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: 811-22472
RIVERNORTH OPPORTUNITIES FUND, INC.
(Exact name of registrant as specified in charter)
1290 Broadway, Suite 1100
Denver, Colorado 80203
(Address of principal executive offices) (Zip code)
Abigail J. Murray
RiverNorth Opportunities Fund, Inc.
1290 Broadway, Suite 1100
Denver, Colorado 80203
(Name and address of agent for service)
Registrant’s Telephone Number, including Area Code: (303) 623-2577
Date of fiscal year end: October 31
Date of reporting period: July 1, 2015 – June 30, 2016
Item 1 – Proxy Voting Record.
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 1 of 35 |
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ABERDEEN ASIA-PACIFIC INCOME FUND, INC. | | |
Security: | 003009107 | Agenda Number: | 934330197 |
Ticker: | FAX | Meeting Type: | Annual |
ISIN: | US0030091070 | Meeting Date: | 24-Mar-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1.1 | TO ELECT CLASS I DIRECTOR TO THE BOARD OF DIRECTORS TO SERVE UNTIL THE 2019 ANNUAL MEETING OF SHAREHOLDERS: JOHN T. SHEEHY | Mgmt | Split 92% For 5% Against 3% Abstain | Split |
1.2 | TO ELECT CLASS I DIRECTOR TO THE BOARD OF DIRECTORS TO SERVE UNTIL THE 2019 ANNUAL MEETING OF SHAREHOLDERS: NEVILLE J. MILES | Mgmt | Split 92% For 5% Against 3% Abstain | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 2 of 35 |
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ADAMS DIVERSIFIED EQUITY FUND, INC. | | |
Security: | 006212104 | Agenda Number: | 934330731 |
Ticker: | ADX | Meeting Type: | Annual |
ISIN: | US0062121043 | Meeting Date: | 14-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | ENRIQUE R. ARZAC | Mgmt | Split 87% For 13% Withheld | Split |
| 2 | PHYLLIS O. BONANNO | Mgmt | Split 86% For 14% Withheld | Split |
| 3 | KENNETH J. DALE | Mgmt | Split 88% For 12% Withheld | Split |
| 4 | FREDERIC A. ESCHERICH | Mgmt | Split 87% For 13% Withheld | Split |
| 5 | ROGER W. GALE | Mgmt | Split 87% For 13% Withheld | Split |
| 6 | KATHLEEN T. MCGAHRAN | Mgmt | Split 87% For 13% Withheld | Split |
| 7 | CRAIG R. SMITH | Mgmt | Split 87% For 13% Withheld | Split |
| 8 | MARK E. STOECKLE | Mgmt | Split 87% For 13% Withheld | Split |
2. | THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT PUBLIC AUDITORS. | Mgmt | Split 98% For 1% Against 1% Abstain | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 3 of 35 |
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ALLIANZGI CONVERTIBLE & INCOME | | |
Security: | 018828103 | Agenda Number: | 934435923 |
Ticker: | NCV | Meeting Type: | Annual |
ISIN: | US0188281036 | Meeting Date: | 30-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
A. | DIRECTOR | | | |
| 1 | HANS W. KERTESS* | Mgmt | Split 94% For 6% Withheld | * |
| 2 | WILLIAM B. OGDEN, IV* | Mgmt | Split 94% For 6% Withheld | * |
| 3 | BARBARA R. CLAUSSEN* | Mgmt | Split 95% For 5% Withheld | * |
| 4 | A. DOUGLAS EU# | Mgmt | Split 94% For 6% Withheld | * |
An * in the For/Against management field indicates management position unknown since information regarding non-U.S. issuers is not readily available.
