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)
Christopher A. Moore
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, 2017 – June 30, 2018
Item 1 – Proxy Voting Record.
| Vote Summary | ||||||||||||||||
| ALLIANZGI DIVERSIFIED INCOME & CONVERT | ||||||||||||||||
| Security | 01883J108 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ACV | Meeting Date | 13-Jul-2017 | |||||||||||||
| ISIN | US01883J1088 | Agenda | 934642275 - Opposition | |||||||||||||
| Record Date | 18-May-2017 | Holding Recon Date | 18-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Jul-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | A. DOUGLAS EU | Split | For | Split | ||||||||||||
| 2 | F. FORD DRUMMOND | Split | For | Split | ||||||||||||
| 3 | JAMES S. MACLEOD | Split | For | Split | ||||||||||||
| ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST | ||||||||||||||||
| Security | 01883A107 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | NFJ | Meeting Date | 13-Jul-2017 | |||||||||||||
| ISIN | US01883A1079 | Agenda | 934642263 - Opposition | |||||||||||||
| Record Date | 18-May-2017 | Holding Recon Date | 18-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Jul-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | F. FORD DRUMMOND | Split | For | Split | ||||||||||||
| 2 | ALAN RAPPAPORT | Split | For | Split | ||||||||||||
| 3 | DAVEY S. SCOON | Split | For | Split | ||||||||||||
| BLACKROCK DEBT STRATEGIES FD INC | ||||||||||||||||
| Security | 09255R202 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | DSU | Meeting Date | 25-Jul-2017 | |||||||||||||
| ISIN | US09255R2022 | Agenda | 934647655 - Management | |||||||||||||
| Record Date | 30-May-2017 | Holding Recon Date | 30-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | MICHAEL J. CASTELLANO | Split | For | Split | ||||||||||||
| 2 | CYNTHIA L. EGAN | Split | For | Split | ||||||||||||
| 3 | CATHERINE A. LYNCH | Split | For | Split | ||||||||||||
| BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR | ||||||||||||||||
| Security | 092501105 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | BOE | Meeting Date | 25-Jul-2017 | |||||||||||||
| ISIN | US0925011050 | Agenda | 934647631 - Management | |||||||||||||
| Record Date | 30-May-2017 | Holding Recon Date | 30-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | MICHAEL J. CASTELLANO | Split | For | Split | ||||||||||||
| 2 | R. GLENN HUBBARD | Split | For | Split | ||||||||||||
| 3 | W. CARL KESTER | Split | For | Split | ||||||||||||
| 4 | JOHN M. PERLOWSKI | Split | For | Split | ||||||||||||
| BLACKROCK MUNI INTER DURATION FD INC | ||||||||||||||||
| Security | 09253X102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MUI | Meeting Date | 25-Jul-2017 | |||||||||||||
| ISIN | US09253X1028 | Agenda | 934648366 - Management | |||||||||||||
| Record Date | 30-May-2017 | Holding Recon Date | 30-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | MICHAEL J. CASTELLANO | Split | For | Split | ||||||||||||
| 2 | RICHARD E. CAVANAGH | Split | For | Split | ||||||||||||
| 3 | CYNTHIA L. EGAN | Split | For | Split | ||||||||||||
| 4 | JERROLD B. HARRIS | Split | For | Split | ||||||||||||
| 5 | R. GLENN HUBBARD | Split | For | Split | ||||||||||||
| 6 | CATHERINE A. LYNCH | Split | For | Split | ||||||||||||
| 7 | BARBARA G. NOVICK | Split | For | Split | ||||||||||||
| 8 | JOHN M. PERLOWSKI | Split | For | Split | ||||||||||||
| 9 | KAREN P. ROBARDS | Split | For | Split | ||||||||||||
| CLOUGH GLOBAL EQUITY FUND | ||||||||||||||||
| Security | 18914C100 | Meeting Type | Contested-Annual | |||||||||||||
| Ticker Symbol | GLQ | Meeting Date | 03-Aug-2017 | |||||||||||||
| ISIN | US18914C1009 | Agenda | 934642845 - Opposition | |||||||||||||
| Record Date | 04-May-2017 | Holding Recon Date | 04-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 01 | DIRECTOR | Management | Split | |||||||||||||
| 1 | PAUL KAZARIAN | Split | For | |||||||||||||
| 2 | THOMAS H. MCGLADE | Split | For | |||||||||||||
| 3 | PETER TCHIR | Split | For | |||||||||||||
| CLOUGH GLOBAL EQUITY FUND | ||||||||||||||||
| Security | 18914C100 | Meeting Type | Contested-Annual | |||||||||||||
| Ticker Symbol | GLQ | Meeting Date | 03-Aug-2017 | |||||||||||||
| ISIN | US18914C1009 | Agenda | 934646324 - Management | |||||||||||||
| Record Date | 04-May-2017 | Holding Recon Date | 04-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 01 | DIRECTOR | Management | Split | |||||||||||||
| 1 | EDMUND BURKE | Split | For | |||||||||||||
| 2 | VINCENT VERSACI | Split | For | |||||||||||||
| 3 | CLIFFORD WEBER | Split | For | |||||||||||||
| CLOUGH GLOBAL OPPORTUNITIES FUND | ||||||||||||||||
| Security | 18914E106 | Meeting Type | Contested-Annual | |||||||||||||
| Ticker Symbol | GLO | Meeting Date | 03-Aug-2017 | |||||||||||||
| ISIN | US18914E1064 | Agenda | 934642833 - Opposition | |||||||||||||
| Record Date | 04-May-2017 | Holding Recon Date | 04-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | |||||||||||||
| 1 | PAUL KAZARIAN | Split | For | |||||||||||||
| 2 | THOMAS H. MCGLADE | Split | For | |||||||||||||
| 3 | PETER TCHIR | Split | For | |||||||||||||
| 2. | FOR THE BOARD TO CONSIDER AUTHORIZING DECLASSIFYING THE BOARD SO THAT ALL DIRECTORS ARE ELECTED ON AN ANNUAL BASIS STARTING AT THE NEXT ANNUAL MEETING OF SHAREHOLDERS. | Management | Split | For | ||||||||||||
| CLOUGH GLOBAL OPPORTUNITIES FUND | ||||||||||||||||
| Security | 18914E106 | Meeting Type | Contested-Annual | |||||||||||||
| Ticker Symbol | GLO | Meeting Date | 03-Aug-2017 | |||||||||||||
| ISIN | US18914E1064 | Agenda | 934646312 - Management | |||||||||||||
