-----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, VvT9V2p/6N3VghblWHJpLL/wDZgK05T1P7wdiUYqeJIXhIbbqeY6KBW/ui+o23Rz EP0u1KUsSiQP1UvcQ2XQTQ== 0000914248-07-000023.txt : 20070821 0000914248-07-000023.hdr.sgml : 20070821 20070821122534 ACCESSION NUMBER: 0000914248-07-000023 CONFORMED SUBMISSION TYPE: N-PX PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070821 FILED AS OF DATE: 20070821 DATE AS OF CHANGE: 20070821 EFFECTIVENESS DATE: 20070821 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SPECIAL SITUATIONS FUND III L P CENTRAL INDEX KEY: 0000914248 IRS NUMBER: 550898321 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: N-PX SEC ACT: 1940 Act SEC FILE NUMBER: 811-08110 FILM NUMBER: 071070062 BUSINESS ADDRESS: STREET 1: 527 MADISON AVENUE STREET 2: SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-319-6670 MAIL ADDRESS: STREET 1: 527 MADISON AVENUE STREET 2: SUITE 2600 CITY: NEW YORK STATE: NY ZIP: 10022 N-PX 1 npxjune2007.htm SSF III N-PX JUNE 2007 npxjune2007.htm

UNITED STATES
 
SECURITIES AND EXCHANGE COMMISSION
 
Washington, DC 20549
 
FORM N-PX
 
 
OMB APPROVAL
 
OMB Number: 3235-0582
Expires:  March 31, 2006
Estimated average burden hours per response 14.4

 
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
 
Investment Company Act file number
811-08110
SPECIAL SITUATIONS FUND III, L.P.
(Exact name of registrant as specified in charter)
153 EAST 53RD STREET, 55TH FLOOR, NEW YORK, NEW YORK 10022
(Address of principal executive offices)                                                                                                           (Zip Code)

Allen B. Levithan, Esq.
c/o Lowenstein Sandler PC
65 Livingston Avenue
Roseland,  NY 07068
(Name and address of agent for service)

Registrant’s telephone number, including area code:
(212) 319-6670

Date of fiscal year end:
December 31, 2007

Date of reporting period:
July 2006 – June 2007

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 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. § 3507.
 

 
Item 1. Proxy Voting Record
 

 
 
 

Name of Security
Ticker
Cusip
Proposed by
Date of Meeting
Date Posted
Description of Issue
Item #
Vote
                 
Ceva, Inc.
ceva
157210105
issuer
7/18/2006
7/17/2006
Elect Directors
1
For
           
Approve amend and restate 2002 employee stock purchase plan to increase the number of shares of common stock reserved for issuance thereunder form 1MM to 1.5MM
2
For
           
Ratify Kost Forer Gabbay & Kasierer as independent auditors of the company
3
For
                 
Tegal Corp.
tgal
879008100
issuer
7/21/2006
7/19/2006
Elect Directors
1
For
           
Approve series amendments to our Cert. of Inc. to effect a reverse stock split of our common stock, whereby each outstanding 8 or 12 shares would be combined into one share and to grant authorization to the BOD to determine at its discretion, the timing and the actual ratio of the reverse stock split
2
For
           
Approve the 8th amended and restated 1998 equity participation plan pursuant to which the plan will be amended to allow for the repricing of issued but unexercised stock options and awards held by employees and consultants.
3
For
           
Ratify Moss Adams LLP as independent public accounting firm.
4
For
           
In their discretion, the proxies are authorized to vote upon such other business as may properly come before the annual meeting and any and all adjournments or postponements of the annual meeting.
5
For
                 
Cyclacel Pharmaceuticals Inc.
cycc
23254L-108
issuer
7/6/2006
6/23/2006
Elect Directors
1
For
           
Approve amendment of the 2006 Equity incentive plan to increase the number of shares of common stock issuable thereunder.
2
For
           
