-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LWXWKI2ZpmDlEbgQHUjdvY5lm0mSN9IMGrkqsqETXwlJ6YG33ZDDL/heloKlgHk6 Gt0ycCx21AYyKYjY/n7A4Q== 0001133228-04-000363.txt : 20040825 0001133228-04-000363.hdr.sgml : 20040825 20040825105508 ACCESSION NUMBER: 0001133228-04-000363 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040630 FILED AS OF DATE: 20040825 DATE AS OF CHANGE: 20040825 EFFECTIVENESS DATE: 20040825 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GABELLI CONVERTIBLE & INCOME SECURITIES FUND INC CENTRAL INDEX KEY: 0000845611 IRS NUMBER: 133523423 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-05715 FILM NUMBER: 04995656 BUSINESS ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE STATE: NY ZIP: 10580 BUSINESS PHONE: 2123098408 MAIL ADDRESS: STREET 1: ONE CORPORATE CENTER CITY: RYE YORK STATE: NY ZIP: 10580 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI CONVERTIBLE SECURITIES FUND INC /DE DATE OF NAME CHANGE: 19970507 FORMER COMPANY: FORMER CONFORMED NAME: GABELLI SERIES FUNDS INC DATE OF NAME CHANGE: 19920703 N-PX 1 convertible.txt ANNUAL REPORT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANIES Investment Company Act file number 811-05715 -------------------------------------- The Gabelli Convertible and Income Securities Fund Inc. - -------------------------------------------------------------------------------- (Exact name of registrant as specified in charter) One Corporate Center Rye, NY 10580-1422 ----------------------------------------------------------------- (Address of principal executive offices) (Zip code) Bruce N. Alpert Gabelli Funds, LLC One Corporate Center Rye, NY 10580-1422 -------------------------------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: 1-800-422-3554 -------------------------- Date of fiscal year end: December 31 ---------------- Date of reporting period: July 1, 2003 - June 30, 2004 ------------------------------ 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, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507. PROXY VOTING RECORD FOR PERIOD JULY 1, 2003 TO JUNE 30, 2004
- ----------------------------------------------------------------------------------------------------------------------------------- VERIDIAN CORPORATION VNX Special Meeting Date: 08/07/2003 Issuer: 92342R ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 TO APPROVE AND ADOPT THE AGREEMENT AND PLAN OF Management For No No MERGER, DATED AS OF JUNE 9, 2003, BY AND AMONG GENERAL DYNAMICS CORPORATION, VERIDIAN CORPORATION AND ASPEN ACQUISITION CORPORATION, A WHOLLY OWNED SUBSIDIARY OF GENERAL DYNAMICS CORPORATION, AND THE TRANSACTIONS CONTEMPLATED BY THE AGREEMENT AND PLAN OF MERGER. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 203 10,000 10,000 07/28/2003
- ----------------------------------------------------------------------------------------------------------------------------------- UNITEDGLOBALCOM, INC. UCOMA Annual Meeting Date: 09/30/2003 Issuer: 913247 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 APPROVAL OF UNITEDGLOBALCOM, INC. EQUITY INCENTIVE Management For No No PLAN. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 508 10,000 10,000 09/23/2003
- ----------------------------------------------------------------------------------------------------------------------------------- PRACTICEWORKS, INC. PRWK Special Meeting Date: 10/07/2003 Issuer: 739419 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 ADOPTION OF THE AGREEMENT AND PLAN OF MERGER, Management For No No DATED AS OF JULY 20, 2003, BY AND AMONG PRACTICEWORKS, INC., EASTMAN KODAK COMPANY AND PEACH ACQUISITION, INC., PURSUANT TO WHICH PRACTICEWORKS WILL MERGE WITH PEACH ACQUISITION, A WHOLLY-OWNED SUBSIDIARY OF KODAK, WITH PRACTICEWORKS BEING THE SURVIVING CORPORATION AND BECOMING A WHOLLY-OWNED SUBSIDIARY OF KODAK Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 109 30,000 30,000 09/23/2003
