0001144204-13-051226.txt : 20130917 0001144204-13-051226.hdr.sgml : 20130917 20130917160715 ACCESSION NUMBER: 0001144204-13-051226 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130630 FILED AS OF DATE: 20130917 DATE AS OF CHANGE: 20130917 EFFECTIVENESS DATE: 20130917 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Special Value Expansion Fund, LLC CENTRAL INDEX KEY: 0001301253 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-21629 FILM NUMBER: 131101376 BUSINESS ADDRESS: STREET 1: C/O TENNENBAUM CAPITAL PARTNERS, LLC STREET 2: 2951 28TH STREET, SUITE 1000 CITY: SANTA MONICA STATE: CA ZIP: 90405 BUSINESS PHONE: 310-566-1000 MAIL ADDRESS: STREET 1: C/O TENNENBAUM CAPITAL PARTNERS, LLC STREET 2: 2951 28TH STREET, SUITE 1000 CITY: SANTA MONICA STATE: CA ZIP: 90405 N-PX 1 v355244_npx.htm N-PX

 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED

MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number 811-21629

 

SPECIAL VALUE EXPANSION FUND, LLC
(Exact Name of Registrant as Specified in Charter)

 

2951 28TH STREET, SUITE 1000
SANTA MONICA, CALIFORNIA 90405
(Address of Principal Executive Offices) (Zip Code)

 

ELIZABETH GREENWOOD, SECRETARY
SPECIAL VALUE EXPANSION FUND, LLC
2951 28TH STREET, SUITE 1000
SANTA MONICA, CALIFORNIA 90405
(Name and Address of Agent for Service)

 

Registrant's telephone number, including area code: (310) 566-1000

 

Copies to:
RICHARD T. PRINS, ESQ.
SKADDEN, ARPS, SLATE, MEAGHER & FLOM LLP
FOUR TIMES SQUARE
NEW YORK, NEW YORK 10036

 

Date of fiscal year end: SEPTEMBER 30

 

Date of reporting period: JULY 1, 2012 - JUNE 30, 2013

 

 
 

 

ITEM 1.PROXY VOTING RECORD.

 

 

 

Issuer Name:  Doral Financial  
Ticker:   DRL  
CUSIP:  25811P886  
Meeting Date:     June 19, 2013 Meeting Type:  Annual

 

            Mgmt   Vote
    Proposal   Proposed By   Rec   Cast
                 
1   Elect the following seven directors for a year term:            
                 
    Dennis G. Buchert   Issuer   For   For
    James E. Gilleran   Issuer   For   For
    Douglas L. Jacobs   Issuer   For   For
    David E. King   Issuer   For   For
    Gerard L. Smith   Issuer   For   For
    Glen R. Wakeman   Issuer   For   For
                 
2   Ratification of Appointment of PricewaterhouseCoopers LLP as Independent Registered Public Accounting Firm for 2012:   Issuer   For   For
                 
3   Advisory Vote on the Compensation of Our: Named Executive Officers   Issuer   For   For
                 
4   Authorization and approval an amendment to the restated certificate of incorporation, as amended, to effect a reverse stock split of the corporation’s outstanding common stock at a ratio within a range of 1-for-15 to 1-for-25, together with the corresponding proportional reduction in the number of authorized shares of common stock:            
        Issuer   For   For
                 
5   Approve the adjournment or postponent of the annual meeting of the stockholders to a later date or dates, if necessary to solicit additional  proxies   Issuer   For   For

 

 
 

 

Issuer Name:  Hawaiian Telecom Holdco, Inc  
Ticker:   HCOM  
CUSIP:  420031-106  
Meeting Date:     May 3, 2013 Meeting Type:  Annual

 

            Mgmt   Vote
    Proposal   Proposed By   Rec   Cast
                 
1   Elect the following seven directors for a year term:            
                 
    Richard A. Jalkut   Issuer   For   For
    Kurt M. Cellar   Issuer   For   For
    Walter A. Dods, Jr.   Issuer   For   For
    Warren H. Haruki   Issuer   For   For
    Steven C. Oldham   Issuer   For   For
    Bernard R. Phillips III   Issuer   For   For
    Eric K. Yeaman   Issuer   For   For
                 
