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, 2017-June 30, 2018
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 EMERGING MARKETS DEBT BLEND 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 500 PLUS 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 | VISTRA ENERGY CORP | VST | 92840M102 | 3/2/2018 | 1. Adopt the Agreement and Plan of Merger, dated as of October 29, 2017 (the “Merger Agreement”), by and between Vistra Energy Corp., a Delaware corporation (“Vistra Energy”), and Dynegy Inc., a Delaware corporation (“Dynegy”), as it may be amended from time to time, pursuant to which, among other things, Dynegy will merge with and into Vistra Energy (the “Merger”), with Vistra Energy continuing as the surviving corporation (the “Merger Proposal”) | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | VISTRA ENERGY CORP | VST | 92840M102 | 3/2/2018 | 2. Approve the issuance of shares of Vistra Energy common stock to Dynegy stockholders in connection with the Merger, as contemplated by the Merger Agreement (the “Stock Issuance Proposal”). | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | VISTRA ENERGY CORP | VST | 92840M102 | 3/2/2018 | 3. Approve the adjournment of the Vistra Energy special meeting, if necessary or appropriate, for the purpose of soliciting additional votes for the approval of the Merger Proposal and the Stock Issuance Proposal. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | VISTRA ENERGY CORP | VST | 92840M102 | 5/1/2018 | 1. Approve, on an advisory basis, the frequency of future advisory votes on named executive officer compensation. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | DENBURY RESOURCES INC | DNR | 247916208 | 5/23/2018 | 1. To elect eight Board Members to the Board of Directors or Trustees of each company | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | DENBURY RESOURCES INC | DNR | 247916208 | 5/23/2018 | 2. An advisory vote to approve the named executive officer compensation. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | DENBURY RESOURCES INC | DNR | 247916208 | 5/23/2018 | 3. To ratify the Audit Committee's selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for 2018 | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | MIDSTATES PETROLEUM COMPANY, INC. | MPO | 59804T407 | 6/1/2018 | 1. To elect eight Board Members to the Board of Directors or Trustees of each company | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | MIDSTATES PETROLEUM COMPANY, INC. | MPO | 59804T407 | 6/1/2018 | 2. To approve, on an non-binding advisory basis, the compensation of our named executive officers. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | MIDSTATES PETROLEUM COMPANY, INC. | MPO | 59804T407 | 6/1/2018 | 3. To ratify the appointment of Grant Thorton LLP as the Company's independent registered public accounting firm for 2018 | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | GENER8 MARITIME, INC | GNRT | Y26889108 | 6/11/2018 | 1. Approval of the Agreement and Plan of Merger, dated as of Decmeber 20, 2017, among Gener8 Maritime, Inc., Euronav NV and Euronav MI Inc. | Issuer | Yes | For | With |
Stone Harbor High Yield Fund | GENER8 MARITIME, INC | GNRT | Y26889108 | 6/11/2018 | 2. Approval of adjournments or postponements of the Special Meeting, if necessary, to permit further solication of proxies if there are not sufficient votes at the time of the meeting to approve the Merger Agreement | Issuer | Yes | For | 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 28, 2018 |