- ----------------------------------------------------------------------------------------------------------------------------------- ALLEGHENY ENERGY, INC. AYE Annual Meeting Date: 11/14/2003 Issuer: 017361 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 APPROVAL OF APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No LLP AS INDEPENDENT ACCOUNTANTS. 03 SHAREHOLDER PROPOSAL REGARDING POISON PILLS. Shareholder For Yes No 04 SHAREHOLDER PROPOSAL REGARDING INDEXED OPTIONS. Shareholder Against No No 05 SHAREHOLDER PROPOSAL REGARDING PERFORMANCE-BASED Shareholder Against No No STOCK OPTIONS. 06 SHAREHOLDER PROPOSAL REGARDING OPTION EXPENSING. Shareholder Against No No 07 SHAREHOLDER PROPOSAL REGARDING INDEPENDENT BOARD Shareholder Against No No CHAIRMAN. 08 SHAREHOLDER PROPOSAL REGARDING ALLOW SIMPLE Shareholder Against No No MAJORITY VOTE. 09 SHAREHOLDER PROPOSAL REGARDING ANNUAL ELECTION Shareholder Against No No OF DIRECTORS. 10 SHAREHOLDER PROPOSAL REGARDING AUDITOR FEES. Shareholder Against No No 11 SHAREHOLDER PROPOSAL REGARDING REINCORPORATION. Shareholder Against No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 106 24,000 24,000 11/11/2003
- ----------------------------------------------------------------------------------------------------------------------------------- OFFICEMAX, INC. OMX Special Meeting Date: 12/09/2003 Issuer: 67622M ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 TO APPROVE AND ADOPT THE AGREEMENT AND PLAN OF Management For No No MERGER, DATED AS OF JULY 13, 2003, AMONG BOISE CASCADE CORPORATION, CHALLIS CORPORATION AND OFFICEMAX, INC., AS MORE FULLY DESCRIBED IN THE ACCOMPANYING JOINT PROXY STATEMENT/PROSPECTUS. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 108 29,700 29,700 12/01/2003
- ----------------------------------------------------------------------------------------------------------------------------------- HORIZON ORGANIC HOLDING CORPORATION HCOW Special Meeting Date: 12/18/2003 Issuer: 44043T ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 PROPOSAL TO ADOPT THE AGREEMENT AND PLAN OF MERGER, Management For No No DATED AS OF JUNE 29, 2003, BY AND AMONG DEAN FOODS COMPANY, CAPRICORN ACQUISITION SUB, INC. AND HORIZON ORGANIC HOLDING CORPORATION. 02 PROPOSAL TO ADJOURN THE SPECIAL MEETING, IF NECESSARY, Management For No No FOR THE PURPOSE OF SOLICITING ADDITIONAL PROXIES IN CONNECTION WITH THE MERGER. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 103 40,000 40,000 12/09/2003
- ----------------------------------------------------------------------------------------------------------------------------------- NTL EUROPE, INC. Special Meeting Date: 01/27/2004 Issuer: 62940R ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 202 3,993 3,993
- ----------------------------------------------------------------------------------------------------------------------------------- THE DIAL CORPORATION DL Special Meeting Date: 03/24/2004 Issuer: 25247D ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 ADOPTION OF THE AGREEMENT AND PLAN OF MERGER, Management For No No DATED AS OF DECEMBER 14, 2003, BY AND AMONG HENKEL KGAA, HENKEL MERGER CORPORATION AND THE DIAL CORPORATION. 02 IN THEIR DISCRETION, THE NAMED PROXIES ARE AUTHORIZED Management For No No TO VOTE ON SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE SPECIAL MEETING, INCLUDING ANY ADJOURNMENTS, POSTPONEMENTS OR CONTINUATIONS THEREOF. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 101 250,000 250,000 03/18/2004
- ----------------------------------------------------------------------------------------------------------------------------------- UNISOURCE ENERGY CORPORATION UNS Special Meeting Date: 03/29/2004 Issuer: 909205 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 TO APPROVE THE AGREEMENT AND PLAN OF MERGER BETWEEN Management For No No SAGUARO ACQUISITION CORP. AND UNISOURCE ENERGY CORPORATION. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 106 38,000 38,000 03/19/2004