Ratification of selection of Ernst & Young LLP as public accounting firm.
3
For
                 
Utix Group Inc.
utix
918032202
issuer
7/18/2006
na
Elect Directors
1
No vote
           
Adopt an amendment to 2003 Stock Option Plan to increase the number of shares for which options may be granted from 126m to 750m
2
No vote
           
Ratify grants of stock options under the 2003 Stock Option Plan that were made subject to stockholder approval for the purchase of an aggregate of 639, 525  shares of common stock
3
No vote
           
Ratify Vitale Caturano & Co. Ltd as independent accountants
4
No vote
           
In their discretion upons such other matter or matters that may properly come before the meeting or any adjournments thereof
5
No vote
                 
Clicksoftware Technologies Ltd.
cksw
M25082104
issuer
8/1/2006
na
Elect directors
  
No vote
           
To approve the appointment of Brightman Almagor & Co. a member of Deloitte Touche Tohmatsu as independent auditors
1
No vote
           
Are you a controlling shareholder of the company?
2A
No vote
           
Approve the compensation packages of Naomi Atsmon, Dan Falk and Israel Borovich for their service a external Dir. Of the Co.
3
No vote
           
Approve an amendment to the cash compensation package of all non-employee dir. For their service as dirs.
4
No vote
           
Approve the execution of an amendment to the employment agreement between the company and Dr. Moshe Benbassat substantially in the form attached to the proxy statement as Annex A.
6
No vote
           
Approve the grant of options to Dr. Benbassat for the purchase of 108000 ordinary shares of the co.
7
No vote
                 
Network Equipment Technologies
nwk
641208103
issuer
8/4/2006
na
Elect Directors
1
No Vote
                 
Onyx Software Corporation
onyx
683402200
issuer
8/10/2006
7/31/2006
Approve the agreement and plan of merger dated as of June 5, 2006 by and among M2M Holdings, Inc. Orion Acquisition Corporation and Onyx Software Corporation
1
For
           
To Act upon other matters properly rought before the Special meeting or any adjournment or postponement thereof
2
For
                 
TVIA Inc.
tvia
87307P101
issuer
8/10/2006
8/8/2007
Elect Directors
1
For
           
Ratify BDO Seidman LLP as independent accounting firm
2
For
                 
Printronix, Inc.
ptnx
742578107
issuer
8/22/2006
na
Elect Directors
1
No Vote
                 
Nova Measuring Instruments Ltds
nvmi
M7516K103
issuer
8/31/2006
8/29/2006
Ratify BDO SeidmanLLP as public accounting firm
3
For
           
Elect Ms. Naama Zeldis as extrnal dir.
4
For
           
Reappoint Brightman Almagor & Co. as public accountants
5
For
           
Approve amendments to chapter F of the Articles of Association of the company
6
For
           
Approve amended letter of indemnification to be given to Directors and officers of the company
7
For
           
Approve severance arrangements with Barry Cox floolowing his resignation as chairman and member of BOD
8
For
           
Approve the agreement between the company and Dr. Micha Brunstein, Chairman of the BOD
9
For
           
Approve the employment terms of the CEO of the Company Dr. Giora Dishon
10
For
           
Approve employment agreement between the company and the ceo of the company Dr. Giora Dishon
11
For
           
Approve the employment terms of the CTO of the company Dr. Moshe Finarov
12
For
           
Approve the employment agreement between the company and the CTO of the company Dr. Moshe Finarov
13
For
           
Approve remuneration terms for directors and external directors of the company
15
For
                 
Parkervision Inc.
prkr
701354102
issuer
9/7/2006
na
Elect Directors
1
No Vote
                 
Opnet Technologies, Inc.
opnt
683757108
issuer
9/12/2006
na
Elect Directors
1
No vote
           
Ratify Deloitte & Touche LLP as independent auditors
2
No vote
                 
WPCS International Inc.
wpcs
92931L203
issuer
9/20/2006
9/20/2006
Elect Directors
1
For
           
Proposal to approve appointment of J.H. Cohn LLP as independent public accounting firm
2
For
           
