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, 2011-June 30, 2012
Item 1 – Proxy Voting Record.
HIGH-YIELD BOND FUND
Fund Name | Company | Ticker | CUSIP | Meeting Date | A brief identification of the matter voted on | Proposed by Issuer or Security Holder | Voted | Vote Cast | With or Against Management | |||||||||||
HIGH-YIELD BOND FUND | Archer-Daniels-Midland Company | ADM | ID: 039483102 | 11/3/2011 | To elect Directors to hold office until the next Annual Meeting of Stockholders and until their successors are duly elected and qualified: A) G.W Buckley B) M.H. Carter C) T. Crews D) P. Dufour E) D.E. Felsinger F) A.Maciel G) P.J. Moore H) T.F. O’Neil I) K.R. Westbrook J) P.A. Woertz | Issuer | Abstain | Abstain | Against | |||||||||||
HIGH-YIELD BOND FUND | Archer-Daniels-Midland Company | ADM | ID: 039483102 | 11/3/2011 | To ratify the appointment by the Board of Directors of Ernst & Young LLP as independent auditors to audit the accounts of the Company for the fiscal year ending June 30, 2012 | Issuer | Yes | For | With | |||||||||||
HIGH-YIELD BOND FUND | Archer-Daniels-Midland Company | ADM | ID: 039483102 | 11/3/2011 | To consider an advisory vote on the compensation of our named executive officers | Issuer | Yes | For | With | |||||||||||
HIGH-YIELD BOND FUND | Archer-Daniels-Midland Company | ADM | ID: 039483102 | 11/3/2011 | To consider an advisory vote on the frequency of the advisory vote on the compensation of our named executive officers | Issuer | Yes | 1 Year | With | |||||||||||
HIGH-YIELD BOND FUND | Archer-Daniels-Midland Company | ADM | ID: 039483102 | 11/3/2011 | Stockholder’s Proposal regarding political contributions | Issuer | Abstain | Abstain | Against | |||||||||||
HIGH-YIELD BOND FUND | Archer-Daniels-Midland Company | ADM | ID: 039483102 | 11/3/2011 | Stockholder’s proposal regarding report on political contributions | Issuer | Abstain | Abstain | Against | |||||||||||
HIGH-YIELD BOND FUND | Archer-Daniels-Midland Company | ADM | ID: 039483102 | 11/3/2011 | Stockholder’s proposal regarding sustainable palm oil | Issuer | Abstain | Abstain | Against | |||||||||||
HIGH-YIELD BOND FUND | Charter Communications, Inc. | CHTR | ID: 16117M305 | 5/1/2012 | To elect eleven Class A directors, nominated by our board of directors and named in this proxy statement 1) W. Lance Conn 2) Darren Glatt 3) Craig A. Jacobson 4) Bruce A. Karsh 5) Edgar Lee 6) Jeffrey A. Marcus 7) John D. Markley, Jr 8) David C. Merritt 9) Stan Parker 10) Thomas M. Rutledge | Issuer | Yes | For | With | |||||||||||
HIGH-YIELD BOND FUND | Charter Communications, Inc. | CHTR | ID: 16117M305 | 5/1/2012 | To ratify the appointment of KPMG LLP as the Company’s independent registered public accounting firm for the year ended December 31, 2012. | Issuer | Yes | For | With |
EMERGING MARKETS DEBT FUND
Fund Name | Company | Ticker | CUSIP | Meeting Date | A brief identification of the matter voted on | Proposed by Issuer or Security Holder | Voted | Vote Cast | With or Against Management | |||||||||||
EMERGING MARKET DEBT FUND | Hipotecaria Su Casita, S.A. De C.V. | N/A | N/A | 8/23/2011 | Designation of the members of the Board of Directors and Statutory Auditors, prior to the qualification of independence of the members to be designated as Independent Members; and designation of the Chairman of the Board of Directors. | N/A | N/A | N/A | N/A | |||||||||||
EMERGING MARKET DEBT FUND | Hipotecaria Su Casita, S.A. De C.V. | N/A | N/A | 8/23/2011 | Determination of the compensation, and the indemnity to be granted to the members of the Board of Directors of the Company. | N/A | N/A | N/A | N/A | |||||||||||
EMERGING MARKET DEBT FUND | Hipotecaria Su Casita, S.A. De C.V. | N/A | N/A | 8/23/2011 | Appointment of delegates to formalize the resolutions unanimously adopted by the Shareholders Meeting. | N/A | N/A | N/A | N/A |
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 30, 2012 |