UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-21934
RiverNorth Funds
(Exact name of registrant as specified in charter)
325 N. LaSalle St. Suite 645
Chicago, IL 60654
(Address of principal executive offices) (Zip code)
Paul F. Leone
ALPS Fund Services, Inc.
1290 Broadway, Suite 1100
Denver, CO 80203
(Name and address of agent for service)
Copies to:
Marc L. Collins
Thompson Hine LLP
312 Walnut Street, 14th Floor
Cincinnati, Ohio 45202
Registrant’s telephone number, including area code: (312) 832-1440
Date of fiscal year end: September 30
Date of reporting period: July 1, 2010 – June 30, 2011
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 (Sections 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 notes.
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. Section 3507.
FORM N-PX
Annual Report of Proxy Voting Record of Registered Management Investment Company
Quarterly Report of Proxy Voting Record
Fund/Fund Family Name: RiverNorth Funds
Date of Fiscal Year End: 09/30
Date of Reporting Period: July 1, 2010 to June 30, 2011
RiverNorth Core Opportunity Fund
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Company Name | | Ticker | | CUSIP | | Meeting Date | | Record Date | | Prop # | | Proposal | | Vote | | Mngmt Recom. | | Vs. Mngmt | | Notes |
Legg Mason Inc | | LM | | 524901105 | | 7/27/2010 | | 5/28/2010 | | 1 | | ELECTION OF DIRECTORS | | For | | For | | With | | |
Legg Mason Inc | | LM | | 524901105 | | 7/27/2010 | | 5/28/2010 | | 2 | | AMENDMENT TO THE LEGG MASON, INC. EXECUTIVE INCENTIVE COMPENSATION PLAN. | | Against | | For | | Against | | |
Legg Mason Inc | | LM | | 524901105 | | 7/27/2010 | | 5/28/2010 | | 3 | | RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | | Against | | For | | Against | | |
Legg Mason Inc | | LM | | 524901105 | | 7/27/2010 | | 5/28/2010 | | 4 | | STOCKHOLDER PROPOSAL REGARDING THE EXECUTIVE INCENTIVE COMPENSATION PLAN. | | For | | Against | | Against | | |
Legg Mason Inc | | LM | | 524901105 | | 7/27/2010 | | 5/28/2010 | | 5 | | STOCKHOLDER PROPOSAL REGARDING INDEPENDENT CHAIRMAN. | | For | | Against | | Against | | |
Van Kampen Senior Income Trust | | VVR | | 920961109 | | 7/19/2010 | | 5/28/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Van Kampen Dynamic Credit Opportunities | | VTA | | 921166104 | | 7/19/2010 | | 5/28/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
NFJ Dividend Interest & Premium Strtgy Fd | | NFJ | | 65337H109 | | 7/21/2010 | | 5/12/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Blackrock Credit Allocation Trust IV | | BTZ | | 092508100 | | 9/2/2010 | | 7/6/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
NASDAQ Premium Income & Growth Fund | | QQQX | | 63110R105 | | 9/8/2010 | | 7/19/2010 | | 1 | | TO APPROVE A NEW INVESTMENT MANAGEMENT AGREEMENT BETWEEN THE FUND AND NUVEEN ASSET MANAGEMENT. | | Split | | For | | With/Against | | Mirror Vote |
NASDAQ Premium Income & Growth Fund | | QQQX | | 63110R105 | | 9/8/2010 | | 7/19/2010 | | 2 | | TO APPROVE A NEW INVESTMENT SUBADVISORY AGREEMENT BETWEEN NUVEEN ASSET MANAGEMENT AND THE FUND’S CURRENT SUBADVISER. | | Split | | For | | With/Against | | Mirror Vote |
NASDAQ Premium Income & Growth Fund | | QQQX | | 63110R105 | | 9/8/2010 | | 7/19/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
TCW Strategic Income Fund | | TSI | | 872340104 | | 9/14/2010 | | 7/30/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Royce Value Trust | | RVT | | 780910105 | | 9/22/2010 | | 7/14/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Franklin Templeton Ltd Drtn Income | | FTF | | 35472T101 | | 9/23/2010 | | 7/21/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Royce Value Trust | | RVT | | 780910105 | | 9/22/2010 | | 7/14/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