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 4 of 35 |
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ALLIANZGI CONVERTIBLE & INCOME II | | |
Security: | 018825109 | Agenda Number: | 934435911 |
Ticker: | NCZ | Meeting Type: | Annual |
ISIN: | US0188251096 | Meeting Date: | 30-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
A. | DIRECTOR | | | |
| 1 | WILLIAM B. OGDEN, IV* | Mgmt | Split 94% For 6% Withheld | Split |
| 2 | BARBARA R. CLAUSSEN* | Mgmt | Split 94% For 6% Withheld | Split |
| 3 | A. DOUGLAS EU# | Mgmt | Split 94% For 6% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 5 of 35 |
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ALLIANZGI DIVERSIFIED INCOME & CONVERT | | |
Security: | 01883J108 | Agenda Number: | 934435909 |
Ticker: | ACV | Meeting Type: | Annual |
ISIN: | US01883J1088 | Meeting Date: | 30-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
A. | DIRECTOR | | | |
| 1 | BARBARA R. CLAUSSEN* | Mgmt | Split 97% For 3% Withheld | Split |
| 2 | A. DOUGLAS EU# | Mgmt | Split 97% For 3% Withheld | Split |
| 3 | HANS W. KERTESS@ | Mgmt | Split 97% For 3% Withheld | Split |
| 4 | WILLIAM B. OGDEN, IV@ | Mgmt | Split 97% For 3% Withheld | Split |
| 5 | DAVEY S. SCOON@ | Mgmt | Split 97% For 3% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 6 of 35 |
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ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST | | |
Security: | 01883A107 | Agenda Number: | 934435896 |
Ticker: | NFJ | Meeting Type: | Annual |
ISIN: | US01883A1079 | Meeting Date: | 30-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
A. | DIRECTOR | | | |
| 1 | DEBORAH A. DECOTIS* | Mgmt | Split 91% For 9% Withheld | Split |
| 2 | BRADFORD K. GALLAGHER* | Mgmt | Split 91% For 9% Withheld | Split |
| 3 | JAMES A. JACOBSON* | Mgmt | Split 91% For 9% Withheld | Split |
| 4 | BARBARA R. CLAUSSEN* | Mgmt | Split 92% For 8% Withheld | Split |
| 5 | A. DOUGLAS EU# | Mgmt | Split 91% For 9% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 7 of 35 |
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ALPINE GLOBAL PREMIER PPTYS FD | | |
Security: | 021060207 | Agenda Number: | 934368324 |
Ticker: | AOD | Meeting Type: | Annual |
ISIN: | US0210602076 | Meeting Date: | 17-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | JAMES A. JACOBSON | Mgmt | For | For |
| 2 | H. GUY LEIBLER | Mgmt | For | For |
2. | TO TRANSACT SUCH OTHER BUSINESS AS MAY PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENTS THEREOF. | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 8 of 35 |
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APOLLO SENIOR FLOATING RATE, INC | | |
Security: | 037636107 | Agenda Number: | 934378642 |
Ticker: | AFT | Meeting Type: | Annual |
ISIN: | US0376361079 | Meeting Date: | 19-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | GLENN N. MARCHAK | Mgmt | For | For |
| 2 | TODD J. SLOTKIN | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 9 of 35 |
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ARES DYNAMIC | | |
Security: | 04014F102 | Agenda Number: | 934424590 |
Ticker: | ARDC | Meeting Type: | Annual |
ISIN: | US04014F1021 | Meeting Date: | 28-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | DAVID A. SACHS | Mgmt | Split 83% For 17% Withheld | Split |
| 2 | M. FREDDIE REISS | Mgmt | Split 95% For 5% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 10 of 35 |
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AVENUE INCOME CREDIT STRATEGIES FUND | | |
Security: | 05358E106 | Agenda Number: | 934381865 |
Ticker: | ACP | Meeting Type: | Annual |
ISIN: | US05358E1064 | Meeting Date: | 12-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | MS. JULIE DIEN LEDOUX | Mgmt | Split 94% For 6% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 11 of 35 |
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BLACKSTONE FUNDS | |
Security: | 09257D102 | Agenda Number: | 934338371 |
Ticker: | BGX | Meeting Type: | Annual |
ISIN: | US09257D1028 | Meeting Date: | 20-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR |
| 1 | MICHAEL HOLLAND | Mgmt | No vote | |
| 2 | DANIEL H. SMITH, JR. | Mgmt | No vote | |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 12 of 35 |
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BLACKSTONE FUNDS | |
Security: | 09257R101 | Agenda Number: | 934338383 |
Ticker: | BGB | Meeting Type: | Annual |
ISIN: | US09257R1014 | Meeting Date: | 20-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR |
| 1 | MICHAEL HOLLAND | Mgmt | No vote | |
| 2 | DANIEL H. SMITH, JR. | Mgmt | No vote | |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 13 of 35 |
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BROOKFIELD GLOBAL LISTED INFRA INC FD |
Security: | 11273Q109 | Agenda Number: | 934394052 |
