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Castle Convertible Fund Inc – ‘N-PX’ for 6/30/05

On:  Wednesday, 8/24/05, at 11:55am ET   ·   Effective:  8/24/05   ·   For:  6/30/05   ·   Accession #:  930413-5-6063   ·   File #:  811-02213

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 8/24/05  Castle Convertible Fund Inc       N-PX        6/30/05    1:22K                                    Command Financial

Proxy Voting Record Annual Report by a Management Investment Company   —   Form N-PX
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: N-PX        Proxy Voting Record Annual Report by a Management      9     41K 
                          Investment Company                                     

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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 811-02213 --------- CASTLE CONVERTIBLE FUND, INC. ----------------------------- (Exact name of registrant as specified in charter) 111 FIFTH AVENUE - 2ND FLOOR, NEW YORK, NY 10003 -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip code) FRED ALGER MANAGEMENT, INC., ATTN: FREDERICK A. BLUM, 111 FIFTH AVENUE, NEW YORK, NY 10003 -------------------------------------------------------------------------------- (Name and address of agent for service) Registrant's telephone number, including area code: (201) 547-3652 ---------------- Date of fiscal year end: 10/31/04 ---------- Date of reporting period: 07/01/04- 06/30/2005 ---------------------- 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 30b 1-4 thereunder (17 CFR 270.30b 1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of44U.S.C. ss. 3507.
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******************************* FORM N-Px REPORT ******************************* ICA File Number: 811-02213 Reporting Period: 07/01/2004 - 06/30/2005 Castle Convertible Fund, Inc. ======================== CASTLE CONVERTIBLE FUND, INC. ========================= BANK OF AMERICA CORP. Ticker: BAC Security ID: 060505104 Meeting Date: APR 27, 2005 Meeting Type: Annual Record Date: MAR 4, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director William Barnet, III For For Management 1.2 Elect Director Charles W. Coker For For Management 1.3 Elect Director John T. Collins For For Management 1.4 Elect Director Gary L. Countryman For Withhold Management 1.5 Elect Director Paul Fulton For For Management 1.6 Elect Director Charles K. Gifford For For Management 1.7 Elect Director W. Steven Jones For For Management 1.8 Elect Director Kenneth D. Lewis For For Management 1.9 Elect Director Walter E. Massey For For Management 1.10 Elect Director Thomas J. May For For Management 1.11 Elect Director Patricia E. Mitchell For For Management 1.12 Elect Director Edward L. Romero For For Management 1.13 Elect Director Thomas M. Ryan For Withhold Management 1.14 Elect Director O. Temple Sloan, Jr. For For Management 1.15 Elect Director Meredith R. Spangler For For Management 1.16 Elect Director Robert L. Tillman For For Management 1.17 Elect Director Jackie M. Ward For For Management 2 Ratify Auditors For For Management 3 Report on Political Contributions Against Against Shareholder 4 Director Nominee Amendment Against Against Shareholder -------------------------------------------------------------------------------- BRISTOL-MYERS SQUIBB CO. Ticker: BMY Security ID: 110122108 Meeting Date: MAY 3, 2005 Meeting Type: Annual Record Date: MAR 7, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director V.D. Coffman For For Management 1.2 Elect Director J.M. Cornelius For For Management 1.3 Elect Director P.R. Dolan For For Management 1.4 Elect Director E.V. Futter For For Management 1.5 Elect Director L.V. Gershtner, Jr. For For Management 1.6 Elect Director L. Johansson For For Management 1.7 Elect Director L.W. Sullivan For For Management 2 Ratify Auditors For For Management 3 Amend Articles to Eliminate Certain For For Management Supermajority Vote Requirements 4 Report on Political Contributions Against Against Shareholder 5 Report on Operational Impact of HIV/AIDS, Against Against Shareholder TB, and Malaria Pandemic 6 Eliminate Animal Testing Against Against Shareholder 7 Separate Chairman and CEO Positions Against For Shareholder 8 Proposal Regarding Restatement Situations Against Against Shareholder 9 Limit/Prohibit Awards to Executives Against For Shareholder 10 Require a Majority Vote for the Election Against For Shareholder of Directors Page 1