WA Global Corp Defined Opportunity Fund | | GDO | | 95790C107 | | 11/12/2010 | | 9/13/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Nuveen Floating Rate Income Fund | | JFR | | 67072T108 | | 11/16/2010 | | 9/17/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
FT/Four Crnrs Sr Fltg Rate Incm Fd II | | FCT | | 33733U108 | | 12/6/2010 | | 9/30/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
FT/Four Crnrs Sr Fltg Rate Incm Fd II | | FCT | | 33733U108 | | 12/6/2010 | | 9/30/2010 | | 1 | | PROPOSAL TO APPROVE A NEW INVESTMENT MANAGEMENT AGREEMENT BETWEEN THE FUND AND FIRST TRUST ADVISORS L.P. | | Split | | For | | With/Against | | Mirror Vote |
Templeton Emerging Mkts | | EMF | | 880191101 | | 2/25/2011 | | 12/17/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Templeton Emerging Mkts | | EMF | | 880191101 | | 2/25/2011 | | 12/17/2010 | | 2 | | RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM OF THE FUND FOR THE FISCAL YEAR ENDING AUGUST 31, 2011. | | Split | | For | | With/Against | | Mirror Vote |
China Fund Inc | | CHN | | 169373107 | | 3/3/2011 | | 12/31/2010 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Western Asset Glb Corp Def Opp | | GDO | | 95790C107 | | 2/28/2011 | | 1/4/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
General American Investors | | GAM | | 368802104 | | 4/13/2011 | | 2/15/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
General American Investors | | GAM | | 368802104 | | 4/13/2011 | | 2/15/2011 | | 2 | | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS. | | Split | | For | | With/Against | | Mirror Vote |
EV Risk-Mgd Divers Equity Inc | | ETJ | | 27829G106 | | 4/22/2011 | | 2/10/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
EV Tax- Managed Buy- Write Opps | | ETV | | 27828Y108 | | 4/22/2011 | | 2/10/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
EV Tax- Managed Glb B-W Opps | | ETW | | 27829C105 | | 4/22/2011 | | 2/10/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
AllianceBernstein Income Fund | | ACG | | 01881E101 | | 3/30/2011 | | 2/14/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
PIMCO Income Opportunity | | PKO | | 72202B100 | | 4/14/2011 | | 2/18/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Liberty All-Star Equity | | USA | | 530158104 | | 4/14/2011 | | 2/11/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Tri-Continental Corporation | | TY | | 895436103 | | 4/14/2011 | | 2/16/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Tri-Continental Corporation | | TY | | 895436103 | | 4/14/2011 | | 2/16/2011 | | 2 | | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | | Split | | For | | With/Against | | Mirror Vote |
Tri-Continental Corporation | | TY | | 895436103 | | 4/14/2011 | | 2/16/2011 | | 3 | | TO APPROVE THE CHANGE TO THE CORPORATION’S FUNDAMENTAL INVESTMENT POLICY REGARDING SECURITIES LENDING. | | Split | | For | | With/Against | | Mirror Vote |
General American Investors | | GAM | | 368802104 | | 4/13/2011 | | 2/15/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | �� | Mirror Vote |
General American Investors | | GAM | | 368802104 | | 4/13/2011 | | 2/15/2011 | | 2 | | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS. | | Split | | For | | With/Against | | Mirror Vote |
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PIMCO Income Opportunity | | PKO | | 72202B100 | | 4/14/2011 | | 2/18/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Artio Global Investors, Inc. | | ART | | 04315B107 | | 5/6/2011 | | 3/14/2011 | | 1 | | ELECTION OF DIRECTORS | | For | | For | | With | | |
