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:
Michael G. Doherty, Esq.
Ropes & Gray LLP
1211 Avenue of the Americas
New York, NY 10036
Registrant’s telephone number, including area code: (303) 623-2577
Date of fiscal year end: May 31
Date of reporting period: July 1, 2012-June 30, 2013
Item 1. Proxy Voting Record.
STONE HARBOR 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 | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 1. To elect three directors to serve a three-year term. 01) Jacques Aigrain 02) Scott M. Kleinman 03) Bruce A. Smith | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 2. Adoption Of Annual Accounts for 2012 | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 3. Discharge From Liability Of Sole Member Of The Management Board | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 4. Discharge From Liability Of Members Of The Supervisory Board | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 5. Ratification Of PricewaterhouseCoopers LLP as our Independent Registered Public Accounting Firm | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 6. Appointment Of PricewaterhouseCoopers Accountants N.V. as our Auditor for the Dutch Annual Accounts | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 7. Approval of Compensation of the Members of the Supervisory Board | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 8. Ratification and Approval of Dividends in Respect of the 2012 Fiscal Year | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 9. Advisory Vote Approving Executive Compensation | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 10. Approval to Repurchase up to 10% of Issued Share Capital | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 11. Approval to Cancel up to 10% of Share Capital Held in Treasury | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 12. Approve to Amend Articles of Association | Issuer | Yes | For | With | |||||||||||
STONE HARBOR HIGH-YIELD BOND FUND | LYONDELLBASELL INDU-CL A | LYB | NL0009434992 | 5/22/2013 | 13. To consider such other business as may properly come before the Annual General Meeting and any adjournments or postponements thereof. | Issuer | Yes | For | With |
STONE HARBOR 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 | |||||||||||
STONE HARBOR EMERGING MARKETS DEBT FUND | BTA BANK | BTASKZ | XS0532996799 XS0532995049 XS0532988770 | 11/16/2012 | (1) approve Restructuring Plan as per Information Memorandum | Issuer | Yes | In favour | With |
STONE HARBOR 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.
STONE HARBOR 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.
STONE HARBOR INVESTMENT GRADE FUND
The Fund did not commence operations during the reporting period and, therefore, there is no voting record for the Fund.
STONE HARBOR STRATEGIC INCOME FUND
The Fund did not commence operations during the reporting period and, therefore, there is no voting record for the Fund.
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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 21, 2013 |
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