UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED M
ANAGEMENT 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, 2015-June 30, 2016
Item 1. Proxy Voting Record.
STONE HARBOR 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.
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
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 STRATEGIC INCOME 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 DEBT ALLOCATION 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 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 Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1A. ELECTION OF DIRECTOR: E. SPENCER ABRAHAM | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1B. ELECTION OF DIRECTOR: KIRBYJON H. CALDWELL | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1C. ELECTION OF DIRECTOR: LAWRENCE S. COBEN | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1D. ELECTION OF DIRECTOR: HOWARD E. COSGROVE | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1E. ELECTION OF DIRECTOR: TERRY G. DALLAS | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1F. ELECTION OF DIRECTOR: MAURICIO GUTIERREZ | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1G. ELECTION OF DIRECTOR: WILLIAM E. HANTKE | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1H. ELECTION OF DIRECTOR: PAUL W. HOBBY | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1I. ELECTION OF DIRECTOR: EDWARD R. MULLER | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1J. ELECTION OF DIRECTOR: ANNE C. SCHAUMBURG | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1K. ELECTION OF DIRECTOR: EVAN J. SILVERSTEIN | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1L. ELECTION OF DIRECTOR: THOMAS H. WEIDEMEYER | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 1M. ELECTION OF DIRECTOR: WALTER R. YOUNG | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 2. TO RE-APPROVE THE PERFORMANCE GOALS UNDER THE NRG ENERGY, INC. AMENDED AND RESTATED LONG-TERM INCENTIVE PLAN SOLELY FOR PURPOSE OF SECTION 162(M) OF THE INTERNAL REVENUE CODE OF 1986, AS AMENDED | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 3. TO APPROVE, ON AN ADVISORY BASIS, THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 4. TO RATIFY THE APPOINTMENT OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2016. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 5. TO VOTE ON A STOCKHOLDER PROPOSAL REGARDING PROXY ACCESS, IF PROPERLY PRESENTED AT THE MEETING. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | NRG Energy, Inc. | NRG | US6293775085 | 4/28/2016 | 6. TO VOTE ON A STOCKHOLDER PROPOSAL REGARDING DISCLOSURE OF POLITICAL EXPENDITURES, IF PROPERLY PRESENTED AT THE MEETING. | Issuer | Yes | Against | With |
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 17, 2016 |