Proposal to approve the 2007 Incentive Stock Plan
3
For
                 
Quantum Fuel Systems Tech Worldwide
qtww
74765 E109
issuer
9/21/2006
9/7/2006
Elect Directors
1
No vote
           
Ratify McGladrey & Pullen LLP as independent auditors
2
No vote
                 
ATS Medical
atsi
2083103
issuer
9/25/2006
8/31/2006
Approval of the issuance of up to 19MM shares of ATS Medicals common stock pursuant to an agreement and plan of merger dated as of 1/23/06 by and among ATS Medical, Inc., Seabiscuit Acquisition Corp., a subsidiary of ATS Medical, 3F Therapeutics, Inc. and Mr. Boyd D. Cox, as representative of the 3F Therapeutics stockholders, as amended by Amendment No. 1 dated as of 6/13/06 and Amendment No. 2 dated as of 8/10/06 among the same parties.
1
No Vote
           
Approve of the Amendment to the Restated Articles of Incorporation to increase the number of authorized shares of ATS Medical's capkital stock from 40MM to 100MM and the filing of an amendment to the Restated Articles of Incorporation in connection therewith.
2
No Vote
           
Elect Directors
3
No Vote
           
Approve the amendment to the ATS Medial 1998 Employee Stock Purchase Plan to increase the number of shares of common stock of ATS Medicall which may be purchased under the plan by 500M shares.
4
No Vote
           
Approve of the amendment to the ATS Medical 2000 Stock Incentive Plan to provide that in lieu of automatic non-qualified stock option grants, non employee directors will be automatically granted restricted stock units upon election and re-election to the ATS Medical BoD
5
No Vote
                 
Frequency Electronics, Inc.
feim
358010106
issuer
9/27/2006
N/A
Elect Directors
1
No Vote
           
Ratify Holtz rubenstein Reminick LLP as independent auditors
2
No Vote
                 
                 
                 
                 
Solexa Inc.
slxa
83420X105
issuer
10/4/2006
9/19/2006
Elect Directors
1
No vote
           
Approve an amendment to the company's amended and restated Cert. of Inc. to increase the authorized number of shares of common stock from 60mm to 200mm
2
No vote
           
Approve the company's 2005 Equity Incentive Plan as amended to increase the aggregate number of hsares of common stock authorized for issuance under the plan by 3mm
3
No vote
           
Approve the adoption of a stockholder rights plan by the BofD
4
No vote
           
Ratify Ernst & Young LLP as indpendent public accounting firm
5
No vote
                 
Radware Ltd.
rdwr
M81873107
issuer
10/4/2005
N/A
Elect Directors
1
No Vote
           
Approve re-appointment of the company's auditors for until immediately following the next annual general meeting of shareholders and authorization of the BOD to delegate to the audit committee the authority to fix the renumeration of the auditors in accordance with the volume and nature of their services to the company for such fiscal year.
2
No Vote
           
Approve non-employee directors compensation and option grants.
3
No Vote
           
Approve compensation to CEO
4
No Vote
           
Approve compensation to COB
5
No Vote
           
Approve fixing the maximum number of Directors of the company at nine.
6
No Vote
                 
Interlink Electronics, Inc.
link
458751104
issuer
10/18/2006
na
Elect Directors
1
No Vote
           
Proposal to amend our Cert. of Inc. to effect a reverse stock split of our common stock, at an exchange ratio ranging from one to two to one to five.
2
No Vote
                 
PSI Technologies Holdings, Inc.
psit
74438Q109
issuer
10/25/2006
10/12/2006
Elect Directors
1
No vote
           
Approve the minutes of 9/22/05 meeting of stockholders
2
No vote
           
Appoint SGV & Co and Ernst & Young as external auditors
3
No vote
           
Approve the amendment to section 1, Article II of the Corporate by-laws to change the date of the annual general meeting of stockholders from "Any day in June" to "Last Wednesday of October"  of each year.
4
No vote
           