| Record Date | 04-May-2017 | Holding Recon Date | 04-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 01 | DIRECTOR | Management | Split | |||||||||||||
| 1 | ROBERT BUTLER | Split | For | |||||||||||||
| 2 | KAREN DIGRAVIO | Split | For | |||||||||||||
| 3 | KEVIN MCNALLY | Split | For | |||||||||||||
| 02 | BE IT RESOLVED, THAT THE SHAREHOLDERS OF CLOUGH GLOBAL DIVIDEND AND INCOME TRUST {SIC*} (THE "TRUST") HEREBY REQUEST THAT THE BOARD OF TRUSTEES OF THE TRUST (THE "BOARD") TAKE ALL NECESSARY STEPS IN ITS POWER TO DECLASSIFY THE BOARD SO THAT ALL DIRECTORS ARE ELECTED ON AN ANNUAL BASIS STARTING AT THE NEXT ANNUAL MEETING OF SHAREHOLDERS. SUCH DECLASSIFICATION SHALL BE COMPLETED IN A MANNER THAT DOES NOT AFFECT THE UNEXPIRED TERMS OF THE PREVIOUSLY ELECTED TRUSTEES. | Management | Split | Against | ||||||||||||
| PACIFIC SPECIAL ACQUISITION CORP. | ||||||||||||||||
| Security | G68588105 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | PAAC | Meeting Date | 10-Aug-2017 | |||||||||||||
| ISIN | VGG685881051 | Agenda | 934661249 - Management | |||||||||||||
| Record Date | 14-Jul-2017 | Holding Recon Date | 14-Jul-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | THE BUSINESS COMBINATION PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL (I) TO APPROVE AND ADOPT THE MERGER AGREEMENT, DATED AS OF DECEMBER 27, 2016, AS AMENDED ON MAY 10, 2017 AND JUNE 29, 2017, AND AS IT MAY BE FURTHER AMENDED, BY AND AMONG PACIFIC, MERGER SUB, OUR SPONSOR AS THE PURCHASER REPRESENTATIVE, BORQS, SELLER REPRESENTATIVE, AND THE TRANSACTIONS CONTEMPLATED THEREBY (THE "BUSINESS COMBINATION"). | Management | For | For | For | |||||||||||
| 1A. | INTENTION TO EXERCISE REDEMPTION RIGHTS: IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE CHECK THE "FOR" BOX CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE DEFINITIVE PROXY STATEMENT UNDER THE HEADING "MEETING OF PACIFIC SHAREHOLDERS - REDEMPTION RIGHTS." ("FOR"= YES; "AGAINST"= NO.) | Management | For | Take No Action | ||||||||||||
| 1B. | SHAREHOLDER CERTIFICATION: I HEREBY CERTIFY THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D) (3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER SHAREHOLDER WITH RESPECT TO THE ORDINARY SHARES OF THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN THE COMPANY AND BORQS. ("FOR"= I CERTIFY THAT I AM NOT. "AGAINST"= I CERTIFY THAT I AM.) | Management | For | Take No Action | ||||||||||||
| 2. | THE CHARTER AMENDMENT PROPOSAL - TO APPROVE AND ADOPT, SUBJECT TO AND CONDITIONAL ON (BUT WITH IMMEDIATE EFFECT THEREFROM) THE CONSUMMATION OF THE BUSINESS COMBINATION, AN AMENDMENT AND RESTATEMENT OF PACIFIC'S CHARTER (MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE COMPANY) CURRENTLY REGISTERED BY THE REGISTRAR OF CORPORATE AFFAIRS IN THE BRITISH VIRGIN ISLANDS, AS SET OUT IN THE DRAFT AMENDED AND RESTATED VERSION OF OUR CHARTER APPENDED TO THE PROXY STATEMENT AS ANNEX B ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Management | For | For | For | |||||||||||
| 3. | THE INCENTIVE PLAN PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE AND ADOPT THE BORQS TECHNOLOGIES, INC. 2017 EQUITY INCENTIVE PLAN. | Management | For | For | For | |||||||||||
| 4. | THE NASDAQ PROPOSAL - TO APPROVE, FOR PURPOSES OF COMPLYING WITH APPLICABLE NASDAQ LISTING RULES, THE ISSUANCE OF MORE THAN 20% OF THE COMPANY'S ISSUED AND OUTSTANDING ORDINARY SHARES. | Management | For | For | For | |||||||||||
| 5. | THE ADJOURNMENT PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE ADJOURNMENT OF THE MEETING OF SHAREHOLDERS BY THE CHAIRMAN THEREOF TO A LATER DATE, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE MEETING, THERE ARE NOT SUFFICIENT VOTES TO APPROVE PROPOSALS 1, 2, 3 AND 4. | Management | For | For | For | |||||||||||
| DELAWARE INVESTMENTS | ||||||||||||||||
| Security | 246060107 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | DEX | Meeting Date | 16-Aug-2017 | |||||||||||||
| ISIN | US2460601071 | Agenda | 934656894 - Management | |||||||||||||
| Record Date | 19-Jun-2017 | Holding Recon Date | 19-Jun-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | THOMAS L. BENNETT | Split | For | Split | ||||||||||||
| 2 | ANN D. BOROWIEC | Split | For | Split | ||||||||||||
| 3 | JOSEPH W. CHOW | Split | For | Split | ||||||||||||
| 4 | JOHN A. FRY | Split | For | Split | ||||||||||||
| 5 | SHAWN K. LYTLE | Split | For | Split | ||||||||||||
| 6 | F.A. SEVILLA-SACASA | Split | For | Split | ||||||||||||
| 7 | THOMAS K. WHITFORD | Split | For | Split | ||||||||||||
| 8 | LUCINDA S. LANDRETH | Split | For | Split | ||||||||||||
| 9 | JANET L. YEOMANS | Split | For | Split | ||||||||||||
| DELAWARE INVTS DIVIDEND AND INCM FD INC. | ||||||||||||||||
| Security | 245915103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | DDF | Meeting Date | 16-Aug-2017 | |||||||||||||
| ISIN | US2459151039 | Agenda | 934656894 - Management | |||||||||||||
| Record Date | 19-Jun-2017 | Holding Recon Date | 19-Jun-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | THOMAS L. BENNETT | Split | For | Split | ||||||||||||
| 2 | ANN D. BOROWIEC | Split | For | Split | ||||||||||||
| 3 | JOSEPH W. CHOW | Split | For | Split | ||||||||||||
| 4 | JOHN A. FRY | Split | For | Split | ||||||||||||
| 5 | SHAWN K. LYTLE | Split | For | Split | ||||||||||||
| 6 | F.A. SEVILLA-SACASA | Split | For | Split | ||||||||||||
| 7 | THOMAS K. WHITFORD | Split | For | Split | ||||||||||||
| 8 | LUCINDA S. LANDRETH | Split | For | Split | ||||||||||||
| 9 | JANET L. YEOMANS | Split | For | Split | ||||||||||||
| MADISON COVERED CALL & EQUITY STRGY FUND | ||||||||||||||||
| Security | 557437100 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MCN | Meeting Date | 22-Aug-2017 | |||||||||||||