- ----------------------------------------------------------------------------------------------------------------------------------- THE TITAN CORPORATION TTN Special Meeting Date: 04/12/2004 Issuer: 888266 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 ADOPTION OF THE AGREEMENT AND PLAN OF MERGER, Management For No No DATED AS OF SEPTEMBER 15, 2003, BY AND AMONG LOCKHEED MARTIN CORPORATION, LMC SUB ONE, INC. AND THE TITAN CORPORATION, AS AMENDED, AND APPROVAL OF THE MERGER CONTEMPLATED THEREBY. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 103 184,800 184,800 03/04/2004 GABELLI CONV SEC FD 997G003 202 27,300 27,300 04/06/2004
- ----------------------------------------------------------------------------------------------------------------------------------- BP P.L.C. BP Annual Meeting Date: 04/15/2004 Issuer: 055622 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 07 TO ELECT MR A BURGMANS AS A DIRECTOR Management For No No 08 TO REAPPOINT ERNST & YOUNG LLP AS AUDITORS Management For No No 09 TO AMEND THE ARTICLES OF ASSOCIATION OF THE COMPANY Management For No No 10 TO GIVE AUTHORITY TO ALLOT SHARES UP TO A SPECIFIED Shareholder For No No AMOUNT 11 SPECIAL RESOLUTION: TO GIVE AUTHORITY TO ALLOT Shareholder For No No A LIMITED NUMBER OF SHARES FOR CASH WITHOUT MAKING AN OFFER TO SHAREHOLDERS 12 SPECIAL RESOLUTION: TO GIVE LIMITED AUTHORITY Management For No No FOR THE PURCHASE OF ITS OWN SHARES BY THE COMPANY 13 TO AUTHORISE THE USE OF TREASURY SHARES FOR EMPLOYEE Management For No No SHARE SCHEMES 14 TO APPROVE THE DIRECTORS REMUNERATION REPORT Management For No No 15 TO DETERMINE THE LIMIT FOR THE AGGREGATE REMUNERATION Management For No No OF THE NON-EXECUTIVE DIRECTORS 16 TO RECEIVE THE DIRECTORS ANNUAL REPORT AND THE Management For No No ACCOUNTS 17 SPECIAL SHAREHOLDER RESOLUTION: TO INSTRUCT THE Shareholder Against No No COMPANY TO PREPARE A REPORT MAKING CERTAIN DISCLOSURES ON MATTERS OF CONTROL AND RISK IN PROTECTED AND SENSITIVE AREAS Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 104 8,000 8,000 04/06/2004
- ----------------------------------------------------------------------------------------------------------------------------------- ELI LILLY AND COMPANY LLY Annual Meeting Date: 04/19/2004 Issuer: 532457 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF THE APPOINTMENT BY THE AUDIT Management For No No COMMITTEE OF THE BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS PRINCIPAL INDEPENDENT AUDITORS FOR 2004. 03 APPROVE THE ELI LILLY AND COMPANY BONUS PLAN. Management For No No 04 PROPOSAL BY SHAREHOLDERS THAT THE BOARD ADOPT Shareholder Against No No A COMPENSATION PROGRAM LIMITING THE COMPENSATION OF SENIOR EXECUTIVES TO SPECIFIED LEVELS. 05 PROPOSAL BY SHAREHOLDERS THAT THE BOARD REPORT Shareholder Against No No ON HOW THE COMPANY WILL RESPOND TO PRESSURE TO INCREASE ACCESS TO AND AFFORDABILITY OF PRESCRIPTION DRUGS. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 108 1,000 1,000 04/06/2004
- ----------------------------------------------------------------------------------------------------------------------------------- PFIZER INC. PFE Annual Meeting Date: 04/22/2004 Issuer: 717081 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 A PROPOSAL TO APPROVE THE APPOINTMENT OF KPMG Management For No No LLP AS INDEPENDENT AUDITORS FOR 2004. 03 A PROPOSAL TO APPROVE THE PFIZER INC. 2004 STOCK Management For No No PLAN. 04 SHAREHOLDER PROPOSAL REQUESTING REVIEW OF THE Shareholder Against No No ECONOMIC EFFECTS OF THE HIV/AIDS, TB AND MALARIA PANDEMICS ON THE COMPANY S BUSINESS STRATEGY. 05 SHAREHOLDER PROPOSAL RELATING TO POLITICAL CONTRIBUTIONS. Shareholder Against No No 06 SHAREHOLDER PROPOSAL RELATING TO AN ANNUAL REPORT Shareholder Against No No ON CORPORATE RESOURCES DEVOTED TO SUPPORTING POLITICAL ENTITIES OR CANDIDATES. 07 SHAREHOLDER PROPOSAL SEEKING TO IMPOSE TERM LIMITS Shareholder Against No No ON DIRECTORS. 08 SHAREHOLDER PROPOSAL REQUESTING A REPORT ON INCREASING Shareholder Against No No ACCESS TO PFIZER PRODUCTS. 09 SHAREHOLDER PROPOSAL ON STOCK OPTIONS. Shareholder Against No No 10 SHAREHOLDER PROPOSAL ON IN VITRO TESTING. Shareholder Against No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 103 30,000 30,000 04/15/2004