Authorize the company to guarantee and/or act as surety with respect to any loans/oblications that any financial institution may extend to PSI Technologies, Inc. and/or PSI Technologies Laguna Inc.
5
No vote
           
Ratify all acts,contracts and resolutions of management and the BOD since 9/22/05
6
No vote
           
Other matters
7
No vote
                 
Ciphergen Biosystems, Inc.
ciph
17252Y104
issuer
10/26/2006
10/3/2006
Approve the proposed sale of the assets used in our proteomics business herein referred to as the research tools business to Bio-Rad Laboratories, Inc Pursuant to the asset purchase agreement attached as annex A to the accompanying proxy statement.
1
No Vote
           
Approve the proposal to grant discretionary authority to adjourn or postpone the Ciphergen special meeting to another time or place for the purpose of soliciting additional proxies.
2
No Vote
                 
Aastrom Biosciences, Inc.
astm
00253U107
issuer
11/2/2006
10/11/2006
Elect Directors
1
No Vote
           
Approve amended and restated 2004 Equity Incentive Plan.
2
No Vote
           
Ratify Pricewaterhouse Coopers LLP and independent Public accountant.
3
No Vote
                 
Cardica, Inc.
crdc
1414R101
issuer
11/8/2006
10/16/2006
Elect Directors
1
No Vote
           
Approve the company's 2005 Equity incentive plan as amended to (1) Increase the number of shares authorized for issuance under the 2005 plany by 250M shares of common stock from an aggregate total of 400m share to 650m shares and (II) Eliminate the ability of the 2005 plan's adminstrator to reprice equity awards granted thereunder.
2
No Vote
           
Ratify Ernst&Young LLP as independent accounting firm.
3
No Vote
                 
Adept Technology Inc.
adep
6854202
issuer
11/14/2006
11/7/2006
Elect Directors
1
For
           
Approve the amendment to the 2004 Director Option Plan
2
For
           
Ratify Armanino McKenna LLP as independent auditors
3
For
                 
Moldflow Corp.
mflo
608507109
issuer
11/17/2006
na
Elect Directors
1
No Vote
                 
Excapsa Software Inc.
xcp.ln
30066 E107
issuer
11/24/2006
11/14/2006
Ratify & approve the sale of all of the outstanding cs of Excapsa Svcs, Inc. & Game Theory Holdings Ltd to Blast Off Ltd effective as of the close of business on 10/12/06
1
No vote
           
Authorize and approve the cancellation of the admission of the cs of no par value in the capital of the company to trading on AIM
2
No vote
           
Authorize, approve and adopt the Plan of Liquidation and Distribution substantially in the form attached as Exhibit B to the management information circular relating to the voluntary dissolution of the Company pursuant to the applicable provisions of the Canada Business Act and the Plan of Liquidation and Distribution.
3
No vote
           
Authorize and approve the change of name of the Company from Excapsa Software Inc. to "6356095 Canada Inc."
4
No vote
           
Approve any reduction of the stated capital of the Company authorized pursuant to the Plan of Liquidation and Distribution and to authorize the Company to pay an amount equal to any such authorized reduction of stated capital to the shareholders of the Company.
5
No vote
           
Authorize the Company upon the Company ceasing to be a distributing corporation within the meaning of the Canada Business Corporations Act, unless otherwise determined pursuant to the Plan of liquidation and Distribution, to dispensewith the requirements of Part XIV of the Canada Business Corporations Act regarding the appointment and duties of an auditor and the preparation and presentation of audited financial statements in respect of the financial year of the Company ending 12/31/06
6
No vote
           
Ratify and confirm all by-laws contracts acts proceedings apppointments elections and appointments of the BOD and officers of the Company enated made done or taken since the incorporation of the Company.
7
No vote
                 
Allis-Chalmers Energy, Inc.
aly
19645506
issuer
11/28/2006
11/14/2006
Elect Directors
1
No vote
           
Ratify UHY LLP as independent accountants
2
No vote
           
Adoption of the Allis-Chalmers Energy Inc. 2006 Incentive Plan.
3
No vote
                 
                 
                 
