FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF
REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number811-21494
Nuveen Floating Rate Income Fund
(Exact name of registrant as specified in charter)
333 West Wacker Drive, Chicago, Illinois 60606
(Address of principal executive offices) (Zip Code)
Cedric H. Antosiewicz – Chief Administrative Officer
(Name and address of agent for service)
Registrant’s telephone number, including area code:312-917-7700
Date of fiscal year-end:July 31
Date of reporting period:June 30, 2019
Item 1. Proxy Voting Record
FORM N-PX
ICA File Number: 811-21494
Registrant Name: Nuveen Floating Rate Income Fund
Reporting Period: 07/01/2018 - 06/30/2019
Nuveen Floating Rate Income Fund
| ADVANZ PHARMA CORP. Meeting Date: JUN 17, 2019 Record Date: MAY 10, 2019 Meeting Type: ANNUAL | ||||
| Ticker: ADVZ Security ID: 00775M104 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1a | Elect Director Randall Benson | Management | For | For |
| 1b | Elect Director Frances Cloud | Management | For | For |
| 1c | Elect Director Maurice Chagnaud | Management | For | For |
| 1d | Elect Director Graeme Duncan | Management | For | For |
| 1e | Elect Director Barry Fishman | Management | For | For |
| 2 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | Management | For | For |
| AVAYA HOLDINGS CORP. Meeting Date: MAY 15, 2019 Record Date: MAR 20, 2019 Meeting Type: ANNUAL | ||||
| Ticker: AVYA Security ID: 05351X101 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director William D. Watkins | Management | For | For |
| 1.2 | Elect Director James M. Chirico, Jr. | Management | For | For |
| 1.3 | Elect Director Stephan Scholl | Management | For | For |
| 1.4 | Elect Director Susan L. Spradley | Management | For | For |
| 1.5 | Elect Director Stanley J. Sutula, III | Management | For | For |
| 1.6 | Elect Director Scott D. Vogel | Management | For | For |
| 1.7 | Elect Director Jacqueline E. Yeaney | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | Against |
| 3 | Advisory Vote on Say on Pay Frequency | Management | One Year | One Year |
| 4 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| BLACKROCK LIQUIDITY FUNDS Meeting Date: NOV 21, 2018 Record Date: SEP 24, 2018 Meeting Type: SPECIAL | ||||
| Ticker: Security ID: 09248U718 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1a.1 | Elect Director Bruce R. Bond | Management | For | For |
| 1a.2 | Elect Director Susan J. Carter | Management | For | For |
| 1a.3 | Elect Director Collette Chilton | Management | For | For |
| 1a.4 | Elect Director Neil A. Cotty | Management | For | For |
| 1a.5 | Elect Director Robert Fairbairn | Management | For | For |
| 1a.6 | Elect Director Lena G. Goldberg | Management | For | For |
| 1a.7 | Elect Director Robert M. Hernandez | Management | For | For |
| 1a.8 | Elect Director Henry R. Keizer | Management | For | For |
| 1a.9 | Elect Director Cynthia A. Montgomery | Management | For | For |
| 1a.10 | Elect Director Donald C. Opatrny | Management | For | For |
| 1a.11 | Elect Director John M. Perlowski | Management | For | For |
| 1a.12 | Elect Director Joseph P. Platt | Management | For | For |
| 1a.13 | Elect Director Mark Stalnecker | Management | For | For |
| 1a.14 | Elect Director Kenneth L. Urish | Management | For | For |
| 1a.15 | Elect Director Claire A. Walton | Management | For | For |
| C&J ENERGY SERVICES, INC. Meeting Date: MAY 31, 2019 Record Date: APR 02, 2019 Meeting Type: ANNUAL | ||||
| Ticker: CJ Security ID: 12674R100 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director John Kennedy | Management | For | Withhold |
| 1.2 | Elect Director Michael Roemer | Management | For | Withhold |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify KPMG LLP as Auditor | Management | For | For |
| CONCORDIA INTERNATIONAL CORP. Meeting Date: NOV 29, 2018 Record Date: OCT 30, 2018 Meeting Type: SPECIAL | ||||
| Ticker: CXR Security ID: 20653P409 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1 | Change Company Name to Advanz Pharma Corp. | Management | For | For |
| CUMULUS MEDIA INC. Meeting Date: APR 30, 2019 Record Date: MAR 15, 2019 Meeting Type: ANNUAL | ||||
| Ticker: CMLS Security ID: 231082801 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director Mary G. Berner | Management | For | For |
| 1.2 | Elect Director David M. Baum | Management | For | For |
| 1.3 | Elect Director Matthew C. Blank | Management | For | For |
| 1.4 | Elect Director Thomas H. Castro | Management | For | For |
| 1.5 | Elect Director Joan Hogan Gillman | Management | For | For |
| 1.6 | Elect Director Andrew W. Hobson | Management | For | For |
| 1.7 | Elect Director Brian G. Kushner | Management | For | For |
| 2 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 3 | Ratify PricewaterhouseCoopers LLP as Auditors | Management | For | For |
| EATON VANCE FLOATING-RATE INCOME TRUST Meeting Date: MAR 21, 2019 Record Date: JAN 08, 2019 Meeting Type: ANNUAL | ||||
| Ticker: EFT Security ID: 278279104 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1a | Elect Director Mark R. Fetting | Management | For | For |
| 1b | Elect Director Helen Frame Peters | Management | For | For |
| 1c | Elect Director Marcus L. Smith | Management | For | For |
| EATON VANCE SENIOR INCOME TRUST Meeting Date: OCT 18, 2018 Record Date: AUG 07, 2018 Meeting Type: ANNUAL | ||||