- ----------------------------------------------------------------------------------------------------------------------------------- CINCINNATI BELL INC. CBB Annual Meeting Date: 04/23/2004 Issuer: 171871 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 403 15,000 15,000 04/21/2004
- ----------------------------------------------------------------------------------------------------------------------------------- GATX CORPORATION GMT Annual Meeting Date: 04/23/2004 Issuer: 361448 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 APPROVAL OF AUDITORS Management For No No 03 APPROVAL OF 2004 EQUITY INCENTIVE COMPENSATION Management For No No PLAN 04 APPROVAL OF CASH INCENTIVE COMPENSATION PLAN Management For No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 202 2,500 2,500 04/21/2004
- ----------------------------------------------------------------------------------------------------------------------------------- BELLSOUTH CORPORATION BLS Annual Meeting Date: 04/26/2004 Issuer: 079860 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFY THE INDEPENDENT AUDITOR Management For No No 03 APPROVE AMENDMENT TO ELECT DIRECTORS ANNUALLY Management For No No 04 APPROVE THE STOCK AND INCENTIVE COMPENSATION Management For No No PLAN 05 SHAREHOLDER PROPOSAL RE: EXECUTIVE COMPENSATION Shareholder Against No No 06 SHAREHOLDER PROPOSAL RE: CEO COMPENSATION Shareholder Against No No 07 SHAREHOLDER PROPOSAL RE: DISCLOSURE OF POLITICAL Shareholder Against No No CONTRIBUTIONS Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 102 2,000 2,000 04/23/2004
- ----------------------------------------------------------------------------------------------------------------------------------- CH ENERGY GROUP, INC. CHG Annual Meeting Date: 04/27/2004 Issuer: 12541M ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 102 3,000 3,000 04/23/2004
- ----------------------------------------------------------------------------------------------------------------------------------- MERCK & CO., INC. MRK Annual Meeting Date: 04/27/2004 Issuer: 589331 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF THE APPOINTMENT OF THE COMPANY S Management For No No INDEPENDENT AUDITORS FOR 2004 03 PROPOSAL TO AMEND THE RESTATED CERTIFICATE OF Management For No No INCORPORATION TO DECLASSIFY THE BOARD OF DIRECTORS THE BOARD OF DIRECTORS RECOMMENDS A VOTE AGAINST ITEMS 4 THROUGH 8 04 STOCKHOLDER PROPOSAL CONCERNING MANAGEMENT COMPENSATION Shareholder Against No No 05 STOCKHOLDER PROPOSAL CONCERNING EXTENSION OF Shareholder Against No No PRESCRIPTION DRUG PATENTS 06 STOCKHOLDER PROPOSAL CONCERNING ETHICAL AND SOCIAL Shareholder Against No No PERFORMANCE OF THE COMPANY 07 STOCKHOLDER PROPOSAL CONCERNING USE OF SHAREHOLDER Shareholder Against No No RESOURCES FOR POLITICAL PURPOSES 08 STOCKHOLDER PROPOSAL CONCERNING A REPORT RELATED Shareholder Against No No TO THE GLOBAL HIV/AIDS PANDEMIC Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 107 17,000 17,000 04/26/2004
- ----------------------------------------------------------------------------------------------------------------------------------- SCHERING-PLOUGH CORPORATION SGP Annual Meeting Date: 04/27/2004 Issuer: 806605 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF DESIGNATION OF INDEPENDENT AUDITORS Management For No No 03 APPROVAL OF THE OPERATIONS MANAGEMENT TEAM INCENTIVE Management For No No PLAN Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 101 20,000 20,000 04/26/2004