4   To ratify the appointment of Deloitte & Touche LLP as the Company’s independent registered public accounting firm for 2013:            
                 
        Issuer   For   For

 

 

 

Issuer Name:  Dialogic, Inc.  
Ticker:   DLGC  
CUSIP:  25250T100  
Meeting Date:     August 8, 2012 Meeting Type:  Annual

 

            Mgmt   Vote
    Proposal   Proposed By   Rec   Cast
                 
1   Elect the following directors for a year term:            
                 
    Dion Joannou   Issuer   For   For
    Patrick S. Jones   Issuer   For   For
    W. Michael West   Issuer   For   For
                 
2   To approve the issuance of shares of Dialogic Inc.’s common stock issuable upon the exercise of warrants issued pursuant to the subscription agreement entered into by and among Dialogic Inc. and certain investors on March 22, 2012 as amended, as described in the accompanying proxy statement   Issuer   For   For
                 
3   To approve the issuance of shares of Dialogic Inc.’s common stock issuable upon the conversion of convertible notes issued pursuant to the securities purchase agreement entered into by and among Dialogic Inc. and certain investors on April 11, 2012 as amended, as described in the accompanying proxy statement   Issuer   For   For
                 
4   To approve a stock option exchange program that will eligible employees and directors to surrender outstanding stock options for cancellation in exchange for a new stock option to purchase a lesser number of shares, as described in the accompanying proxy statement.   Issuer   For   For
                 
5   To approve an amendment to the Company’s 2006 Equity Incentive Plan to, among other things, increase the aggregate number of shares of common stock authorized for issuance under the plan by 1,600,000 shares and to approve plan’s performance criteria and award limits.   Issuer   For   For
                 
6   Vote to ratify the selection by the Audit Committee of the Board of Directors of KPMG LLP as the independent registered public accounting firm of the Company for  its fiscal year ending December 31, 2011.2   Issuer   For   For

 

 
 

 

Issuer Name:  Dialogic, Inc.  
Ticker:   DLGC  
CUSIP:  25250T2096  
Meeting Date:     September 14, 2012 Meeting Type:  Special

 

            Mgmt   Vote
    Proposal   Proposed By   Rec   Cast
                 
1   To amend the Company’s certificate of incorporation to effect a reverse split of the Company’s outstanding shares of common stock by a ratio of five (5) to (1), without further approval or authorization of the Company’s stockholders   Issuer   For   For
                 
2   To approve a proposed stock option exchange program that will permit eligible employees, officer and directors to surrender certain outstanding stock option for cancellation in exchange for new stock options, as described in the accompanying proxy statement   Issuer   For   For

 

 

 

Issuer Name:  Dialogic, Inc.  
Ticker:   DLGC  
CUSIP:  25250T100  
Meeting Date:     May 29, 2013 Meeting Type:  Annual

 

            Mgmt   Vote
    Proposal   Proposed By   Rec   Cast
                 
1   Elect the following directors for a year term:            
                 
    Kevin Cook   Issuer   For   For
    Giovani Richard Piasentin   Issuer   For   For
                 
2   To approve the issuance of shares of the company’s common stock issued pursuant to a certain subscription agreement entered into by and among the Company and certain investors on February 7, 2013 as described in the accompanying proxy statement   Issuer   For   For
                 
3   To approve a proposed stock option exchange program that will permit eligible employees, officers and directors to surrender certain outstanding stock options for cancellation in exchange for new stock awards, as described in the accompanying proxy statement.   Issuer   For   For
                 
4   To approve on an advisory basis, the compensation of the company’s named executed officer, as disclosed in the accompanying proxy statement   Issuer   For   For
                 
5   To indicate, on an advisory basis, the preferred frequency of stockholder advisory votes on the compensation of the Company’s named executive officers   Issuer   For   For

 

 
 

  

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.

 

Special Value Expansion Fund, LLC

 

By: /s/ Elizabeth Greenwood  
     
Name:  Elizabeth Greenwood  
Title:  Chief Compliance Officer  
Date:  as of August 30, 2013