KMG Chemicals Inc.
kmgb
482564101
issuer
11/28/2006
11/14/2006
Elect Directors
1
No vote
           
Ratify UHY LLP as independent public accounting firm.
2
No vote
                 
YM Biosciences Inc.
ymi
984238105
issuer
11/28/2006
11/20/2006
Items 1- 5 Elect Directors
1 to 5
No vote
           
Appointment of KPMG as auditors
6
No vote
           
Special resolution attached as schedule c in the accompanying circular approving the amendments to the corporations articles assn. to eliminate the classification of the corporations board of directors.
7
No vote
                 
Precision Optics Corp.
poci
740294202
issuer
11/28/2006
na
Elect Directors
1
No Vote
           
Approve an amendment to the articles of organization as amended to increase the number of authorized shares of common stock of the company from 20MM to 50MM
2
No Vote
           
Approve certain amendments to the amended and restated 1997 incentive plan of the company
3
No Vote
           
Approve the 2006 Equity incentive plan of the company.
4
No Vote
                 
Nova Measuring Instruments LTD
nmss
M7516K103
issuer
11/30/2006
11/22/2006
Approve the employment agreement between the company and Dr. Giora Dishon
1
For
           
Approve the employment agreement between the company and Dr. Moshe Finarov
2
For
                 
Syntax Brillian Corp.
brlc
87163L103
issuer
11/30/2006
na
Elect Directors
1
No Vote
                 
Collectors Universe, Inc.
clct
19421R200
issuer
12/5/2006
12/1/2006
Elect Directors
1
No vote
           
Approval of the 2006 Equity incentive Plan
2
No vote
           
Ratify Grant Thornton LLP as independent public accounting firm
3
No vote
                 
Spacehab, Inc.
spcbf
846243103
issuer
12/12/2006
na
Elect Directors
1
No vote
           
Ratify Grant Thornton LLP as accountants
2
No vote
                 
Metasolv, Inc.
mslv
59139P-104
issuer
12/15/2006
12/11/2006
Adopt the agreement and plan of merger dated as of october 23 2006 by and among Oracle Systems Corporation(Parent), Marine Acquisition Corporation, a direct wholly-owned subsidiary of parent and Metasolv Inc. as amended as more fully described in the proxy statement relating thereto.
1
For
                 
Memory Pharmaceuticals.Corp
memy
58606R403
issuer
12/18/2006
11/22/2006
Approve the issuance of 3,261,220 shares of common stock to certain institutional invfestors pursuant the securities purchase agreement dated october 5, 2006  among the company and the purchasers parties
1
No vote
                 
World Heart Corp.
whrt
980905202
issuer
12/20/2006
12/14/2006
Elect Directors
1
For
           
Approve an amendment and restatement of the World Heart Corp. employee stock option plan to give the company the flexibility to grant restricted stock awards restricted stock unit awards, stock appreciation rights, performance shares and other share-based awards, in addition to incentive and non-statutory stock options, to the directors, employees and consultants of the company and its affiliates under the plan and to make certain other changes to the plan
2
For
           
Appoint pricewaterHouse Coopers as independent auditors
3
For
           
Confirm the company's new by-law
4
For
           
Approve the grant of discretionary authority to the company's BOD to amend to amend the company's articles to effect a reverse stock split of the company's common shares at a ratio within the range from one to two to one to ten at any time prior to the first anniversary of this meeting
5
For
           
Approve the private placement of up to 45,220,000 common shares of World Heart to certain investors and the issuance of up to 3, 373,200 common shares to the agent in the private placement
6
For
                 
Wireless Ronin Technologies, Inc.
rnin
97652A203
issuer
2/2/2007
na
Approve 2006 equity incentive plan
1
No Vote
           
Approve 2006 non-employee director stock option plan
2
No Vote
           
Approve our issuance of warrants to purchase common stock to certain members of our management and a former member of BOD
3
No Vote
                 