Artio Global Investors, Inc. | | ART | | 04315B107 | | 5/6/2011 | | 3/14/2011 | | 2 | | APPROVAL OF THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS, AS DISCLOSED PURSUANT TO ITEM 402 OF REGULATION S-K, INCLUDING THE COMPENSATION DISCUSSION AND ANALYSIS, THE COMPENSATION TABLES, AND THE RELATED DISCLOSURE CONTAINED IN THE 2011 PROXY STATEMENT. | | For | | For | | With | | |
Artio Global Investors, Inc. | | ART | | 04315B107 | | 5/6/2011 | | 3/14/2011 | | 3 | | FREQUENCY OF CONDUCTING AN ADVISORY VOTE ON EXECUTIVE COMPENSATION. | | 1 Year | | 1 Year | | With | | |
Artio Global Investors, Inc. | | ART | | 04315B107 | | 5/6/2011 | | 3/14/2011 | | 4 | | THE RATIFICATION OF KPMG LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | | For | | For | | With | | |
Zweig Total Return | | ZTR | | 989837109 | | 5/10/2011 | | 3/16/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Boulder Growth & Income | | BIF | | 101507101 | | 5/2/2011 | | 3/25/2011 | | 3 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Boulder Growth & Income | | BIF | | 101507101 | | 5/2/2011 | | 3/25/2011 | | 1 | | TO APPROVE AMENDMENTS TO THE FUND’S CHARTER THAT WOULD PERMIT THE FUND’S DIRECTORS THAT ARE ELECTED BY HOLDERS OF THE FUND’S PREFERRED STOCK, AT SUCH TIME THAT THE FUND’S PREFERRED STOCK IS NO LONGER OUTSTANDING, TO CONTINUE TO SERVE AS DIRECTORS OF THE FUND FOR THE REMAINDER OF HIS OR HER TERM OR UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED AND QUALIFIED. | | Split | | For | | With/Against | | Mirror Vote |
Boulder Growth & Income | | BIF | | 101507101 | | 5/2/2011 | | 3/25/2011 | | 2 | | TO APPROVE THE REMOVAL OF THE FUND’S FUNDAMENTAL INVESTMENT POLICY REQUIRING THE FUND TO INVEST AT LEAST 25% OF ITS TOTAL ASSETS IN REAL ESTATE RELATED COMPANIES. | | Split | | For | | With/Against | | Mirror Vote |
LMP Capital & Income | | SCD | | 50208A102 | | 4/29/2011 | | 3/1/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Boulder Total Return | | BTF | | 101541100 | | 5/2/2011 | | 3/25/2011 | | 3 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Boulder Total Return | | BTF | | 101541100 | | 5/2/2011 | | 3/25/2011 | | 1 | | TO APPROVE AMENDMENTS TO THE FUND’S CHARTER THAT WOULD PERMIT THE FUND’S DIRECTORS THAT ARE ELECTED BY HOLDERS OF THE FUND’S PREFERRED STOCK, AT SUCH TIME THAT THE FUND’S PREFERRED STOCK IS NO LONGER OUTSTANDING, TO CONTINUE TO SERVE AS DIRECTORS OF THE FUND FOR THE REMAINDER OF HIS OR HER TERM OR UNTIL HIS OR HER SUCCESSOR IS DULY ELECTED AND QUALIFIED. | | Split | | For | | With/Against | | Mirror Vote |
Boulder Total Return | | BTF | | 101541100 | | 5/2/2011 | | 3/25/2011 | | 2 | | TO APPROVE THE REMOVAL OF THE FUND’S FUNDAMENTAL INVESTMENT POLICY REQUIRING THE FUND TO INVEST AT LEAST 25% OF ITS TOTAL ASSETS IN REAL ESTATE RELATED COMPANIES. | | Split | | For | | With/Against | | Mirror Vote |
Nuveen Multi-Strategy Inc&Gro | | JPC | | 67073B106 | | 5/6/2011 | | 3/9/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Nuveen Multi-Strategy Inc&Gro2 | | JQC | | 67073D102 | | 5/6/2011 | | 3/9/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Cohen & Steers Infrastructure | | UTF | | 19248A109 | | 4/28/2011 | | 2/23/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
H&Q Life Sciences Investors | | HQL | | 404053100 | | 5/2/2011 | | 3/25/2011 | | 1 | | TO APPROVE AND ADOPT THE AMENDMENT TO THE DECLARATION OF TRUST AS DISCUSSED IN THE ATTACHED PROXY STATEMENT. | | Split | | For | | With/Against | | Mirror Vote |
Apollo Commercial Real Estate | | ARI | | 03762U105 | | 5/4/2011 | | 3/18/2011 | | 1 | | ELECTION OF DIRECTORS | | For | | For | | With | | |