- ----------------------------------------------------------------------------------------------------------------------------------- VERIZON COMMUNICATIONS INC. VZ Annual Meeting Date: 04/28/2004 Issuer: 92343V ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF INDEPENDENT AUDITOR Management For No No 03 CUMULATIVE VOTING Shareholder Against No No 04 BOARD COMPOSITION Shareholder Against No No 05 SEPARATE CHAIRMAN AND CEO Shareholder Against No No 06 FUTURE POISON PILL Shareholder For Yes No 07 SUPPLEMENTAL EXECUTIVE RETIREMENT PLANS Shareholder Against No No 08 OPTIONS OR STOCK GRANTS BASED ON TRACKING STOCK Management Against No No 09 DIVERSITY REPORT ON OPTION GRANTS TO EMPLOYEES Management Against No No 10 REPORT ON POLITICAL CONTRIBUTIONS Shareholder Against No No 11 COLLECTION OF UNIVERSAL SERVICE AND NUMBER PORTABILIY Shareholder Against No No FEES Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 104 15,000 15,000 04/20/2004
- ----------------------------------------------------------------------------------------------------------------------------------- NSTAR NST Annual Meeting Date: 04/29/2004 Issuer: 67019E ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 SHAREHOLDER PROPOSAL REGARDING CHARITABLE CONTRIBUTION Shareholder Against No No DISCLOSURE. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 107 3,000 3,000 04/26/2004
- ----------------------------------------------------------------------------------------------------------------------------------- SJW CORP. SJW Annual Meeting Date: 04/29/2004 Issuer: 784305 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 AMEND THE CORPORATION S BY-LAWS TO ESTABLISH Management For No No THE PERMISSIBLE SIZE OF THE BOARD OF DIRECTORS AS A RANGE FROM SEVEN TO ELEVEN DIRECTORS, AND SET THE SPECIFIC NUMBER OF DIRECTORS AT EIGHT. 02 DIRECTOR Management For No No 03 RATIFY THE SELECTION OF KPMG LLP AS INDEPENDENT Management For No No AUDITOR OF THE CORPORATION. 04 AUTHORIZE THE PROXY HOLDERS TO VOTE UPON SUCH Management For No No OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING OR ANY POSTPONEMENT OR ADJOURNMENT THEREOF. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 104 9,000 9,000 04/02/2004
- ----------------------------------------------------------------------------------------------------------------------------------- SBC COMMUNICATIONS INC. SBC Annual Meeting Date: 04/30/2004 Issuer: 78387G ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Unvoted No 02 APPOINTMENT OF INDEPENDENT AUDITORS. Management Unvoted No 03 APPROVE AN AMENDMENT TO SBC S BYLAWS. Management Unvoted No 04 STOCKHOLDER PROPOSAL A. Shareholder Unvoted No 05 STOCKHOLDER PROPOSAL B. Shareholder Unvoted No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 103 5,000 0
- ----------------------------------------------------------------------------------------------------------------------------------- BRISTOL-MYERS SQUIBB COMPANY BMY Annual Meeting Date: 05/04/2004 Issuer: 110122 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 APPOINTMENT OF INDEPENDENT AUDITORS Management For No No 03 PUBLICATION OF POLITICAL CONTRIBUTIONS Shareholder Against No No 04 PROHIBITION OF POLITICAL CONTRIBUTIONS Shareholder Against No No 05 SEPARATION OF CHAIRMAN AND CEO POSITIONS Shareholder Against No No 06 HIV/AIDS-TB-MALARIA Shareholder Against No No 07 DIRECTOR VOTE THRESHOLD Shareholder Against No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 108 10,000 10,000 04/28/2004
- ----------------------------------------------------------------------------------------------------------------------------------- CONOCOPHILLIPS COP Annual Meeting Date: 05/05/2004 Issuer: 20825C ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF APPOINTMENT OF INDEPENDENT AUDITORS Management For No No 03 AUTHORIZE THE 2004 OMNIBUS STOCK AND PERFORMANCE Management Against Yes No INCENTIVE PLAN 04 OFFICER & DIRECTOR COMPENSATION Shareholder Against No No 05 COMMONSENSE EXECUTIVE COMPENSATION Shareholder Against No No 06 ANWR DRILLING Shareholder Against No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 104 8,000 8,000 05/04/2004