| ISIN | US5574371002 | Agenda | 934655094 - Management | |||||||||||||
| Record Date | 25-May-2017 | Holding Recon Date | 25-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 01 | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | RICHARD E. STRUTHERS | Split | For | Split | ||||||||||||
| 02 | SHAREHOLDER PROPOSAL REGARDING TERMINATION OF THE INVESTMENT ADVISORY AGREEMENT - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. | Shareholder | Split | Against | Split | |||||||||||
| 03 | SHAREHOLDER PROPOSAL REGARDING SELF-TENDER OFFER - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. | Shareholder | Split | Against | Split | |||||||||||
| MADISON STRATEGIC SECTOR PREMIUM FUND | ||||||||||||||||
| Security | 558268108 | Meeting Type | Contested-Annual | |||||||||||||
| Ticker Symbol | MSP | Meeting Date | 22-Aug-2017 | |||||||||||||
| ISIN | US5582681087 | Agenda | 934655082 - Management | |||||||||||||
| Record Date | 25-May-2017 | Holding Recon Date | 25-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 01 | DIRECTOR | Management | ||||||||||||||
| 1 | FRANK E. BURGESS | For | ||||||||||||||
| 2 | STEVEN P. RIEGE | For | ||||||||||||||
| 02 | SHAREHOLDER PROPOSAL REGARDING TERMINATION OF THE INVESTMENT ADVISORY AGREEMENT - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. | Shareholder | Against | |||||||||||||
| 03 | SHAREHOLDER PROPOSAL REGARDING SELF-TENDER OFFER - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. | Shareholder | Against | |||||||||||||
| MADISON STRATEGIC SECTOR PREMIUM FUND | ||||||||||||||||
| Security | 558268108 | Meeting Type | Contested-Annual | |||||||||||||
| Ticker Symbol | MSP | Meeting Date | 22-Aug-2017 | |||||||||||||
| ISIN | US5582681087 | Agenda | 934656642 - Opposition | |||||||||||||
| Record Date | 25-May-2017 | Holding Recon Date | 25-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Aug-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | ARTHUR CHARLES REGAN | For | ||||||||||||||
| 2 | DR. DANIEL C. ROBESON | For | ||||||||||||||
| 2. | SHAREHOLDER PROPOSAL REGARDING TERMINATION OF THE INVESTMENT ADVISORY AGREEMENT | Management | For | |||||||||||||
| 3. | SHAREHOLDER PROPOSAL REGARDING A SELF-TENDER OFFER | Management | For | |||||||||||||
| INVESCO | ||||||||||||||||
| Security | 46131F101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | VLT | Meeting Date | 08-Sep-2017 | |||||||||||||
| ISIN | US46131F1012 | Agenda | 934664079 - Management | |||||||||||||
| Record Date | 16-Jun-2017 | Holding Recon Date | 16-Jun-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1C. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | DAVID C. ARCH | Split | For | Split | ||||||||||||
| 2 | TERESA M. RESSEL | Split | For | Split | ||||||||||||
| 3 | LARRY SOLL | Split | For | Split | ||||||||||||
| 4 | PHILIP A. TAYLOR | Split | For | Split | ||||||||||||
| 5 | CHRISTOPHER L. WILSON | Split | For | Split | ||||||||||||
| MADISON COVERED CALL & EQUITY STRGY FUND | ||||||||||||||||
| Security | 557437100 | Meeting Type | Contested-Special | |||||||||||||
| Ticker Symbol | MCN | Meeting Date | 15-Sep-2017 | |||||||||||||
| ISIN | US5574371002 | Agenda | 934655816 - Management | |||||||||||||
| Record Date | 25-May-2017 | Holding Recon Date | 25-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 2. | TO APPROVE THE ISSUANCE OF ADDITIONAL SHARES OF COMMON STOCK OF THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") IN CONNECTION WITH THE AGREEMENT AND PLAN OF REORGANIZATION | Management | For | |||||||||||||
| MADISON COVERED CALL & EQUITY STRGY FUND | ||||||||||||||||
| Security | 557437100 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | MCN | Meeting Date | 15-Sep-2017 | |||||||||||||
| ISIN | US5574371002 | Agenda | 934660110 - Management | |||||||||||||
| Record Date | 25-May-2017 | Holding Recon Date | 25-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 2. | TO APPROVE THE ISSUANCE OF ADDITIONAL SHARES OF COMMON STOCK OF THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") IN CONNECTION WITH THE AGREEMENT AND PLAN OF REORGANIZATION | Management | No Action | For | ||||||||||||
| MADISON STRATEGIC SECTOR PREMIUM FUND | ||||||||||||||||
| Security | 558268108 | Meeting Type | Contested-Special | |||||||||||||
| Ticker Symbol | MSP | Meeting Date | 15-Sep-2017 | |||||||||||||
| ISIN | US5582681087 | Agenda | 934655804 - Management | |||||||||||||
| Record Date | 25-May-2017 | Holding Recon Date | 25-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | TO APPROVE THE AGREEMENT AND PLAN OF REORGANIZATION BETWEEN THE MADISON STRATEGIC SECTOR PREMIUM FUND ("MSP") AND THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING THE MERGER OF MSP WITH AND INTO MCN. | Management | For | |||||||||||||
| MADISON STRATEGIC SECTOR PREMIUM FUND | ||||||||||||||||
| Security | 558268108 | Meeting Type | Contested-Special | |||||||||||||
| Ticker Symbol | MSP | Meeting Date | 15-Sep-2017 | |||||||||||||
| ISIN | US5582681087 | Agenda | 934656832 - Opposition | |||||||||||||
| Record Date | 25-May-2017 | Holding Recon Date | 25-May-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | THE SHAREHOLDERS OF MSP ARE BEING ASKED TO CONSIDER THE AGREEMENT AND PLAN OF REORGANIZATION BETWEEN THE MADISON STRATEGIC SECTOR PREMIUM FUND ("MSP") AND THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING THE MERGER OF MSP WITH AND INTO MCN. | Management | Against | |||||||||||||
| TCG BDC INC. | ||||||||||||||||
| Security | 872280102 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | CGBD | Meeting Date | 15-Sep-2017 | |||||||||||||
| ISIN | US8722801029 | Agenda | 934662924 - Management | |||||||||||||