Apollo Commercial Real Estate | | ARI | | 03762U105 | | 5/4/2011 | | 3/18/2011 | | 2 | | RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2011. | | For | | For | | With | | |
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Apollo Commercial Real Estate | | ARI | | 03762U105 | | 5/4/2011 | | 3/18/2011 | | 3 | | APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE 2011 PROXY STATEMENT. | | For | | For | | With | | |
Apollo Commercial Real Estate | | ARI | | 03762U105 | | 5/4/2011 | | 3/18/2011 | | 4 | | APPROVAL, ON AN ADVISORY BASIS, OF THE FREQUENCY OF FUTURE STOCKHOLDER ADVISORY VOTES ON THE COMPENSATION OF APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S NAMED EXECUTIVE OFFICERS. | | 3 Year | | 3 Year | | With | | |
Affliliated Managers Group, Inc. | | AMG | | 008252108 | | 5/31/2011 | | 4/12/2011 | | 1 | | ELECTION OF DIRECTORS | | For | | For | | With | | |
Affliliated Managers Group, Inc. | | AMG | | 008252108 | | 5/31/2011 | | 4/12/2011 | | 2 | | TO APPROVE THE 2011 STOCK OPTION AND INCENTIVE PLAN. | | For | | For | | With | | |
Affliliated Managers Group, Inc. | | AMG | | 008252108 | | 5/31/2011 | | 4/12/2011 | | 3 | | TO APPROVE, BY ADVISORY VOTE, THE COMPENSATION PAID TO THE COMPANY’S NAMED EXECUTIVE OFFICERS, AS DISCLOSED IN THE COMPANY’S PROXY STATEMENT PURSUANT TO ITEM 402 OF REGULATION S-K, INCLUDING THE COMPENSATION DISCUSSION AND ANALYSIS AND COMPENSATION TABLES. | | For | | For | | With | | |
Affliliated Managers Group, Inc. | | AMG | | 008252108 | | 5/31/2011 | | 4/12/2011 | | 4 | | TO RECOMMEND, BY ADVISORY VOTE, THE FREQUENCY OF AN ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS. | | For | | For | | With | | |
Affliliated Managers Group, Inc. | | AMG | | 008252108 | | 5/31/2011 | | 4/12/2011 | | 5 | | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT FISCAL YEAR. | | For | | For | | With | | |
SunAmerica Foc Alpha Growth | | FGF | | 867037103 | | 5/19/2011 | | 3/10/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
SunAmerica Foc Alpha Growth | | FGF | | 867037103 | | 5/19/2011 | | 3/10/2011 | | 2B | | SHAREHOLDER PROPOSAL REQUESTING THAT ALL ADVISORY AND MANAGEMENT AGREEMENTS BETWEEN SUNAMERICA FOCUSED ALPHA GROWTH FUND, INC. AND SUNAMERICA ASSET MANAGEMENT CORP. BE TERMINATED AS SOON AS POSSIBLE. | | Split | | Against | | With/Against | | Mirror Vote |
Western/Claymore Infl-Lnk Opps | | WIW | | 95766R104 | | 5/24/2011 | | 4/5/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Gabelli Global Deal Fund Preferred | | GDL,A | | 361570203 | | 5/16/2011 | | 3/21/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
DWS Dreman Value Income Edge | | DHG | | 23339M204 | | 6/3/2011 | | 4/8/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Gabelli Dividend & Income | | GDV | | 36242H104 | | 6/2/2011 | | 3/21/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Gabelli Dividend & Income | | GDV | | 36242H104 | | 6/2/2011 | | 3/21/2011 | | 2 | | SHAREHOLDER PROPOSAL TO ELIMINATE THE FUND’S CLASSIFIED BOARD STRUCTURE. | | Split | | Against | | With/Against | | Mirror Vote |
Central Europe and Russia Fund | | CEE | | 153436100 | | 6/27/2011 | | 5/13/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Central Europe and Russia Fund | | CEE | | 153436100 | | 6/27/2011 | | 5/13/2011 | | 2 | | TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER 31, 2011. | | Split | | For | | With/Against | | Mirror Vote |
Macquarie Glb Infrast TR Fund | | MGU | | 55608D101 | | 6/23/2011 | | 4/29/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