- ----------------------------------------------------------------------------------------------------------------------------------- UNISOURCE ENERGY CORPORATION UNS Annual Meeting Date: 05/07/2004 Issuer: 909205 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 106 45,000 45,000 05/06/2004
- ----------------------------------------------------------------------------------------------------------------------------------- ARGONAUT GROUP, INC. AGII Annual Meeting Date: 05/11/2004 Issuer: 040157 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 TO INCREASE THE AMOUNT OF AUTHORIZED SHARES OF Shareholder For No No COMMON STOCK OF THE COMPANY FROM 35,000,000 TO 70,000,000. 03 TO APPROVE REPLACEMENT OF THE COMPANY S EXISTING Management For No No EMPLOYEE STOCK INVESTMENT PLAN WITH THE PROPOSED EMPLOYEE STOCK PURCHASE PLAN. 04 TO APPROVE AMENDMENTS TO THE COMPANY S AMENDED Management Against Yes No AND RESTATED STOCK INCENTIVE PLAN. 05 TO APPROVE AMENDMENTS TO THE COMPANY S NON-EMPLOYEE Management Against Yes No DIRECTOR STOCK OPTION PLAN. 06 TO CONSIDER AND ACT UPON SUCH OTHER BUSINESS Management For No No AS MAY PROPERLY COME BEFORE THE ANNUAL MEETING OR ANY ADJOURNMENTS OR POSTPONEMENTS THEREOF. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 109 15,000 15,000 05/10/2004
- ----------------------------------------------------------------------------------------------------------------------------------- NORTHEAST UTILITIES NU Annual Meeting Date: 05/11/2004 Issuer: 664397 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF DELOITTE & TOUCHE LLP AS INDEPENDENT Management For No No AUDITORS FOR 2004. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 106 40,000 40,000 05/06/2004
- ----------------------------------------------------------------------------------------------------------------------------------- DUKE ENERGY CORPORATION DUK Annual Meeting Date: 05/13/2004 Issuer: 264399 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF DELOITTE & TOUCHE LLP AS DUKE Management For No No ENERGY S INDEPENDENT AUDITORS FOR 2004. 03 A SHAREHOLDER PROPOSAL RELATING TO DECLASSIFICATION Shareholder Against No No OF DUKE ENERGY S BOARD OF DIRECTORS, IF PROPERLY PRESENTED AT THE ANNUAL MEETING. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 106 55,000 55,000 05/11/2004
- ----------------------------------------------------------------------------------------------------------------------------------- SEQUA CORPORATION SQAA Annual Meeting Date: 05/13/2004 Issuer: 817320 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management Withheld Yes No 02 APPROVE THE 2003 SIX SIGMA RESTRICTED STOCK PLAN Management Abstain Yes No 03 APPROVE THE 2003 DIRECTORS STOCK AWARD PLAN Management Abstain Yes No 04 RATIFY APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT Management For No No AUDITORS FOR 2004 Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 302 33,500 33,500 05/12/2004
- ----------------------------------------------------------------------------------------------------------------------------------- AT&T WIRELESS SERVICES, INC. AWE Annual Meeting Date: 05/19/2004 Issuer: 00209A ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 APPROVE AND ADOPT THE AGREEMENT AND PLAN OF MERGER, Management For No No DATED AS OF FEBRUARY 17, 2004, BY AND AMONG AT&T WIRELESS SERVICES, INC., CINGULAR WIRELESS CORPORATION, CINGULAR WIRELESS LLC, AND SOLELY WITH RESPECT TO SECTION 5.3, 6.1(B) AND ARTICLE IX OF THE AGREEMENT AND PLAN OF MERGER, SBC COMMUNICATIONS INC. AND BELLSOUTH CORPORATION. 02 DIRECTOR Management For No No 03 RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS Management For No No LLP AS OUR INDEPENDENT AUDITORS. 04 VOTE ON SHAREHOLDER PROPOSAL ON EXECUTIVE COMPENSATION Shareholder Against No No PROGRAM. 05 VOTE ON SHAREHOLDER PROPOSAL ON DISCONTINUING Shareholder Against No No CERTAIN EXECUTIVE COMPENSATION. 06 VOTE ON SHAREHOLDER PROPOSAL ON VOTE REQUIREMENT Shareholder Against No No FOR DIRECTOR ELECTIONS. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 106 85,000 85,000 05/14/2004