| Record Date | 20-Jul-2017 | Holding Recon Date | 20-Jul-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1) | TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT BY AND BETWEEN THE COMPANY AND ITS INVESTMENT ADVISER, CARLYLE GMS INVESTMENT MANAGEMENT L.L.C. | Management | Split | For | Split | |||||||||||
| DEUTSCHE HIGH INC OPPORTUNITIES FUND INC | ||||||||||||||||
| Security | 25158Y102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | DHG | Meeting Date | 20-Sep-2017 | |||||||||||||
| ISIN | US25158Y1029 | Agenda | 934671783 - Management | |||||||||||||
| Record Date | 20-Jul-2017 | Holding Recon Date | 20-Jul-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | JOHN W. BALLANTINE | For | ||||||||||||||
| 2 | DAWN-MARIE DRISCOLL | For | ||||||||||||||
| 3 | KENNETH C. FROEWISS | For | ||||||||||||||
| 4 | REBECCA W. RIMEL | For | ||||||||||||||
| GUGGENHEIM FUNDS | ||||||||||||||||
| Security | 007639107 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | AGC | Meeting Date | 27-Sep-2017 | |||||||||||||
| ISIN | US0076391079 | Agenda | 934674791 - Management | |||||||||||||
| Record Date | 15-Aug-2017 | Holding Recon Date | 15-Aug-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1A. | ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. BLACK | Management | For | |||||||||||||
| 1B. | ELECTION OF CLASS II TRUSTEE: MR. MICHAEL A. SMART | Management | For | |||||||||||||
| GUGGENHEIM FUNDS | ||||||||||||||||
| Security | 00764C109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | AVK | Meeting Date | 27-Sep-2017 | |||||||||||||
| ISIN | US00764C1099 | Agenda | 934674804 - Management | |||||||||||||
| Record Date | 15-Aug-2017 | Holding Recon Date | 15-Aug-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1A. | ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. BLACK | Management | For | |||||||||||||
| 1B. | ELECTION OF CLASS II TRUSTEE: MR. MICHAEL A. SMART | Management | For | |||||||||||||
| GUGGENHEIM FUNDS | ||||||||||||||||
| Security | 00765E104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | LCM | Meeting Date | 27-Sep-2017 | |||||||||||||
| ISIN | US00765E1047 | Agenda | 934674816 - Management | |||||||||||||
| Record Date | 15-Aug-2017 | Holding Recon Date | 15-Aug-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1A. | ELECTION OF CLASS I TRUSTEE: MR. DANIEL L. BLACK | Management | For | |||||||||||||
| 1B. | ELECTION OF CLASS I TRUSTEE: MR. MICHAEL A. SMART | Management | For | |||||||||||||
| ROYCE MICRO-CAP TRUST, INC. | ||||||||||||||||
| Security | 780915104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | RMT | Meeting Date | 28-Sep-2017 | |||||||||||||
| ISIN | US7809151043 | Agenda | 934667962 - Management | |||||||||||||
| Record Date | 20-Jul-2017 | Holding Recon Date | 20-Jul-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | STEPHEN L. ISAACS | Split | For | Split | ||||||||||||
| 2 | CHRISTOPHER D. CLARK | Split | For | Split | ||||||||||||
| 3 | CHRISTOPHER C. GRISANTI | Split | For | Split | ||||||||||||
| LEGG MASON | ||||||||||||||||
| Security | 95766B109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | EHI | Meeting Date | 29-Sep-2017 | |||||||||||||
| ISIN | US95766B1098 | Agenda | 934674309 - Management | |||||||||||||
| Record Date | 25-Jul-2017 | Holding Recon Date | 25-Jul-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Sep-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | CAROL L. COLMAN | For | ||||||||||||||
| 2 | DANIEL P. CRONIN | For | ||||||||||||||
| 3 | PAOLO M. CUCCHI | For | ||||||||||||||
| ANDINA ACQUISITION CORP II | ||||||||||||||||
| Security | G0441P104 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | ANDA | Meeting Date | 31-Oct-2017 | |||||||||||||
| ISIN | KYG0441P1046 | Agenda | 934690860 - Management | |||||||||||||
| Record Date | 03-Oct-2017 | Holding Recon Date | 03-Oct-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 30-Oct-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | EXTENSION OF CORPORATE LIFE: AMEND THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE THAT THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION TO FEBRUARY 1, 2018 | Management | For | For | For | |||||||||||
| 1A. | ONLY IF YOU HOLD ORDINARY SHARES OF THE COMPANY ISSUED IN THE COMPANY'S INITIAL PUBLIC OFFERING, OR PUBLIC SHARES, MAY YOU EXERCISE YOUR CONVERSION RIGHTS WITH RESPECT TO ALL OR A PORTION OF YOUR PUBLIC SHARES BY MARKING THE "FOR" BOX BELOW AND INDICATING HOW MANY PUBLIC ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). | Management | Against | Take No Action | ||||||||||||
| MVC CAPITAL, INC. | ||||||||||||||||
| Security | 553829102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MVC | Meeting Date | 31-Oct-2017 | |||||||||||||
| ISIN | US5538291023 | Agenda | 934681304 - Management | |||||||||||||
| Record Date | 01-Sep-2017 | Holding Recon Date | 01-Sep-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 30-Oct-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | EMILIO DOMINIANNI | Split | For | Split | ||||||||||||
| 2 | PHILLIP GOLDSTEIN | Split | For | Split | ||||||||||||
| 3 | GERALD HELLERMAN | Split | For | Split | ||||||||||||
| 4 | WARREN HOLTSBERG | Split | For | Split | ||||||||||||
| 5 | ROBERT KNAPP | Split | For | Split | ||||||||||||
| 6 | WILLIAM TAYLOR | Split | For | Split | ||||||||||||
| 7 | MICHAEL TOKARZ | Split | For | Split | ||||||||||||
| 2. | TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017. | Management | Split | For | Split | |||||||||||