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-------------------------------------------------------------------------------- CITIGROUP INC. Ticker: C Security ID: 172967101 Meeting Date: APR 19, 2005 Meeting Type: Annual Record Date: FEB 25, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director C. Michael Armstrong For For Management 1.2 Elect Director Alain J.P. Belda For For Management 1.3 Elect Director George David For For Management 1.4 Elect Director Kenneth T. Derr For For Management 1.5 Elect Director John M. Deutch For For Management 1.6 Elect Director Roberto Hernandez Ramirez For For Management 1.7 Elect Director Ann Dibble Jordan For For Management 1.8 Elect Director Klaus Kleinfeld For For Management 1.9 Elect Director Dudley C. Mecum For For Management 1.10 Elect Director Anne Mulcahy For For Management 1.11 Elect Director Richard D. Parsons For For Management 1.12 Elect Director Charles Prince For For Management 1.13 Elect Director Judith Rodin For For Management 1.14 Elect Director Robert E. Rubin For For Management 1.15 Elect Director Franklin A. Thomas For For Management 1.16 Elect Director Sanford I. Weill For For Management 1.17 Elect Director Robert B. Willumstad For For Management 2 Ratify Auditors For For Management 3 Amend Omnibus Stock Plan For For Management 4 Limit/Prohibit Awards to Executives Against Against Shareholder 5 Report on Political Contributions Against Against Shareholder 6 Prohibit Chairman From Management Duties, Against For Shareholder Titles or Responsibilities 7 Limit Executive Compensation Against Against Shareholder 8 Require a Majority Vote for the Election Against For Shareholder of Directors 9 Review/Limit Executive Compensation Against Against Shareholder 10 Adopt Simple Majority Vote Against For Shareholder -------------------------------------------------------------------------------- CONOCOPHILLIPS Ticker: COP Security ID: 20825C104 Meeting Date: MAY 5, 2005 Meeting Type: Annual Record Date: MAR 10, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director J.J. Mulva For For Management 1.2 Elect Director Norman R. Augustine For For Management 1.3 Elect Director Larry D. Horner For For Management 1.4 Elect Director Charles C. Krulak For For Management 2 Ratify Auditors For For Management 3 Limit Executive Compensation Against Against Shareholder 4 Require a Majority Vote for the Election Against For Shareholder of Directors Page 2
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-------------------------------------------------------------------------------- ENTERGY CORP. Ticker: ETR Security ID: 29364G103 Meeting Date: MAY 13, 2005 Meeting Type: Annual Record Date: MAR 16, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Maureen Scannell Bateman For For Management 1.2 Elect Director W. Frank Blount For For Management 1.3 Elect Director Simon D. deBree For For Management 1.4 Elect Director Claiborne P. Deming For For Management 1.5 Elect Director Alexis Herman For For Management 1.6 Elect Director Donald C. Hintz For For Management 1.7 Elect Director J. Wayne Leonard For For Management 1.8 Elect Director Robert v.d. Luft For For Management 1.9 Elect Director Kathleen A. Murphy For For Management 1.10 Elect Director James R. Nichols For For Management 1.11 Elect Director William A. Percy, II For For Management 1.12 Elect Director Dennis H. Reilley For For Management 1.13 Elect Director Steven V. Wilkinson For For Management 2 Ratify Auditors For For Management 3 Require the Chairman of the Board Be an Against For Shareholder Independent Director 4 Require a Majority Vote for the Election Against For Shareholder of Directors -------------------------------------------------------------------------------- FIRSTENERGY