MS Emerging Markets Domestic | | EDD | | 617477104 | | 6/30/2011 | | 5/18/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Invesco VK Dynamic Cred Opps | | VTA | | 46132R104 | | 6/17/2011 | | 5/5/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Calamos Strategic Total Return | | CSQ | | 128125101 | | 6/30/2011 | | 5/6/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Claymore Dividend and Income Fund | | DCS | | 18385J105 | | 9/23/2010 | | 8/23/2010 | | 1 | | ELECTION OF DIRECTORS | | — | | For | | — | | Proxy not received from proxy agent |
LMP Corporate Loan Fund | | TLI | | 50208B100 | | 1/28/2011 | | 12/3/2010 | | 1 | | ELECTION OF DIRECTORS | | — | | For | | — | | Proxy not received from proxy agent |
PIMCO Income Strategy II | | PFN | | 72201J104 | | 12/14/2010 | | 10/21/2010 | | 1 | | ELECTION OF DIRECTORS | | — | | For | | — | | Proxy not received from proxy agent |
Fund/Fund Family Name: RiverNorth Funds
Date of Fiscal Year End: 09/30
Date of Reporting Period: December 30, 2011 (Fund’s Inception) to June 30, 2011
RiverNorth/DoubleLine Strategic Income Fund
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Company Name | | Ticker | | CUSIP | | Meeting Date | | Record Date | | Prop # | | Proposal | | Vote | | Mngmt Recom. | | Vs. Mngmt | | Notes |
General American Investors | | GAM | | 368802104 | | 4/13/2011 | | 2/15/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
General American Investors | | GAM | | 368802104 | | 4/13/2011 | | 2/15/2011 | | 2 | | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS. | | Split | | For | | With/Against | | Mirror Vote |
Tortoise Energy Capital Corp | | TYY,B | | 89147U506 | | 5/20/2011 | | 2/23/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Tortoise Energy Capital Corp | | TYY,B | | 89147U506 | | 5/20/2011 | | 2/23/2011 | | 2 | | APPROVAL FOR THE COMPANY, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE 2011 ANNUAL MEETING OF STOCKHOLDERS. | | Split | | For | | With/Against | | Mirror Vote |
Tortoise Energy Capital Corp | | TYY,B | | 89147U506 | | 5/20/2011 | | 2/23/2011 | | 3 | | RATIFICATION OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM TO AUDIT THE FINANCIAL STATEMENTS OF THE COMPANY FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2011. | | Split | | For | | With/Against | | Mirror Vote |
Gabelli Global Deal Fund Preferred | | GDL,A | | 361570302 | | 5/16/2011 | | 3/21/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
ING Prime Rate Trust | | PPR | | 44977W106 | | 7/6/2011 | | 4/7/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Montgomery Street Income Secs | | MTS | | 614115103 | | 7/14/2011 | | 5/3/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Highland Credit Strategies | | HCF | | 43005Q107 | | 6/3/2011 | | 4/18/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Morgan Stanley Emerging Market Debt | | EDD | | 617477104 | | 6/30/2011 | | 5/18/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Invesco VK Dynamic Cred Opps | | VTA | | 46132R104 | | 6/17/2011 | | 5/5/2011 | | 1 | | ELECTION OF DIRECTORS | | Split | | For | | With/Against | | Mirror Vote |
Alliance Bernstein Income Fund | | ACG | | 01881E101 | | 3/30/2011 | | 2/15/2011 | | 1 | | ELECTION OF DIRECTORS | | — | | For | | — | | Proxy not received from proxy agent |
PIMCO Income Opportunity | | PKO | | 72202B100 | | 4/14/2011 | | 2/18/2011 | | 1 | | ELECTION OF DIRECTORS | | — | | For | | — | | Proxy not received from proxy agent |
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.
RiverNorth Funds
| | |
By * | | /s/ Patrick W. Galley |
| | Patrick W. Galley, President |
Date: August 31, 2011
*Print the name and title of each signing officer under his or her signature.