| 3. | SHAREHOLDER PROPOSAL TO CEASE TO MAKE ANY NEW INVESTMENTS, AND FOR THE COMPANY TO RETURN ANY CAPITAL IN EXCESS OF THE COMPANY'S NORMAL WORKING CAPITAL REQUIREMENTS TO SHAREHOLDERS IN THE MOST TAX- EFFICIENT MANNER AS LONG AS THE STOCK PRICE DISCOUNT TO NET ASSET VALUE EXCEEDS 10%. | Shareholder | Split | Against | Split | |||||||||||
| INSIGHT INVESTMENTS | ||||||||||||||||
| Security | 56165R103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MZF | Meeting Date | 06-Dec-2017 | |||||||||||||
| ISIN | US56165R1032 | Agenda | 934685516 - Management | |||||||||||||
| Record Date | 18-Sep-2017 | Holding Recon Date | 18-Sep-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-Dec-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | ELLEN D. HARVEY | Split | For | Split | ||||||||||||
| SPECIAL OPPORTUNITIES FUND, INC | ||||||||||||||||
| Security | 84741T104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | SPE | Meeting Date | 07-Dec-2017 | |||||||||||||
| ISIN | US84741T1043 | Agenda | 934698981 - Management | |||||||||||||
| Record Date | 18-Oct-2017 | Holding Recon Date | 18-Oct-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Dec-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | MR. ANDREW DAKOS | Split | For | Split | ||||||||||||
| 2 | MR. GERALD HELLERMAN | Split | For | Split | ||||||||||||
| 3 | MR. CHARLES WALDEN | Split | For | Split | ||||||||||||
| 4 | MR. BEN HARRIS | Split | For | Split | ||||||||||||
| AMERICAN CAPITAL SENIOR FLOATING LTD | ||||||||||||||||
| Security | 02504D108 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ACSF | Meeting Date | 14-Dec-2017 | |||||||||||||
| ISIN | US02504D1081 | Agenda | 934696723 - Management | |||||||||||||
| Record Date | 19-Oct-2017 | Holding Recon Date | 19-Oct-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Dec-2017 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1A. | ELECTION OF DIRECTOR: PHYLLIS R. CALDWELL | Management | Split | For | Split | |||||||||||
| 1B. | ELECTION OF DIRECTOR: GIL CRAWFORD | Management | Split | For | Split | |||||||||||
| 1C. | ELECTION OF DIRECTOR: LARRY K. HARVEY | Management | Split | For | Split | |||||||||||
| 1D. | ELECTION OF DIRECTOR: KEVIN R. BRADDISH | Management | Split | For | Split | |||||||||||
| 2. | TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. | Management | Split | For | Split | |||||||||||
| ANDINA ACQUISITION CORP II | ||||||||||||||||
| Security | G0441P104 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | ANDA | Meeting Date | 31-Jan-2018 | |||||||||||||
| ISIN | KYG0441P1046 | Agenda | 934720435 - Management | |||||||||||||
| Record Date | 10-Jan-2018 | Holding Recon Date | 10-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 30-Jan-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | Extension of Corporate Life. Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination to April 1, 2018. | Management | For | For | For | |||||||||||
| 1a. | TO CONVERT ORDINARY SHARES OF THE COMPANY | Management | Against | Take No Action | ||||||||||||
| EATON VANCE SHORT DURATION DIV INCOME FD | ||||||||||||||||
| Security | 27828V104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | EVG | Meeting Date | 15-Feb-2018 | |||||||||||||
| ISIN | US27828V1044 | Agenda | 934716296 - Management | |||||||||||||
| Record Date | 05-Dec-2017 | Holding Recon Date | 05-Dec-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Feb-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | THOMAS E. FAUST JR. | Split | For | Split | ||||||||||||
| 2 | CYNTHIA E. FROST | Split | For | Split | ||||||||||||
| 3 | SCOTT E. WENNERHOLM | Split | For | Split | ||||||||||||
| LEGG MASON | ||||||||||||||||
| Security | 10537L104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | BWG | Meeting Date | 23-Feb-2018 | |||||||||||||
| ISIN | US10537L1044 | Agenda | 934723506 - Management | |||||||||||||
| Record Date | 03-Jan-2018 | Holding Recon Date | 03-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Feb-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Robert D. Agdern | Split | For | Split | ||||||||||||
| 2 | Eileen Kamerick | Split | For | Split | ||||||||||||
| 3 | Riordan Roett | Split | For | Split | ||||||||||||
| PRUDENTIAL INVESTMENTS CLOSED END FUNDS | ||||||||||||||||
| Security | 74442F107 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ISD | Meeting Date | 09-Mar-2018 | |||||||||||||
| ISIN | US74442F1075 | Agenda | 934717755 - Management | |||||||||||||
| Record Date | 15-Dec-2017 | Holding Recon Date | 15-Dec-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Mar-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | SCOTT E. BENJAMIN | Split | For | Split | ||||||||||||
| 2 | LINDA W. BYNOE | Split | For | Split | ||||||||||||
| 3 | LAURIE SIMON HODRICK | Split | For | Split | ||||||||||||
| 4 | MICHAEL S. HYLAND, CFA | Split | For | Split | ||||||||||||
| PRUDENTIAL INVESTMENTS CLOSED END FUNDS | ||||||||||||||||
| Security | 74433A109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | GHY | Meeting Date | 09-Mar-2018 | |||||||||||||
| ISIN | US74433A1097 | Agenda | 934717767 - Management | |||||||||||||
| Record Date | 15-Dec-2017 | Holding Recon Date | 15-Dec-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Mar-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | SCOTT E. BENJAMIN | Split | For | Split | ||||||||||||
| 2 | LINDA W. BYNOE | Split | For | Split | ||||||||||||
| 3 | LAURIE SIMON HODRICK | Split | For | Split | ||||||||||||
| 4 | MICHAEL S. HYLAND, CFA | Split | For | Split | ||||||||||||
| ALPINE TOTAL DYNAMIC DIVIDEND FUND | ||||||||||||||||
| Security | 021060207 | Meeting Type | Contested-Special | |||||||||||||
| Ticker Symbol | AOD | Meeting Date | 14-Mar-2018 | |||||||||||||
| ISIN | US0210602076 | Agenda | 934719420 - Management | |||||||||||||