CORPORATION Ticker: FE Security ID: 337932107 Meeting Date: MAY 17, 2005 Meeting Type: Annual Record Date: MAR 22, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Anthony J. Alexander For For Management 1.2 Elect Director Russell W. Maier For For Management 1.3 Elect Director Robert N. Pokelwaldt For For Management 1.4 Elect Director Wes M. Taylor For For Management 1.5 Elect Director Jesse T. Williams, Sr. For For Management 2 Ratify Auditors For For Management 3 Report on Political Contributions Against Against Shareholder 4 Amend Vote Requirements to Amend Against For Shareholder Articles/Bylaws/Charter 5 Performance- Based/Indexed Options Against Against Shareholder -------------------------------------------------------------------------------- FPL GROUP, INC. Ticker: FPL Security ID: 302571104 Meeting Date: MAY 20, 2005 Meeting Type: Annual Record Date: MAR 22, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Director H. Jesse Arnelle For For Management 1.2 Elect Director Director Sherry S. Barrat For For Management 1.3 Elect Director Director Robert M. Beall, For For Management II 1.4 Elect Director Director J. Hyatt Brown For Withhold Management 1.5 Elect Director Director James L. Camaren For For Management 1.6 Elect Director Director Lewis Hay, III For For Management 1.7 Elect Director Director Rudy E. Schupp For For Management 1.8 Elect Director Director Michael H. For For Management Thaman 1.9 Elect Director Director Hansel E. For For Management Tookes, II 1.10 Elect Director Director Paul R. For For Management Tregurtha 1.11 Elect Director Director Frank G. Zarb For For Management 2 Ratify Auditors For For Management Page 3
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-------------------------------------------------------------------------------- GLAXOSMITHKLINE PLC (FORMERLY GLAXO WELLCOME PLC ) Ticker: GSK Security ID: 37733W105 Meeting Date: MAY 25, 2005 Meeting Type: Annual Record Date: MAR 11, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1 DIRECTORS REPORT AND FINANCIAL For For Management STATEMENTS 2 REMUNERATION REPORT For For Management 3 TO ELECT SIR CHRISTOPHER GENT AS A For For Management DIRECTOR 4 TO ELECT SIR DERYCK MAUGHAN AS A DIRECTOR For For Management 5 TO ELECT MR JULIAN HESLOP AS A DIRECTOR For For Management 6 TO RE-ELECT DR JEAN-PIERRE GARNIER AS A For For Management DIRECTOR 7 TO RE-ELECT SIR IAN PROSSER AS A DIRECTOR For For Management 8 TO RE-ELECT DR RONALDO SCHMITZ AS A For For Management DIRECTOR 9 TO RE-ELECT DR LUCY SHAPIRO AS A DIRECTOR For For Management 10 Ratify Auditors For For Management 11 REMUNERATION OF AUDITORS For For Management 12 TO AUTHORISE THE COMPANY TO MAKE For For Management DONATIONS TO EU POLITICAL ORGANISATIONS AND INCUR EU POLITICAL EXPENDITURE 13 DISAPPLICATION OF PRE-EMPTION RIGHTS For For Management 14 AUTHORITY FOR THE COMPANY TO PURCHASE ITS For For Management OWN SHARES 15 INSERTION OF NEW ARTICLE 48A INTO For For Management ARTICLES OF ASSOCIATION 16 DELETION OF ARTICLE 154.2 OF ARTICLES OF For For Management ASSOCIATION 17 AMENDMENT OF ARTICLE 81 OF ARTICLES OF For For Management ASSOCIATION Page 4
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-------------------------------------------------------------------------------- JPMORGAN CHASE & CO. Ticker: JPM Security ID: 46625H100 Meeting Date: MAY 17, 2005 Meeting Type: Annual Record Date: MAR 22, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Director Hans W. Becherer For For Management 1.2 Elect Director Director John H. Biggs For For Management 1.3 Elect Director Director Lawrence A. For For Management Bossidy 1.4 Elect Director Director Stephen B. Burke For For Management 1.5 Elect Director Director James S. Crown For For Management 1.6 Elect Director Director James Dimon For For Management 1.7 Elect Director Director Ellen V. Futter For For Management 1.8 Elect Director Director William H. Gray, For For Management III 1.9 Elect Director Director William B. For For Management Harrison, Jr 1.10 Elect Director Director Laban