Ticker: | INF | Meeting Type: | Annual |
ISIN: | US11273Q1094 | Meeting Date: | 19-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | ELECTION OF CLASS II DIRECTOR: EDWARD A. KUCZMARSKI | Mgmt | For | For |
1B. | ELECTION OF CLASS II DIRECTOR: STUART A. MCFARLAND | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 14 of 35 |
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CALAMOS CONV OPPS & INCOME FUND |
Security: | 128117108 | Agenda Number: | 934426772 |
Ticker: | CHI | Meeting Type: | Annual |
ISIN: | US1281171082 | Meeting Date: | 30-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | VIRGINIA G. BREEN | Mgmt | Split 95% For 5% Withheld | Split |
| 2 | THERESA A. HAMACHER | Mgmt | | Split |
| 3 | STEPHEN B. TIMBERS | Mgmt | | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 15 of 35 |
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CALAMOS GLOBAL DYNAMIC INCOME |
Security: | 12811L107 | Agenda Number: | 934426772 |
Ticker: | CHW | Meeting Type: | Annual |
ISIN: | US12811L1070 | Meeting Date: | 30-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | VIRGINIA G. BREEN | Mgmt | Split 96% For 4% Withheld | Split |
| 2 | THERESA A. HAMACHER | Mgmt | Split 96% For 4% Withheld | Split |
| 3 | STEPHEN B. TIMBERS | Mgmt | Split 96% For 4% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 16 of 35 |
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CORNERSTONE STRATEGIC VALUE FUND, INC. | | |
Security: | 21924B302 | Agenda Number: | 934334474 |
Ticker: | CLM | Meeting Type: | Annual |
ISIN: | US21924B3024 | Meeting Date: | 19-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | ANDREW A. STRAUSS | Mgmt | Split 87% For 13% Withheld | Split |
| 2 | GLENN W. WILCOX, SR. | Mgmt | Split 87% For 13% Withheld | Split |
2. | IN THEIR DISCRETION, THE PROXIES ARE AUTHORIZED TO CONSIDER AND VOTE UPON SUCH OTHER MATTERS AS MAY PROPERLY COME BEFORE THE SAID MEETING OR ANY ADJOURNMENT THEREOF. | Mgmt | Split 75% For 14% Against 11% Abstain | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 17 of 35 |
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DUFF & PHELPS FUNDS | | |
Security: | 26433C105 | Agenda Number: | 934325019 |
Ticker: | DPG | Meeting Type: | Annual |
ISIN: | US26433C1053 | Meeting Date: | 15-Mar-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1C. | DIRECTOR | | | |
| 1 | PHILIP R. MCLOUGHLIN | Mgmt | Split 97% For 3% Withheld | Split |
| 2 | NATHAN I. PARTAIN | Mgmt | Split 97% For 3% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 18 of 35 |
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EATON VANCE FLOATING-RATE INCOME TRUST | | |
Security: | 278279104 | Agenda Number: | 934324257 |
Ticker: | EFT | Meeting Type: | Annual |
ISIN: | US2782791048 | Meeting Date: | 24-Mar-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | HELEN FRAME PETERS | Mgmt | No vote | |
| 2 | VALERIE A. MOSLEY | Mgmt | No vote | |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 19 of 35 |
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GENERAL AMERICAN INVESTORS COMPANY, INC. | | |
Security: | 368802104 | Agenda Number: | 934332913 |
Ticker: | GAM | Meeting Type: | Annual |
ISIN: | US3688021043 | Meeting Date: | 13-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | MR. BERENS | Mgmt | Split 78% For 22% Withheld | Split |
| 2 | MR. CULLMAN | Mgmt | Split 78% For 22% Withheld | Split |
| 3 | MR. DAVIDSON | Mgmt | Split 76% For 24% Withheld | Split |
| 4 | MR. GORDAN | Mgmt | Split 79% For 21% Withheld | Split |
| 5 | MS. GOTBAUM | Mgmt | Split 78% For 22% Withheld | Split |
| 6 | MR. KNAFEL | Mgmt | Split 79% For 21% Withheld | Split |
| 7 | MR. NEIDICH | Mgmt | Split 79% For 21% Withheld | Split |
| 8 | MR. PRIEST | Mgmt | Split 82% For 18% Withheld | Split |
| 9 | MR. SCHIRMER | Mgmt | Split 83% For 17% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 20 of 35 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
2. | RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS. | Mgmt | Split 99% For 1% Against | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 21 of 35 |
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LEGG MASON | | | |
Security: | 52469B100 | Agenda Number: | 934326136 |
Ticker: | BWG | Meeting Type: | Annual |
ISIN: | US52469B1008 | Meeting Date: | 26-Feb-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | DANIEL P. CRONIN* | Mgmt | No vote | |
| 2 | PAOLO M. CUCCHI* | Mgmt | No vote | |
| 3 | JANE E. TRUST# | Mgmt | No vote | |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 22 of 35 |
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LEGG MASON PARTNERS CAPITAL AND INCOME | | |
Security: | 50208A102 | Agenda Number: | 934335109 |
Ticker: | SCD | Meeting Type: | Annual |
ISIN: | US50208A1025 | Meeting Date: | 24-Mar-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | LESLIE H. GELB | Mgmt | Split 94% For 6% Withheld | Split |