| Record Date | 14-Dec-2017 | Holding Recon Date | 14-Dec-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Mar-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | To approve a new investment advisory agreement between the Fund and Aberdeen Asset Managers Limited. | Management | Split | For | ||||||||||||
| 2. | DIRECTOR | Management | Split | |||||||||||||
| 1 | John Sievwright | Split | For | |||||||||||||
| 2 | P. Gerald Malone | Split | For | |||||||||||||
| 3 | Nancy Yao Maasbach | Split | For | |||||||||||||
| 4 | Martin Gilbert | Split | For | |||||||||||||
| ALPINE TOTAL DYNAMIC DIVIDEND FUND | ||||||||||||||||
| Security | 021060207 | Meeting Type | Contested-Special | |||||||||||||
| Ticker Symbol | AOD | Meeting Date | 14-Mar-2018 | |||||||||||||
| ISIN | US0210602076 | Agenda | 934727047 - Opposition | |||||||||||||
| Record Date | 14-Dec-2017 | Holding Recon Date | 14-Dec-2017 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Mar-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | To approve a new investment advisory agreement between the Fund and Aberdeen Asset Managers Limited. | Management | Split | Against | ||||||||||||
| 2A | John Sievwright - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) | Management | Split | Abstain | ||||||||||||
| 2B | P. Gerald Malone - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) | Management | Split | Abstain | ||||||||||||
| 2C | Nancy Yao Maasbach - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) | Management | Split | Abstain | ||||||||||||
| 2D | Martin Gilbert - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) | Management | Split | Abstain | ||||||||||||
| ANDINA ACQUISITION CORP II | ||||||||||||||||
| Security | G0441P104 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | ANDA | Meeting Date | 15-Mar-2018 | |||||||||||||
| ISIN | KYG0441P1046 | Agenda | 934730068 - Management | |||||||||||||
| Record Date | 12-Feb-2018 | Holding Recon Date | 12-Feb-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Mar-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1A. | The merger of Andina with and into Andina II Holdco Corp. ("Holdco"), with Holdco surviving and becoming a new public company. | Management | For | For | For | |||||||||||
| 1B. | The subsequent merger of Andina II Merger Sub Inc. with and into Lazy Days' R.V. Center, Inc. ("Lazydays"), with Lazydays surviving and becoming a direct wholly owned subsidiary of Holdco. | Management | For | For | For | |||||||||||
| 1C. | I HEREBY EXERCISE MY CONVERSION RIGHTS. | Management | For | Take No Action | ||||||||||||
| 2A. | Class A Director to serve until 2019: Jordan Gnat | Management | For | For | For | |||||||||||
| 2B. | Class B Director to serve until 2020: Bryan Rich, Jr. | Management | For | For | For | |||||||||||
| 2C. | Class B Director to serve until 2020: Jerry Comstock | Management | For | For | For | |||||||||||
| 2D. | Class B Director to serve until 2020: B. Luke Weil | Management | For | For | For | |||||||||||
| 2E. | Class C Director to serve until 2021: William Murnane | Management | For | For | For | |||||||||||
| 2F. | Class C Director to serve until 2021: Christopher S. Shackelton | Management | For | For | For | |||||||||||
| 2G. | Class C Director to serve until 2021: Jim Fredlake | Management | For | For | For | |||||||||||
| 3A. | To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: The name of the new public entity will be "Lazydays Holdings, Inc." as opposed to "Andina Acquisition Corp. II". | Management | For | For | For | |||||||||||
| 3B. | To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco will have 100,000,000 authorized shares of common stock and 5,000,000 authorized shares of preferred stock, as opposed to Andina having 100,000,000 authorized ordinary shares and 1,000,000 authorized preferred share | Management | For | For | For | |||||||||||
| 3C. | To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco's corporate existence will be perpetual as opposed to Andina's corporate existence terminating if a business combination is not consummated by Andina within a specified period of time. | Management | For | For | For | |||||||||||
| 3D. | To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco's constitutional documents will not include the various provisions applicable only to special purpose acquisition corporations that Andina's amended and restated memorandum and articles of association contains | Management | For | For | For | |||||||||||
| 4. | To approve the adoption of the Holdco 2018 Long-Term Incentive Equity Plan. | Management | For | For | For | |||||||||||
| 5. | To approve the sale of convertible preferred stock, common stock, and warrants of Holdco for an aggregate purchase price of $94.8 million in private placements which will close simultaneously with the consummation of the mergers. | Management | For | For | For | |||||||||||
| 6. | To adjourn the extraordinary general meeting to a later date or dates, if necessary, if Andina is unable to consummate the mergers for any reason. | Management | For | For | For | |||||||||||
| CORPORATE CAPITAL TRUST, INC. | ||||||||||||||||
| Security | 219880101 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | CCT | Meeting Date | 26-Mar-2018 | |||||||||||||
| ISIN | US2198801019 | Agenda | 934723734 - Management | |||||||||||||