P. For For Management Jackson, Jr. 1.11 Elect Director Director John W. Kessler For For Management 1.12 Elect Director Director Robert I. Lipp For For Management 1.13 Elect Director Director Richard A. For For Management Manoogian 1.14 Elect Director Director David C. Novak For For Management 1.15 Elect Director Director Lee R. Raymond For For Management 1.16 Elect Director Director William C. For For Management Weldon 2 Ratify Auditors For For Management 3 Approve Omnibus Stock Plan For Against Management 4 Establish Term Limits for Directors Against Against Shareholder 5 Separate Chairman and CEO Positions Against For Shareholder 6 Limit Executive Compensation Against Against Shareholder 7 Adopt Executive Benefit Policy Against For Shareholder -------------------------------------------------------------------------------- KERR-MCGEE CORP. Ticker: KMG Security ID: 492386107 Meeting Date: JUN 7, 2005 Meeting Type: Annual Record Date: MAR 11, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director William F. Wallace For For Management 1.2 Elect Director Ian L. White-Thomson For For Management 2 Ratify Auditors For For Management 3 Approve Omnibus Stock Plan For For Management 4 Increase Authorized Common Stock For For Management 5 Establish Office of the Board of Against Against Shareholder Directors Page 5
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-------------------------------------------------------------------------------- KEYSPAN CORPORATION Ticker: KSE Security ID: 49337W100 Meeting Date: MAY 20, 2005 Meeting Type: Annual Record Date: MAR 22, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Robert b. Catell For For Management 1.2 Elect Director Andrea S. Christensen For For Management 1.3 Elect Director Robert J. Fani For For Management 1.4 Elect Director Alan H. Fishman For For Management 1.5 Elect Director James R. Jones For For Management 1.6 Elect Director James L. Larocca For For Management 1.7 Elect Director Gloria C. Larson For For Management 1.8 Elect Director Stephen W. McKessy For For Management 1.9 Elect Director Edward D. Miller For For Management 1.10 Elect Director Vikki L. Pryor For For Management 2 Ratify Auditors For For Management -------------------------------------------------------------------------------- MERCK & CO., INC. Ticker: MRK Security ID: 589331107 Meeting Date: APR 26, 2005 Meeting Type: Annual Record Date: FEB 25, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Rochelle B. Lazarus For For Management 1.2 Elect Director William G. Bowen For For Management 1.3 Elect Director Raymond V. Gilmartin For For Management 1.4 Elect Director Thomas E. Shenk For For Management 1.5 Elect Director Anne M. Tatlock For For Management 1.6 Elect Director Samuel O. Thier For For Management 1.7 Elect Director Wendell P. Weeks For For Management 1.8 Elect Director Peter C. Wendell For For Management 2 Ratify Auditors For For Management 3 Prohibit Awards to Executives Against Against Shareholder 4 Limit Executive Compensation Against Against Shareholder 5 Eliminate Animal Testing Against Against Shareholder 6 Separate Chairman and CEO Positions Against For Shareholder 7 Report on Product Availability in Canada Against For Shareholder 8 Report on Political Contributions Against Against Shareholder 9 Report on Operational Impact of HIV/AIDS, Against Against Shareholder TB, and Malaria Pandemic Page 6
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-------------------------------------------------------------------------------- ROYAL DUTCH SHELL PLC (FORMERLY ROYAL DUTCH PETROLEUM CO.) Ticker: RPETY Security ID: 780257804 Meeting Date: JUN 28, 2005 Meeting Type: Annual Record Date: MAY 23, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1 ANNUAL ACCOUNTS 2004 For For Management 2 DECLARATION OF THE TOTAL DIVIDEND FOR THE For For Management YEAR 2004 3 DISCHARGE OF THE MANAGING DIRECTORS For Against Management 4 DISCHARGE OF THE MEMBERS OF THE For Against Management SUPERVISORY BOARD 5 APPOINTMENT OF MR. L.R. RICCIARDI AS A For For Management MEMBER OF THE SUPERVISORY BOARD 6 