- ----------------------------------------------------------------------------------------------------------------------------------- DREYER'S GRAND ICE CREAM HOLDINGS, I Annual Meeting Date: 05/19/2004 Issuer: 261877 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 THE APPROVAL OF THE COMPANY S 2004 LONG-TERM Management For No No INCENTIVE PLAN. 03 THE APPROVAL OF PRICEWATERHOUSECOOPERS LLP AS Management For No No THE COMPANY S INDEPENDENT PUBLIC ACCOUNTANTS FOR THE 2004 FISCAL YEAR OF THE COMPANY. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 104 53,000 53,000 05/18/2004
- ----------------------------------------------------------------------------------------------------------------------------------- KEYSPAN CORPORATION KSE Annual Meeting Date: 05/20/2004 Issuer: 49337W ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF DELOITTE & TOUCHE LLP AS INDEPENDENT Management For No No PUBLIC ACCOUNTANTS. 03 SHAREHOLDER PROPOSAL ON SHAREHOLDER RIGHTS PLAN. Shareholder For Yes No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 100 15,000 15,000 05/19/2004
- ----------------------------------------------------------------------------------------------------------------------------------- XCEL ENERGY INC. XEL Annual Meeting Date: 05/20/2004 Issuer: 98389B ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 TO AMEND OUR BYLAWS TO ELIMINATE THE CLASSIFICATION Management For No No OF THE BOARD OF DIRECTORS. 02 DIRECTOR Management For No No 03 TO APPROVE THE STOCK EQUIVALENT PLAN FOR NON-EMPLOYEE Management For No No DIRECTORS. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 100 20,000 20,000 05/18/2004
- ----------------------------------------------------------------------------------------------------------------------------------- FPL GROUP, INC. FPL Annual Meeting Date: 05/21/2004 Issuer: 302571 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF THE APPOINTMENT OF DELOITTE & Management For No No TOUCHE LLP AS AUDITORS. 03 APPROVAL OF THE AMENDED AND RESTATED LONG TERM Management For No No INCENTIVE PLAN, IN AN AMENDED FORM. 04 APPROVAL OF THE ANNUAL INCENTIVE PLAN AS REQUIRED Management For No No BY THE INTERNAL REVENUE CODE. 05 APPROVAL OF THE PERFORMANCE-BASED AWARDS PROVISIONS Management For No No OF THE AMENDED AND RESTATED LONG TERM INCENTIVE PLAN AS REQUIRED BY THE INTERNAL REVENUE CODE. 06 APPROVAL OF AN AMENDMENT TO THE RESTATED ARTICLES Shareholder For No No OF INCORPORATION TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 104 12,000 12,000 05/18/2004
- ----------------------------------------------------------------------------------------------------------------------------------- SEMCO ENERGY, INC. SEN Annual Meeting Date: 05/24/2004 Issuer: 78412D ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 TO AUTHORIZE THE ISSUANCE OF SERIES B PREFERENCE Shareholder For No No STOCK. 03 TO AMEND THE ARTICLES OF INCORPORATION TO INCREASE Shareholder For No No THE NUMBER OF AUTHORIZED COMMON SHARES FROM 40,000,000 TO 100,000,000. 04 TO AMEND THE BYLAWS AS TO NUMBER OF DIRECTORS. Management For No No 05 TO APPROVE THE 2004 STOCK AWARD AND INCENTIVE Management For No No PLAN. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 109 20,000 20,000 05/19/2004
- ----------------------------------------------------------------------------------------------------------------------------------- EXXON MOBIL CORPORATION XOM Annual Meeting Date: 05/26/2004 Issuer: 30231G ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management For No No 02 RATIFICATION OF INDEPENDENT AUDITORS (PAGE 27). Management For No No 03 APPROVAL OF 2004 NON-EMPLOYEE DIRECTOR RESTRICTED Management For No No STOCK PLAN (PAGE 28). 04 POLITICAL CONTRIBUTIONS (PAGE 30). Shareholder Against No No 05 POLITICAL CONTRIBUTIONS REPORT (PAGE 32). Shareholder Against No No 06 MEDIA RESPONSE ON EQUATORIAL GUINEA (PAGE 34). Shareholder Against No No 07 BOARD CHAIRMAN AND CEO (PAGE 37). Shareholder Against No No 08 EXECUTIVE COMPENSATION (PAGE 39). Shareholder Against No No 09 EQUITY COMPENSATION REPORT (PAGE 40). Shareholder Against No No 10 AMENDMENT OF EEO POLICY (PAGE 42). Shareholder Against No No 11 CLIMATE SCIENCE REPORT (PAGE 44). Shareholder Against No No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 102 25,000 25,000 05/21/2004
