UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number: 811-22037
Stone Harbor Investment Funds
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100
Denver, CO 80203
(Address of principal executive offices) (Zip code)
Adam J. Shapiro, Esq.
c/o Stone Harbor Investment Partners LP
31 West 52nd Street, 16th Floor
New York, NY 10019
(Name and address of agent for service)
With copies To:
John M. Loder, Esq.
Ropes & Gray LLP
One International Place
Boston, MA 02110-2624
Registrant’s telephone number, including area code: (303) 623-2577
Date of fiscal year end: May 31
Date of reporting period: July 1, 2010-June 30, 2011
Item 1 – Proxy Voting Record.
HIGH-YIELD BOND FUND
Company | Ticker | CUSIP | Meeting Date | A Brief Identification of the Matter Voted Upon | Proposed by Issuer or Security Holder | Voted | Vote Cast | With or Against Management | ||||||||
CHARTER COMMUNICATIONS, INC. | CHTR | ID: 16117M305 | 4/26/2011 | Directors: 1) Robert Cohn 2) W. Lance Conn 3) Darren Glatt 4) Craig A. Jacobson 5) Bruce A. Karsh 6) Edgar Lee 7) Michael J. Lovett 8) John D. Markley, Jr. 9) David C. Merritt 10) Stan Parker 11) Eric L. Zinterhofer | Issuer | Yes | For | With | ||||||||
CHARTER COMMUNICATIONS, INC. | CHTR | ID: 16117M305 | 4/26/2011 | To approve the company’s executive bonus plan | Issuer | Abstain | Abstain | Against | ||||||||
CHARTER COMMUNICATIONS, INC. | CHTR | ID: 16117M305 | 4/26/2011 | To approve the company’s executive incentive performance plan | Issuer | Abstain | Abstain | Against | ||||||||
CHARTER COMMUNICATIONS, INC. | CHTR | ID: 16117M305 | 4/26/2011 | An advisory vote on executive compensation | Issuer | Abstain | Abstain | Against | ||||||||
CHARTER COMMUNICATIONS, INC. | CHTR | ID: 16117M305 | 4/26/2011 | An advisory vote on the frequency of holding an advisory vote on executive compensation | Issuer | Yes | 1 Year | Against | ||||||||
CHARTER COMMUNICATIONS, INC. | CHTR | ID: 16117M305 | 4/26/2011 | To ratify the appointment of KPMG LLP as the company’s independent registered public accounting firm for the year ended December 31, 2011. | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | ELECTION OF DIRECTOR: JONATHAN B. BULKELEY | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | ELECTION OF DIRECTOR: EUGENE I. DAVIS | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | ELECTION OF DIRECTOR: RICHARD L. KUERSTEINER | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | ELECTION OF DIRECTOR: W. KIRK LIDDELL | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | ELECTION OF DIRECTOR: MARK A. MCEACHEN | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | ELECTION OF DIRECTOR: ALFRED T. MOCKETT | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | ELECTION OF DIRECTOR: ALAN F. SCHULTZ | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | PROPOSAL TO APPROVE BY NON-BINDING VOTE EXECUTIVE COMPENSATION | Issuer | Yes | For | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | PROPOSAL TO RECOMMEND BY NON-BINDING VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES | Issuer | Yes | 1 Year | With | ||||||||
DEX ONE CORP | DEXO | ID: 25212W100 | 5/3/2011 | TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011 | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | ELECTION OF CLASS I DIRECTOR: JAGJEET S. BINDRA | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | RE-ELECTION OF DIRECTOR: MILTON CARROLL | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | RE-ELECTION OF DIRECTOR: RUDY VAN DER MEER | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | ELECTION OF CLASS II DIRECTOR: ROBIN BUCHANAN | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | ELECTION OF CLASS III DIRECTOR: JACQUES AIGRAIN | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | ADOPTION OF ANNUAL ACCOUNTS FOR 2010 | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | DISCHARGE FROM LIABILITY OF SOLE MEMBER OF THE MANAGEMENT BOARD | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | DISCHARGE FROM LIABILITY OF MEMBERS OF THE SUPERVISORY BOARD | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | APPROVAL OF COMPENSATION OF THE MEMBERS OF THE SUPERVISORY BOARD | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | AMENDMENT TO ARTICLES OF ASSOCIATION | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | APPROVAL OF PROPOSED DIVIDEND IN RESPECT OF THE 2010 FISCAL YEAR | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | ADVISORY (NON-BINDING) VOTE APPROVING EXECUTIVE COMPENSATION | Issuer | Yes | For | With | ||||||||
LyondellBasell Industries NV | LYB | ID: N53745100 | 5/5/2011 | ADVISORY (NON-BINDING) VOTE ON FREQUENCY OF ADVISORY VOTE APPROVING EXECUTIVE COMPENSATION | Issuer | Yes | 1 Year | With | ||||||||
Company | Ticker | CUSIP | Meeting Date | A Brief Identification of the Matter Voted Upon | Proposed by Issuer or Security Holder | Voted | Vote Cast | With or Against Management | ||||||||
SUPERMEDIA INC | SPMD | ID: 868447103 | 5/11/2011 | Directors: EDWARD J. BAYONE ROBERT C. BLATTBERG CHARLES B. CARDEN ROBIN DOMENICONI THOMAS D. GARDNER DAVID E. HAWTHORNE PETER J. MCDONALD THOMAS S. ROGERS JOHN SLATER DOUGLAS D. WHEAT | Issuer | Yes | For | With | ||||||||
SUPERMEDIA INC | SPMD | ID: 868447103 | 5/11/2011 | ADVISORY VOTE APPROVING SUPERMEDIA’S EXECUTIVE COMPENSATION. | Issuer | Yes | For | With | ||||||||
SUPERMEDIA INC | SPMD | ID: 868447103 | 5/11/2011 | ADVISORY VOTE ON THE FREQUENCY OF EXECUTIVE COMPENSATION VOTE | Issuer | Yes | 1 Year | With | ||||||||
SUPERMEDIA INC | SPMD | ID: 868447103 | 5/11/2011 | RATIFICATION OF ERNST & YOUNG LLP AS SUPERMEDIA’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2011. | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: JUAN CARLOS BRANIFF | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: DAVID W. CRANE | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: DOUGLAS L. FOSHEE | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: ROBERT W. GOLDMAN | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: ANTHONY W. HALL, JR. | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: THOMAS R. HIX | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: FERRELL P. MCCLEAN | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: TIMOTHY J. PROBERT | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: STEVEN J. SHAPIRO | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: J. MICHAEL TALBERT | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: ROBERT F. VAGT | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ELECTION OF DIRECTOR: JOHN L. WHITMIRE | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | APPROVAL OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | For | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | ADVISORY VOTE ON THE FREQUENCY OF THE ADVISORY VOTE ON EXECUTIVE COMPENSATION. | Issuer | Yes | 1 Year | With | ||||||||
EL PASO CORP | EP | ID: 28336L109 | 5/17/2011 | RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Issuer | Yes | For | With |
EMERGING MARKETS DEBT FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
LOCAL MARKETS FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
EMERGING MARKETS CORPORATE DEBT FUND
There were no matters relating to a portfolio security considered at any shareholder meeting held during the period covered by this report on Form N-PX with respect to which the Fund was entitled to vote.
SIGNATURE
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.
Stone Harbor Investment Funds | ||
By: | /s/ Peter J. Wilby | |
Peter J. Wilby | ||
President/Principal Executive Officer | ||
Date: | August 18, 2011 |