| Ticker: EVF Security ID: 27826S103 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1a | Elect Director Mark R. Fetting | Management | For | For |
| 1b | Elect Director Helen Frame Peters | Management | For | For |
| 1c | Elect Director Scott E. Wennerholm | Management | For | For |
| GYMBOREE HOLDING CORP. Meeting Date: SEP 07, 2018 Record Date: JUL 20, 2018 Meeting Type: ANNUAL | ||||
| Ticker: GMBE Security ID: 403777303 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director Daniel Griesemer | Management | For | Withhold |
| 1.2 | Elect Director Brian Hickey | Management | For | Withhold |
| GYMBOREE HOLDING CORP. Meeting Date: SEP 07, 2018 Record Date: JUL 20, 2018 Meeting Type: ANNUAL | ||||
| Ticker: GMBE Security ID: 403777402 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1.1 | Elect Director Daniel Griesemer | Management | For | Withhold |
| 1.2 | Elect Director Brian Hickey | Management | For | Withhold |
| OCEAN RIG UDW, INC. Meeting Date: NOV 29, 2018 Record Date: OCT 16, 2018 Meeting Type: SPECIAL | ||||
| Ticker: ORIG Security ID: G66964118 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1 | Approve Merger Agreement | Management | For | For |
| 2 | Adjourn Meeting | Management | For | For |
| 1a | Approve Drag-Along Sellers | Management | For | For |
| TRANSOCEAN LTD. Meeting Date: MAY 09, 2019 Record Date: APR 22, 2019 Meeting Type: ANNUAL | ||||
| Ticker: RIG Security ID: H8817H100 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1 | Accept Financial Statements and Statutory Reports | Management | For | For |
| 2 | Approve Discharge of Board and Senior Management | Management | For | For |
| 3 | Appropriation of Available Earnings for Fiscal Year 2018 | Management | For | For |
| 4A | Elect Director Glyn A. Barker | Management | For | For |
| 4B | Elect Director Vanessa C.L. Chang | Management | For | For |
| 4C | Elect Director Frederico F. Curado | Management | For | For |
| 4D | Elect Director Chadwick C. Deaton | Management | For | For |
| 4E | Elect Director Vincent J. Intrieri | Management | For | For |
| 4F | Elect Director Samuel J. Merksamer | Management | For | For |
| 4G | Elect Director Frederik W. Mohn | Management | For | For |
| 4H | Elect Director Edward R. Muller | Management | For | For |
| 4I | Elect Director Tan Ek Kia | Management | For | For |
| 4J | Elect Director Jeremy D. Thigpen | Management | For | For |
| 5 | Elect Chadwick C. Deaton as Board Chairman | Management | For | For |
| 6A | Appoint Frederico F. Curado as Member of the Compensation Committee | Management | For | For |
| 6B | Appoint Vincent J. Intrieri as Member of the Compensation Committee | Management | For | For |
| 6C | Appoint Tan Ek Kia as Member of the Compensation Committee | Management | For | For |
| 7 | Designate Schweiger Advokatur / Notariat as Independent Proxy | Management | For | For |
| 8 | Appointment Of Ernst & Young LLP as Independent Registered Public Accounting Firm for Fiscal Year 2019 and Reelection of Ernst & Young Ltd, Zurich as the Company's Auditor for a Further One-Year Term | Management | For | For |
| 9 | Advisory Vote to Ratify Named Executive Officers' Compensation | Management | For | For |
| 10A | Approve Maximum Remuneration of Board of Directors for the Period Between the 2019 and 2020 Annual General Meetings in the Amount of USD 4.12 Million | Management | For | For |
| 10B | Approve Maximum Remuneration of the Executive Management Team for Fiscal Year 2020 in the Amount of USD 24 Million | Management | For | For |
| 11 | Other Business | Management | For | Against |
| VANTAGE DRILLING INTERNATIONAL Meeting Date: AUG 07, 2018 Record Date: JUL 09, 2018 Meeting Type: ANNUAL | ||||
| Ticker: VTGGF Security ID: G9325C113 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1A | Elect Director Thomas R. Bates, Jr. | Management | For | For |
| 1B | Elect Director Matthew W. Bonanno | Management | For | Against |
| 1C | Elect Director Paul A. Gordon | Management | For | For |
| 1D | Elect Director Nils E. Larsen | Management | For | For |
| 1E | Elect Director Scott McCarty | Management | For | Against |
| 1F | Elect Director Ihab M. Toma | Management | For | For |
| 1G | Elect Director L. Spencer Wells | Management | For | For |
| VANTAGE DRILLING INTERNATIONAL Meeting Date: NOV 12, 2018 Record Date: OCT 31, 2018 Meeting Type: SPECIAL | ||||
| Ticker: VTGGF Security ID: G9325C113 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1 | Shareholders Resolve and Consent to the Incurrence by the Company of New Indebtedness | Management | For | Against |
| VANTAGE DRILLING INTERNATIONAL Meeting Date: MAR 04, 2019 Record Date: FEB 19, 2019 Meeting Type: SPECIAL | ||||
| Ticker: VTGGF Security ID: G9325C113 | ||||
| Proposal No | Proposal | Proposed By | Management Recommendation | Vote Cast |
| 1 | Amend Article 25.1 of the Third Amended and Restated Memorandum and Articles of Association | Management | For | For |
| 2 | Amend Articles | Management | For | For |
| 3 | Amend Section 2.1(b) of the Shareholders Agreement | Management | For | For |
END NPX REPORT
SIGNATURES:
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
Nuveen Floating Rate Income Fund
| By | /s/ Cedric H. Antosiewicz | |
| Cedric H. Antosiewicz – Chief Administrative Officer | ||
| Date | ||
August 19, 2019