Emrise Corporation
eri
29246J101
issuer
2/14/2007
2/6/2007
Elect Directors
1
For
           
Ratify Independent Public accountants
2
For
                 
Hi/Fn Inc.
hifn
428358105
issuer
2/20/2007
n/a
Elect Directors
1
No Vote
           
Ratify PriceWaterhousecoopers LLP as independent accounting firm
2
No Vote
                 
Phoenix Technologies Ltd.
ptec
719153108
issuer
2/26/2007
2/23/2007
Elect Directors
1
For
           
Ratify Ernst & Young LLP as independent accounting firm.
2
For
                 
Integral Vision Inc.
invi
45811H106
issuer
4/18/2007
NA
Elect Directors
1
No Vote
           
Company authorized to amend it's A of I to increase the number of shares of common stock which it is authorized to issue from 41MM to 50MM
2
No Vote
                 
Regeneration Technologies, Inc.
rtix
75886N100
issuer
4/24/2007
4/12/2007
Elect directors
1
No Vote
                 
American Dental Partners Inc.
adpi
025353103
issuer
4/27/2007
n/a
Elect Directors
1
No Vote
           
Approve an amendment to the company's employee stock purchase plan to increase by 150M shares the number of shares available under the plan
2
No Vote
           
Ratify PriceWaterhouse Coopers LLP as independent auditors
3
No Vote
                 
Corillian Corporation
cori
218725109
issuer
4/30/2007
n/a
Approve the agreement and plan of merger, dtd as of February 13,2007  (as it may be amended from time to time the merger agreement), among corillian Corp., Checkfree Corp. and a wholly own subsidiary of Checkfree, all as more fully described in the proxy statement.
1
No Vote
           
Approve the adjournment of the special meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of meeting to approve the merger agreement of if the conditions to closing of the merger are unlikely to be completed within a reasonable time following the special meeting.
2
No Vote
                 
Curagen Corporation
crgn
23126R101
issuer
5/2/2007
4/12/2007
Elect directors
1
No Vote
           
Approve 2007 stock incentive plan
2
No Vote
                 
Quidel Corporation
qdel
74838J101
issuer
5/7/2007
5/9/2007
Elect Directors
1
No Vote
           
Ratify ernst & Young LLP as independent public accounting firm
2
No Vote
           
Approve the amendment and restatement of the Quidel Corporation 2001 Equity Incentive Plan to increase the authorized shares among other matters
3
No Vote
           
Approve the performance goals used to establish compensation programs and awards under the Quidel corporation 2001 Equity Incentive Plan
4
No Vote
                 
American Technology Corp.
atco
030145205
issuer
5/9/2007
5/8/2007
Elect Directors
1
For
           
Ratify Swenson Advisors, LLP independent public accounting firm
2
For
           
Approve amendements to the company's 2005 equity incentive plan
3
For
           
Approve certain terms of the securitieds purchase agreement
4
For
                 
Pope & Talbot, Inc.
pop
732827100
issuer
5/10/2007
n/a
Elect Directors
1
No Vote
           
Ratify KPMG LLP as public accounting firm
2
No Vote
                 
Sonic Innovations, Inc.
snci
83545M109
issuer
5/10/2007
n/a
Elect Directors
1
No Vote
           
Ratify appointment of KPMG LLP as independent auditors
2
No Vote
                 
EV3, Inc.
evvv
26928A200
issuer
5/15/2007
n/a
Elect Directors
1
No Vote
           
Approve the second amended and restated 2005 incentive stock plan
2
No Vote
           
Ratify independent public accounting firm
3
No Vote
                 
Integramed America, Inc.
inmd
45810N302
issuer
5/15/2007
5/1/2007
Elect directors
1
No Vote
           
Approve the company's 2007 Long-Term compensation plan.
2
No Vote
                 
Microfinancial Inc.
mfi
595072109
BOD
5/16/2007
n/a
Elect directors
1
No Vote
           
Ratify Vitale, Caturano & Co. as public accounting firm
2
No Vote
                 
Isis Pharmaceuticals Inc.
isis
464330109
issuer
5/17/2007
4/17/2007
Elect Directors
1
No Vote
           
