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FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-02213
Castle Convertible Fund, Inc.
(Exact name of registrant as specified in charter)
111 Fifth Avenue – 2nd Floor, New York, NY |
| 10003 |
(Address of principal executive offices) |
| (Zip code) |
Fred Alger Management, Inc., Attn: Hal Liebes, 111 Fifth Avenue, New York, NY 10003 |
(Name and address of agent for service) |
Registrant’s telephone number, including area code: (212) 806-2966 |
| |
| ||
Date of fiscal year end: 10/31/08 |
| |
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Date of reporting period: 07/01/08 - 06/30/2009 |
| |
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 (§§ 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 30b 1-4 thereunder (17 CFR 270.30b 1-4). 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, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of44U.S.C. § 3507.
******************************* FORM N-Px REPORT *******************************
ICA File Number: 811-02213
Reporting Period: 07/01/2008 - 06/30/2009 ;
Alger Convertible
& #160;
0;
& nbsp;
============================ CASTLE CONVERTIBLE FUND ============================
GENERAL ELECTRIC CO.
Ticker: GE Security ID: 369604103
Meeting Date: APR 22, 2009 Meeting Type: Annual
Record Date: FEB 23, 2009 &# 160;
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director James I. Cash, Jr. For For Management
1.2 Elect Director William M. Castell For For Management
1.3 Elect Director Ann M. Fudge For For Management
1.4 Elect Director Susan Hockfield For For Management
1.5 Elect Director Jeffrey R. Immelt 60; For For Management
1.6 Elect Director Andrea Jung For For Management
1.7 Elect Director Alan G. (A.G.) Lafley For Against Management
1.8 Elect Director Robert W. Lane For For ; Management
1.9 Elect Director Ralph S. Larsen For For Management
1.10 Elect Director Rochelle B. Lazarus For For Management
1.11 Elect Director James J. Mulva For For Management
1.12 Elect Director Sam Nunn For For Management
1.13 Elect Director Roger S. Penske For Against Management
1.14 Elect Director Robert J. Swieringa For For Management
1.15 Elect Director Douglas A. Warner III For ; For Management
2 Ratify Auditors For For Management
3 Provide for Cumulative Voting Against For Shareholder
4 Advisory Vote to Ratify Named Executive Against For 60; Shareholder
Officers' Compensation
5 Evaluate the Potential Conversion of Against Against Shareholder
the Corporation's Business Units into 0;
Four or More Public Corporations and
Distribute New Shares
6 Adopt Policy to Cease the Payments of Against For Shareholder
Dividends or Equivalent Payments to
Senior Executives for Shares Not Owned
7 Submit Severance Agreement (Change in Against For Shareholder
Control) to shareholder Vote
--------------------------- - -----------------------------------------------------
GENERAL MILLS, INC.
Ticker: GIS Security ID: 370334104 0;
Meeting Date: SEP 22, 2008 Meeting Type: Annual
Record Date: JUL 24, 2008
# Proposal Mgt Rec Vote Cast Sponsor
1 Elect Director Bradbury H. Anderson For For Management
2 Elect Director Paul Danos For For 0; Management
3 Elect Director William T. Esrey For For Management
4 Elect Director Raymond V. Gilmartin For For Management
5 Elect Director Judith Richards Hope For For Management
6 Elect Director Heidi G. Miller For For Management
7 Elect Director Hilda Ochoa-Brillembourg For For Management
8 Elect Director Steve Odland For For Management
9 Elect Director Kendall J. Powell & #160; For For Management
10 Elect Director Lois E. Quam For For Management
11 Elect Director Michael D. Rose For For Management
12 Elect Director Robert L. Ryan For & #160; For Management
13 Elect Director Dorothy A. Terrell For For Management
14 Ratify Auditors For For Management
--------------------------------------------------------------------------------
GLAXOSMITHKLINE PLC
Ticker: GSK &# 160; Security ID: 37733W105
Meeting Date: MAY 20, 2009 Meeting Type: Annual/Special
Record Date: MAR 11, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1 Accept Financial Statements and For For Management
Statutory Reports ;
2 Approve Remuneration Report For For Management
3 Elect James Murdoch as Director For For Management
4 Re-elect Larry Culp as Director For For Management
5 Re-elect Sir Crispin Davis as Director For For Management
6 Re-elect Dr Moncef Slaoui as Director For For Management
7 Re-elect Tom de Swaan as Director For Fo r Management
8 Reappoint PricewaterhouseCoopers LLP as For For Management
Auditors of the Company
9 Authorise the Audit Committee to Fix For & #160; For Management
Remuneration of Auditors
10 Authorise the Company and its For For Management
Subsidiaries to Make EU Politic al
Donations to Political Organisations
Other than Political Parties up to GBP 60;
50,000 and to Incur EU Political
Expenditure up to GBP 50,000
11 Authorise Issue of Equity with For For Management
Pre-emptive Rights Under a General
Authority up to GBP 432,359,137 and an
Additional Amount Pursuant to a Rights
Issue of up to GBP 864,692,333 After
Deducting Any Securities Issued Under 60;
the General Authority
12 Authorise Issue of Equity or For For Management
Equity-Lin ked Securities without
Pre-emptive Rights up to Aggregate
Nominal Amount of GBP 64,854,519 60;
13 Authorise 518,836,153 Ordinary Shares For For Management
for Market Purchase
14 Approve the Exemption from Statement of For ; For Management
the Name of the Senior Statutory
Auditor in Published Copies of the
&# 160; Auditor's Reports
15 Approve That a General Meeting of the For For Management
Company Other Than an Annual General ;
Meeting May Be Called on Not Less Than
14 Clear Days' Notice
16 Approve G laxoSmithKline 2009 For For Management
Performance Share Plan
17 Approve GlaxoSmithKline 2009 Share For For Management
Option Plan
18 Approve GlaxoSmithKline 2009 Deferred For For Management
Annual Bonus Plan &# 160;
--------------------------------------------------------------------------------
HECLA MINING CO. 60;
Ticker: HL Security ID: 422704106
Meeting Date: MAY 29, 2009 Meeting Type: Annual 60;
Record Date: MAR 31, 2009
# Proposal Mgt Rec Vote Cast Sponsor
1.1 Elect Director John H. Bowles For For Management
1.2 Elect Director George R. Nethercutt, For Withhold Management
Jr. 0;
2 Ratify Auditors For For Management
========== END NPX REPORT
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
(Registrant) | Castle Convertible Fund, Inc. |
By (Signature and Title)* | /s/ Daniel C. Chung |
| Daniel C. Chung, Principal Executive Officer |
|
|
Date | 8/24/09 |
* Print the name and title of each signing officer under his or her signature.