| Record Date | 22-Jan-2018 | Holding Recon Date | 22-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Mar-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | To approve a new investment advisory agreement by and between the Company and KKR Credit Advisors (US) LLC ("KKR Credit") ("KKR Investment Co-Advisory Agreement") and a new investment advisory agreement by and between the Company and an affiliate of Franklin Square Holdings, L.P. ("FS Investments" and, such adviser, "FS Adviser") (the "FS Adviser Investment Co-Advisory Agreement" and, together with the KKR Investment Co- Advisory Agreement, the "Investment Co- Advisory Agreements"). | Management | Split | For | Split | |||||||||||
| 2. | To approve a new investment advisory by and between the Company and FS/KKR Advisor, LLC, a newly-formed investment adviser jointly operated by KKR Credit and an affiliate of FS Investments (the "Joint Advisor") (the "Joint Advisor Investment Advisory Agreement"), pursuant to which the Joint Advisor will act as investment adviser to the Company. | Management | Split | For | Split | |||||||||||
| FS INVESTMENT CORPORATION | ||||||||||||||||
| Security | 302635107 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | FSIC | Meeting Date | 26-Mar-2018 | |||||||||||||
| ISIN | US3026351078 | Agenda | 934723291 - Management | |||||||||||||
| Record Date | 18-Jan-2018 | Holding Recon Date | 18-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Mar-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | To approve a new investment advisory agreement, by and between the Company and FB Income Advisor, LLC ("FB Income Advisor") (the "FB Income Advisor Investment Co-Advisory Agreement"), and a new investment advisory agreement, by and between the Company and KKR Credit Advisors (US) LLC ("KKR Credit") (the "KKR Investment Co-Advisory Agreement" and, together with the FB Income Advisor Investment Co-Advisory Agreement, the "Investment Co-Advisory Agreements"). | Management | Split | For | Split | |||||||||||
| 2. | To approve a new investment advisory agreement, by and between the Company and FS/KKR Advisor, LLC, a newly-formed investment adviser jointly operated by an affiliate of Franklin Square Holdings, L.P. and KKR Credit (the "Joint Advisor") (the "Joint Advisor Investment Advisory Agreement"), pursuant to which the Joint Advisor will act as investment adviser to the Company. | Management | Split | For | Split | |||||||||||
| NUVEEN FUNDS | ||||||||||||||||
| Security | 670677103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | NIQ | Meeting Date | 11-Apr-2018 | |||||||||||||
| ISIN | US6706771036 | Agenda | 934734511 - Management | |||||||||||||
| Record Date | 29-Jan-2018 | Holding Recon Date | 29-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1A. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Margo L. Cook | Split | For | Split | ||||||||||||
| 2 | Jack B. Evans | Split | For | Split | ||||||||||||
| 3 | Albin F. Moschner | Split | For | Split | ||||||||||||
| NUVEEN FUNDS | ||||||||||||||||
| Security | 67074R100 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | JMT | Meeting Date | 11-Apr-2018 | |||||||||||||
| ISIN | US67074R1005 | Agenda | 934734523 - Management | |||||||||||||
| Record Date | 29-Jan-2018 | Holding Recon Date | 29-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1B. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Margo L. Cook | Split | For | Split | ||||||||||||
| 2 | Jack B. Evans | Split | For | Split | ||||||||||||
| 3 | Albin F. Moschner | Split | For | Split | ||||||||||||
| 4 | William J. Schneider | Split | For | Split | ||||||||||||
| NUVEEN FUNDS | ||||||||||||||||
| Security | 67077P101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | JEMD | Meeting Date | 11-Apr-2018 | |||||||||||||
| ISIN | US67077P1012 | Agenda | 934734523 - Management | |||||||||||||
| Record Date | 29-Jan-2018 | Holding Recon Date | 29-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1B. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Margo L. Cook | Split | For | Split | ||||||||||||
| 2 | Jack B. Evans | Split | For | Split | ||||||||||||
| 3 | Albin F. Moschner | Split | For | Split | ||||||||||||
| 4 | William J. Schneider | Split | For | Split | ||||||||||||
| NUVEEN FUNDS | ||||||||||||||||
| Security | 670735109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | JLS | Meeting Date | 11-Apr-2018 | |||||||||||||
| ISIN | US6707351093 | Agenda | 934734523 - Management | |||||||||||||
| Record Date | 29-Jan-2018 | Holding Recon Date | 29-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1B. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Margo L. Cook | Split | For | Split | ||||||||||||
| 2 | Jack B. Evans | Split | For | Split | ||||||||||||
| 3 | Albin F. Moschner | Split | For | Split | ||||||||||||
| 4 | William J. Schneider | Split | For | Split | ||||||||||||
| NUVEEN PREFERED & CONVERTIBLE INCOME 2 | ||||||||||||||||
| Security | 67073D102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | JQC | Meeting Date | 11-Apr-2018 | |||||||||||||
| ISIN | US67073D1028 | Agenda | 934734523 - Management | |||||||||||||
| Record Date | 29-Jan-2018 | Holding Recon Date | 29-Jan-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1B. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Margo L. Cook | Split | For | Split | ||||||||||||
| 2 | Jack B. Evans | Split | For | Split | ||||||||||||
| 3 | Albin F. Moschner | Split | For | Split | ||||||||||||
| 4 | William J. Schneider | Split | For | Split | ||||||||||||
| Reaves | ||||||||||||||||
| Security | 756158101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | UTG | Meeting Date | 11-Apr-2018 | |||||||||||||
| ISIN | US7561581015 | Agenda | 934737822 - Management | |||||||||||||
| Record Date | 12-Feb-2018 | Holding Recon Date | 12-Feb-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | E. Wayne Nordberg | Split | For | Split | ||||||||||||
| 2 | Larry W. Papasan | Split | For | Split | ||||||||||||