- ----------------------------------------------------------------------------------------------------------------------------------- WHX CORPORATION WHX Annual Meeting Date: 06/02/2004 Issuer: 929248 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 DIRECTOR Management No Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 201 28,000 28,000 06/02/2004 GABELLI CONV SEC FD 997G003 300 52,100 52,100 06/02/2004
- ----------------------------------------------------------------------------------------------------------------------------------- THE TITAN CORPORATION TTN Special Meeting Date: 06/07/2004 Issuer: 888266 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 01 ADOPTION OF THE AGREEMENT AND PLAN OF MERGER, Management For No No DATED AS OF SEPTEMBER 15, 2003, BY AND AMONG LOCKHEED MARTIN CORPORATION, LMC SUB ONE, INC. AND THE TITAN CORPORATION, AS AMENDED, AND APPROVAL OF THE MERGER CONTEMPLATED THEREBY. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 103 175,000 175,000 05/26/2004
- ----------------------------------------------------------------------------------------------------------------------------------- ROYAL DUTCH PETROLEUM COMPANY Annual Meeting Date: 06/28/2004 Issuer: 780257 ISIN: SEDOL: - ----------------------------------------------------------------------------------------------------------------------------------- Vote Group: GLOBAL Proposal Proposal Vote Against Contrary to Number Proposal Type Cast Mgmt. Policy - ----------------------------------------------------------------------------------------------------------------------------------- 2A FINALIZATION OF THE BALANCE SHEET AS AT DECEMBER Management For No No 31, 2003, THE PROFIT AND LOSS ACCOUNT FOR THE YEAR 2003 AND THE NOTES TO THE BALANCE SHEET AND THE PROFIT AND LOSS ACCOUNT. 2B DECLARATION OF THE TOTAL DIVIDEND FOR THE YEAR Management For No No 2003. 2C DISCHARGE OF THE MANAGING DIRECTORS OF RESPONSIBILITY Management For No No IN RESPECT OF THEIR MANAGEMENT FOR THE YEAR 2003. 2D DISCHARGE OF THE MEMBERS OF THE SUPERVISORY BOARD Management For No No OF RESPONSIBILITY FOR THEIR SUPERVISION FOR THE YEAR 2003. 03 APPOINTMENT OF MS. L.Z. COOK AS A MANAGING DIRECTOR Management For No No OF THE COMPANY.* 04 APPOINTMENT OF MRS. CH. MORIN-POSTEL AS A MEMBER Management For No No OF THE SUPERVISORY BOARD.* 05 APPOINTMENT OF MR. M.A. VAN DEN BERGH AS A MEMBER Management For No No OF THE SUPERVISORY BOARD OWING TO RETIREMENT BY ROTATION.* 06 REDUCTION OF THE ISSUED SHARE CAPITAL WITH A Shareholder For No No VIEW TO CANCELLA TION OF THE SHARES ACQUIRED BY THE COMPANY IN ITS OWN CAPITAL. 07 AUTHORIZATION OF THE BOARD OF MANAGEMENT, PURSUANT Management For No No TO ARTICLE 98, BOOK 2 OF THE NETHERLANDS CIVIL CODE, AS THE COMPETENT BODY TO ACQUIRE SHARES IN THE CAPITAL OF THE COMPANY. Custodian Stock Ballot Voted Vote Account Name Account Class Shares Shares Date ------------------------------------------------------------------------------------------------------------------------- GABELLI CONV SEC FD 997G003 804 17,000 17,000 06/24/2004
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 The Gabelli Convertible and Income Securities Fund Inc. --------------------------------------------------------------------- By (Signature and Title)* /s/ Bruce N. Alpert ------------------------------------------------------- Bruce N. Alpert, Principal Executive Officer (Principal Executive Officer) Date August 18, 2004 --------------------------------------------------------------------------- *Print the name and title of each signing officer under his or her signature. -----END PRIVACY-ENHANCED MESSAGE-----