jonathan Cohen as director Issuer Echo Vote -- For For 1.2) Elect G. Peter O'Brien as director Issuer Echo Vote -- For For 2) Ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the fiscal year 2009. Issuer

COMPANY NAME MEETING DATE CUSIP TICKER ----------------------------------------------------------------------------------------------------------------------------------- Fifth Street Finance Corp. 24-Jun-09 31678A-103 FSC

FOR/AGAINST PROPOSED BY ISSUER OR VOTE MANAGEMENT PROPOSAL SECURITY HOLDER ----------------------------------------------------------------------------------------------------------------------------------- Echo Vote -- For For 1) Authorize the company to sell shares of its common stock at a price below the then-current NAV per share for the company. Issuer

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 31, 2009 ------------------------- * Print the name and title of each signing officer under his or her signature.