| 2 | WILLIAM R. HUTCHINSON | Mgmt | Split 94% For 6% Withheld | Split |
| 3 | JANE E. TRUST | Mgmt | Split 95% For 5% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 23 of 35 |
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MEDLEY CAPITAL CORPORATION | | |
Security: | 58503F106 | Agenda Number: | 934323762 |
Ticker: | MCC | Meeting Type: | Annual |
ISIN: | US58503F1066 | Meeting Date: | 14-Mar-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | MR. SETH TAUBE | Mgmt | Split 89% For 11% Withheld | Split |
| 2 | MR. ARTHUR S. AINSBERG | Mgmt | Split 91% For 9% Withheld | Split |
2. | TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MEDLEY CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2016. | Mgmt | Split 98% For 1% Against 1% Abstain | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 24 of 35 |
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NEXPOINT FUNDS | | |
Security: | 65340G205 | Agenda Number: | 934417824 |
Ticker: | NHF | Meeting Type: | Annual |
ISIN: | US65340G2057 | Meeting Date: | 03-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | BRYAN A. WARD | Mgmt | For | For |
| 2 | ETHAN POWELL | Mgmt | For | For |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 25 of 35 |
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NUVEEN FLOATING RATE INCOME OPPORTUNITY | | |
Security: | 6706EN100 | Agenda Number: | 934346037 |
Ticker: | JRO | Meeting Type: | Annual |
ISIN: | US6706EN1001 | Meeting Date: | 22-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | DIRECTOR | | | |
| 1 | JUDITH M. STOCKDALE | Mgmt | Split 97% For 3% Withheld | Split |
| 2 | CAROLE E. STONE | Mgmt | Split 97% For 3% Withheld | Split |
| 3 | MARGARET L. WOLFF | Mgmt | Split 97% For 3% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 26 of 35 |
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NUVEEN GLOBAL HIGH INCOME FUND | | |
Security: | 67075G103 | Agenda Number: | 934346013 |
Ticker: | JGH | Meeting Type: | Annual |
ISIN: | US67075G1031 | Meeting Date: | 22-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1B. | DIRECTOR | | | |
| 1 | WILLIAM C. HUNTER | Mgmt | Split 93% For 7% Withheld | Split |
| 2 | JUDITH M. STOCKDALE | Mgmt | Split 93% For 7% Withheld | Split |
| 3 | CAROLE E. STONE | Mgmt | Split 93% For 7% Withheld | Split |
| 4 | MARGARET L. WOLFF | Mgmt | Split 93% For 7% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 27 of 35 |
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NUVEEN PREFERED & CONVERTIBLE INCOME 2 | | |
Security: | 67073D102 | Agenda Number: | 934346013 |
Ticker: | JQC | Meeting Type: | Annual |
ISIN: | US67073D1028 | Meeting Date: | 22-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1B. | DIRECTOR | | | |
| 1 | WILLIAM C. HUNTER | Mgmt | Split 96% For 4% Withheld | Split |
| 2 | JUDITH M. STOCKDALE | Mgmt | Split 96% For 4% Withheld | Split |
| 3 | CAROLE E. STONE | Mgmt | Split 96% For 4% Withheld | Split |
| 4 | MARGARET L. WOLFF | Mgmt | Split 96% For 4% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 28 of 35 |
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NUVEEN SENIOR INCOME FUND | | |
Security: | 67067Y104 | Agenda Number: | 934346037 |
Ticker: | NSL | Meeting Type: | Annual |
ISIN: | US67067Y1047 | Meeting Date: | 22-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1A. | DIRECTOR | | | |
| 1 | JUDITH M. STOCKDALE | Mgmt | Split 98% For 2% Withheld | Split |
| 2 | CAROLE E. STONE | Mgmt | Split 98% For 2% Withheld | Split |
| 3 | MARGARET L. WOLFF | Mgmt | Split 98% For 2% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 29 of 35 |
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OHA INVESTMENT CORPORATION | | |
Security: | 67091U102 | Agenda Number: | 934417482 |
Ticker: | OHAI | Meeting Type: | Annual |
ISIN: | US67091U1025 | Meeting Date: | 07-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1.1 | ELECTION OF CLASS III DIRECTOR: GLENN R. AUGUST | Mgmt | Split 95% For 3% Against 2% Abstain | Split |
1.2 | ELECTION OF CLASS III DIRECTOR: STUART I. ORAN | Mgmt | Split 95% For 3% Against 2% Abstain | Split |
2. | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. | Mgmt | Split 98% For 1% Against 1% Abstain | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 30 of 35 |
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PIMCO | |
Security: | 72202D106 | Agenda Number: | 934348221 |
Ticker: | PCI | Meeting Type: | Annual |
ISIN: | US72202D1063 | Meeting Date: | 29-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | DEBORAH A. DECOTIS | Mgmt | Split 95% For 5% Withheld | * |
| 2 | JOHN C. MANEY | Mgmt | Split 95% For 5% Withheld | * |
An * in the For/Against management field indicates management position unknown since information regarding non-U.S. issuers is not readily available.