AUTHORIZATION FOR THE ACQUISITION OF For For Management ORDINARY SHARES 7 CANCELLATION OF THE ORDINARY SHARES HELD For For Management BY THE COMPANY 8 APPROVAL OF THE IMPLEMENTATION AGREEMENT For For Management 9 PROPOSAL TO AMEND THE ARTICLES OF For Against Management ASSOCIATION OF THE COMPANY 10 APPOINTMENT OF MR A.G. JACOBS AS A For For Management NON-EXECUTIVE DIRECTOR 11 APPOINTMENT OF MS CH. MORIN-POSTEL AS A For For Management NON-EXECUTIVE DIRECTOR 12 APPOINTMENT OF MR A.A. LOUDON AS A For For Management NON-EXECUTIVE DIRECTOR 13 APPOINTMENT OF MR L.R. RICCIARDI AS A For For Management NON-EXECUTIVE DIRECTOR 14 ADOPTION OF THE REMUNERATION POLICY FOR For For Management THE BOARD OF DIRECTORS 15 APPROVAL OF AMENDED LONG-TERM INCENTIVE For For Management PLAN 16 APPROVAL OF AMENDED RESTRICTED SHARE PLAN For For Management 17 APPROVAL OF AMENDED DEFERRED BONUS PLAN For For Management -------------------------------------------------------------------------------- TXU CORP. Ticker: TXU Security ID: 873168108 Meeting Date: MAY 20, 2005 Meeting Type: Annual Record Date: MAR 21, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director Derek C. Bonham For For Management 1.2 Elect Director E. Gail de Planque For For Management 1.3 Elect Director William M. Griffin For For Management 1.4 Elect Director Kerney Laday For For Management 1.5 Elect Director Jack E. Little For For Management 1.6 Elect Director Erle Nye For For Management 1.7 Elect Director J.E. Oesterreicher For For Management 1.8 Elect Director Michael W. Ranger For For Management 1.9 Elect Director Herbert H. Richardson For For Management 1.10 Elect Director C. John Wilder For For Management 2 Approve Omnibus Stock Plan For For Management 3 Ratify Auditors For For Management -------------------------------------------------------------------------------- VERIZON COMMUNICATIONS Ticker: VZ Security ID: 92343V104 Meeting Date: MAY 5, 2005 Meeting Type: Annual Record Date: MAR 7, 2005 # Proposal Mgt Rec Vote Cast Sponsor 1.1 Elect Director James R. Barker For For Management 1.2 Elect Director Richard L. Carrion For For Management 1.3 Elect Director Robert W. Lane For For Management 1.4 Elect Director Sandra O. Moose For For Management 1.5 Elect Director Joseph Neubauer For Withhold Management 1.6 Elect Director Thomas H. O' Brien For For Management 1.7 Elect Director Hugh B. Price For For Management 1.8 Elect Director Ivan G. Seidenberg For For Management 1.9 Elect Director Walter V. Shipley For For Management 1.10 Elect Director John R. Stafford For For Management 1.11 Elect Director Robert D. Storey For For Management 2 Ratify Auditors For For Management 3 Provide for Cumulative Voting Against For Shareholder 4 Require a Majority Vote for the Election Against For Shareholder of Directors 5 Require Majority of Independent Directors Against Against Shareholder on Board 6 Separate Chairman and CEO Positions Against For Shareholder 7 Amend Director/Officer Against Against Shareholder Liability/Indemnifications Provisions 8 Report on Political Contributions Against Against Shareholder ========== END NPX REPORT Page 7
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SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) Castle Convertible Fund, Inc. ------------------------------------------------------------------- By (Signature and Title)* /s/ Daniel C. Chung ------------------------------------------------------- Daniel C. Chung, Principal Executive Officer Date August 22, 2005 --------------------------------------------------------------------------- * Print the name and title of each signing officer under his or her signature.

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘N-PX’ Filing    Date First  Last      Other Filings
3/31/061N-Q
Filed on / Effective on:8/24/05
8/22/059
For Period End:6/30/05
5/25/055
5/23/058
5/20/0548
5/17/0546
5/13/054
5/5/0538
5/3/052
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Filing Submission 0000930413-05-006063   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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