Ratify Ernst & Young LLP
2
No Vote
                 
1-800 Contacts, Inc.
ctac
681977104
issuer
5/18/2007
n/a
Elect Directors
1
No Vote
           
Ratify KPMG LLP as independent accounting firm
2
No Vote
                 
Electro-Optical Sciences, Inc.
mela
285192100
issuer
5/21/2007
5/14/2007
Elect Directors
1
For
           
Ratify Eisner LLP as registered public accounting firm
2
For
           
Approve the amendment to our 2003 stock incentive plan
3
For
           
Ratify amendment to our 2005 stock incentive plan
4
For
                 
Peco II, Inc.
piii
705221109
issuer
5/22/2007
n/a
Elect Directors
1
No Vote
                 
Rush Enterprises, Inc.
rusha
781846209
issuer
5/22/2007
n/a
Elect Directors
1
No Vote
           
Approve the adoption of the Rush Enterprises, Inc. 2007 Long term incentive plan
2
No Vote
           
Ratify Ernst & Young LLP as independent public accounting firm
3
No Vote
                 
The Knot, Inc.
knot
499184109
issuer
5/23/2007
n/a
Elect Directors
1
No Vote
           
Ratify Ernst & Young LLP  as public accounting firm
2
No Vote
                 
Cryptologic, Inc.
cryp
228906103
issuer
5/24/2007
5/14/2007
Authorizing the approval of the arrangement as outlined in the management information circular
1
For
           
In his discretion on such other issues as may properly come before the meeting
2
For
                 
Medivation Inc.
mdvn
58501N101
issuer
5/30/2007
5/9/2007
Elect Directors
1
No Vote
           
Ratify PriceWaterhouseCoopers LLP independent accounting firm
2
No Vote
           
Approve the amended and restated 2004 Equity Incentive Award Plan
3
No Vote
           
Transact business as may properly come before the meeting or any adjournment or postponement thereof
4
No Vote
                 
Amcomp Inc.
amcp
02342J101
issuer
5/30/2007
n/a
Elect Directors
1
No Vote
           
Ratify Johnson Lambert & Co. LLP as independent auditors
2
No Vote
                 
CombinatoRx Inc.
cbmx
003881208
issuer
5/31/2007
4/30/2007
Elect Directors
1
No Vote
           
Ratify Ernst & Young LLP as independent accounting firm
2
No Vote
                 
Full House Resorts, Inc.
fll
359678109
issuer
5/31/2007
n/a
Elect Directors
1
No Vote
           
Ratify Piercy Bowler Taylor & Kern as independent auditors
2
No Vote
                 
Ultra Clean Holdings, Inc.
uctt
90385V107
issuer
5/31/2007
n/a
Elect Directors
1
No Vote
           
Ratify Deloitte & Touche LLP as public accounting firm
2
No Vote
                 
Anadys Pharmaceuticals
ands
03252Q408
issuer
6/1/2007
5/9/2007
Elect Directors
1
No Vote
           
Ratify Ernst & Young LLP as independent accounting firm
2
No Vote
                 
Metabasis Therapeutics, Inc.
mbrx
59101M105
issuer
6/1/2007
5/10/2007
Elect Directors
1
No Vote
           
Ratify Ernst & Young LLP as independent auditors
2
No Vote
                 
Sangamo Biosciences, Inc.
sgmo
800677106
issuer
6/7/2007
5/15/2007
Elect Directors
1
No Vote
           
Ratify Ernst & Young LLP as independent auditors
2
No Vote
                 
Sumtotal Systems, Inc.
sumt
866615107
issuer
6/8/2007
n/a
Elect Directors
1
No Vote
           
Ratify BDO Seidman LLP as public accounting firm
2
No Vote
                 
Metretek Technologies, Inc.
mek
59159Q107
issuer
6/11/2007
5/4/2007
Elect Directors
1
No Vote
           