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 31 of 35 |
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SOURCE CAPITAL, INC. | | |
Security: | 836144105 | Agenda Number: | 934366988 |
Ticker: | SOR | Meeting Type: | Annual |
ISIN: | US8361441053 | Meeting Date: | 09-May-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | ATWOOD | Mgmt | Split 95% For 5% Withheld | Split |
| 2 | LIPSON | Mgmt | Split 96% For 4% Withheld | Split |
| 3 | OSBORNE | Mgmt | Split 95% For 5% Withheld | Split |
| 4 | PISANO | Mgmt | Split 96% For 4% Withheld | Split |
| 5 | PURCELL | Mgmt | Split 96% For 4% Withheld | Split |
| 6 | RUDNICK | Mgmt | Split 96% For 4% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 32 of 35 |
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THE ZWEIG FUND, INC. | | |
Security: | 989834205 | Agenda Number: | 934415717 |
Ticker: | ZF | Meeting Type: | Annual |
ISIN: | US9898342053 | Meeting Date: | 10-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | GEORGE R. AYLWARD | Mgmt | Split 83% For 17% Withheld | Split |
| 2 | WILLIAM H. WRIGHT II | Mgmt | Split 83% For 17% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 33 of 35 |
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THE ZWEIG TOTAL RETURN FUND, INC. | | |
Security: | 989837208 | Agenda Number: | 934415717 |
Ticker: | ZTR | Meeting Type: | Annual |
ISIN: | US9898372084 | Meeting Date: | 10-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | GEORGE R. AYLWARD | Mgmt | Split 65% For 35% Withheld | Split |
| 2 | WILLIAM H. WRIGHT II | Mgmt | Split 65% For 35% Withheld | Split |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
| | | Page 34 of 35 |
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TRI-CONTINENTAL CORPORATION | | |
Security: | 895436103 | Agenda Number: | 934353094 |
Ticker: | TY | Meeting Type: | Annual |
ISIN: | US8954361031 | Meeting Date: | 18-Apr-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | WILLIAM P. CARMICHAEL | Mgmt | No vote | |
| 2 | MINOR M. SHAW | Mgmt | No vote | |
| 3 | WILLIAM F. TRUSCOTT | Mgmt | No vote | |
2. | TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. | Mgmt | No vote | |
Investment Company Report
Meeting Date Range: | 01-Jul-2015 - 30-Jun-2016 | Report Date: | 29-Aug-2016 |
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VIRTUS INVESTMENT PARTNERS | | |
Security: | 92829A103 | Agenda Number: | 934393858 |
Ticker: | DCA | Meeting Type: | Contested Annual |
ISIN: | US92829A1034 | Meeting Date: | 02-Jun-16 |
Prop. # | Proposal | Proposed by | Proposal Vote | For/Against Management's Recommendation |
1. | DIRECTOR | | | |
| 1 | THOMAS F. MANN | Mgmt | No vote | |
2. | IF PROPERLY PROPOSED AT THE MEETING, A SHAREHOLDER PROPOSAL TO RECOMMEND THAT THE BOARD PROMPTLY APPROVE AND SUBMIT TO SHAREHOLDERS A PROPOSAL TO LIQUIDATE THE FUND. | Shr | No 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.
| RiverNorth Opportunities Fund, Inc. | |
| | | |
| By: | /s/ Thomas A. Carter | |
| | Thomas A. Carter | |
| | President | |
| | | |
| Date: | August 30, 2016 | |