Ratify Hein & Assocs as independent accounting firm
2
No Vote
                 
Comarco Inc.
cmro
200080109
issuer
6/12/2007
6/11/2007
Elect Directors
1
For
           
Ratify BDO Seidman, LLP as independent accounting firm.
2
For
                 
Youbet.com, Inc.
ubet
987413101
issuer
6/13/2007
n/a
Elect Directors
1
No Vote
                 
Bakers Footwear Group, Inc.
bkrs
057465106
issuer
6/14/2007
n/a
Elect Directors
1
No Vote
           
Ratify Ernst & Young LLP as public accounting firm
2
No Vote
                 
Natus Medical Inc.
baby
639050103
issuer
6/14/2007
5/16/2007
Elect Directors
1
No Vote
           
Ratify Deloitte & Touche LLP as indpendent accounting firm
2
No Vote
                 
Varsity Group, Inc.
vsty
922281100
issuer
6/14/2007
6/5/2007
Elect Directors
1
For
                 
Zhongpin, Inc.
zhnp
98952K107
BOD
6/15/2007
5/11/2007
Elect Directors
1
No Vote
           
Approve and adopt amended and restated 2006 Equity Incentive Plan
2
No Vote
           
Ratify Child, Van Wagoner & Bradshaw PLLC  certified public accountants
3
No Vote
                 
PFSWEB, Inc.
pfsw
717098107
issuer
6/15/2007
6/5/2007
Elect Directors
1
For
           
Approve an amendment to the company's amended and restated COI to authorize a reverse split
2
For
           
Approve the amendments to the company's non-employee director stock option plan
3
For
           
Ratify appointment of independent auditors.
4
For
                 
Modtech Holdings, Inc.
modt
60783C100
issuer
6/19/2007
n/a
Elect Directors
1
No Vote
                 
Net Perceptions, Inc.
netp
64107U101
issuer
6/21/2007
6/20/2007
Elect Directors
1
For
           
Approve a proposal to amend the company's COI to change the company's name from Net Perceptions, Inc. to "Stamford Industrial Group, Inc."
2
For
           
Consider and vote upon a proposal to adopt a new long-term stock incentive plan pursuant to which an aggregate of 10MM shares of Net Perceptions' common stock will be reserved for issuance and available under such plan (subject to annual increase of four percent of outstanding shares).
3
Against
           
Consider and vote upon a proposal to adopt a new annual incentive plan designed to allow for the award of "performance" based compensation under section 162M of the internal revenue code.
4
For
                 
Monterey Gourmet Foods, Inc.
psta
612570101
issuer
6/22/2007
n/a
Elect Directors
1
No Vote
           
Approve BDO Seidman LLP as the independent accounting firm
2
No Vote
                 
Orthovita, Inc.
vita
68750U102
issuer
6/26/2007
5/9/2007
Elect Directors
1
No Vote
           
Amend and restate AOI and to permit the BOD at its discretion at any time prior to the company's next annual meeting of shareholders to effect a reverse split of the company's common stock at a ratio of not less than 1 for 3 and not more than 1 for 6.  The BOD will retain discretion to elect to implement a reverse stock split in this range or to elect not to implement a reverse stock split
2
No Vote
           
Approve the 2007 Omnibus equity Compensation Plan
3
No Vote
           
Ratify KPMG LLP as independent public accounting firm.
4
No Vote
           
Act upon such matters as may properly come before the meeting
5
No Vote
                 
World Heart Corporation
whrt
980905301
issuer
6/26/2007
6/11/2007
Elect Directors
1
No Vote
           
Appoint Burr, Pilger & Mayer LLP as auditors
2
No Vote

 
 
 


 

 

 
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)
SPECIAL SITUATIONS FUND III, L.P.

By (signature and Title)*
/s/Austin W. Marxe
       AUSTIN W. MARXE, MANAGING GENERAL PARTNER

Date:
August 21, 2007



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