| CORNERSTONE STRATEGIC VALUE FUND, INC. | ||||||||||||||||
| Security | 21924B302 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | CLM | Meeting Date | 17-Apr-2018 | |||||||||||||
| ISIN | US21924B3024 | Agenda | 934735688 - Management | |||||||||||||
| Record Date | 20-Feb-2018 | Holding Recon Date | 20-Feb-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Robert E. Dean | Split | For | Split | ||||||||||||
| 2 | Matthew W. Morris | Split | For | Split | ||||||||||||
| 3 | Scott B. Rogers | Split | For | 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. | Management | Split | For | Split | |||||||||||
| EATON VANCE FLOATING RATE 2022 | ||||||||||||||||
| Security | 27831H100 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | EFL | Meeting Date | 19-Apr-2018 | |||||||||||||
| ISIN | US27831H1005 | Agenda | 934732593 - Management | |||||||||||||
| Record Date | 06-Feb-2018 | Holding Recon Date | 06-Feb-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Thomas E. Faust Jr. | Split | For | Split | ||||||||||||
| 2 | Mark R. Fetting | Split | For | Split | ||||||||||||
| LAZARD WORLD DIVIDEND & INCOME FD, INC. | ||||||||||||||||
| Security | 521076109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | LOR | Meeting Date | 20-Apr-2018 | |||||||||||||
| ISIN | US5210761095 | Agenda | 934747722 - Management | |||||||||||||
| Record Date | 09-Mar-2018 | Holding Recon Date | 09-Mar-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Franci J. Blassberg | Split | For | Split | ||||||||||||
| 2 | Richard Reiss, Jr. | Split | For | Split | ||||||||||||
| 3 | Ashish Bhutani | Split | For | Split | ||||||||||||
| MORGAN STANLEY TRUSTS | ||||||||||||||||
| Security | 61745P874 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | ICB | Meeting Date | 20-Apr-2018 | |||||||||||||
| ISIN | US61745P8749 | Agenda | 934746504 - Management | |||||||||||||
| Record Date | 23-Feb-2018 | Holding Recon Date | 23-Feb-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | To consider and vote upon a proposal to approve the actions and transactions described in that certain Agreement and Plan of Reorganization, dated January 22, 2018, between Morgan Stanley Income Securities Inc. (the "Acquired Fund") and Morgan Stanley Institutional Fund Trust, on behalf of the Corporate Bond Portfolio (the "Acquiring Fund") (the "Reorganization"). | Management | Split | For | Split | |||||||||||
| PIMCO | ||||||||||||||||
| Security | 72202D106 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | PCI | Meeting Date | 27-Apr-2018 | |||||||||||||
| ISIN | US72202D1063 | Agenda | 934750363 - Management | |||||||||||||
| Record Date | 26-Feb-2018 | Holding Recon Date | 26-Feb-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Apr-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Craig A. Dawson | Split | For | Split | ||||||||||||
| 2 | Bradford K. Gallagher | Split | For | Split | ||||||||||||
| 3 | James A. Jacobson | Split | For | Split | ||||||||||||
| GARRISON CAPITAL INC. | ||||||||||||||||
| Security | 366554103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | GARS | Meeting Date | 02-May-2018 | |||||||||||||
| ISIN | US3665541039 | Agenda | 934741491 - Management | |||||||||||||
| Record Date | 07-Mar-2018 | Holding Recon Date | 07-Mar-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-May-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1A. | Election of Director: Brian Chase | Management | Split | For | Split | |||||||||||
| 1B. | Election of Director: Joseph Morea | Management | Split | For | Split | |||||||||||
| 2. | Ratification of selection of RSM US LLP to serve as independent registered public accounting firm for fiscal year ending December 31, 2018. | Management | Split | For | Split | |||||||||||
| THE GABELLI EQUITY TRUST INC. | ||||||||||||||||
| Security | 362397101 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | GAB | Meeting Date | 14-May-2018 | |||||||||||||
| ISIN | US3623971013 | Agenda | 934764867 - Management | |||||||||||||
| Record Date | 16-Mar-2018 | Holding Recon Date | 16-Mar-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Michael J. Ferrantino | Split | For | Split | ||||||||||||
| NATIONAL ENERGY SERVICES REUNITED CORP. | ||||||||||||||||
| Security | G6375R107 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | NESR | Meeting Date | 18-May-2018 | |||||||||||||
| ISIN | VGG6375R1073 | Agenda | 934822051 - Management | |||||||||||||
| Record Date | 27-Apr-2018 | Holding Recon Date | 27-Apr-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | The Business Combination Proposal: To consider and vote upon a proposal to approve and authorize the Stock Purchase Agreements, the Contribution Agreements, the Shares Exchange Agreement and related contracts, as they may be amended, by and among NESR and NPS Holding Company Ltd. and Gulf Energy S.A.O.C., and the transactions contemplated thereby (the "Business Combination"). | Management | For | For | For | |||||||||||
| 2. | DIRECTOR | Management | ||||||||||||||
| 1 | Antonio J. Campo Mejia | For | For | For | ||||||||||||
| 2 | Hala Zeibak | For | For | For | ||||||||||||
| 3. | The NASDAQ Proposal: To approve, for purposes of complying with applicable NASDAQ listing rules, the issuance of more than 20% of the Company's issued and outstanding ordinary shares, which NASDAQ may deem to be a change of control, pursuant to the Business Combination or any private placement in connection with the Backstop Commitment. | Management | For | For | For | |||||||||||
| 4. | The Incentive Plan Proposal: To approve and adopt the NESR 2018 Long Term Incentive Plan. | Management | For | For | For | |||||||||||
| 5. | The Adjournment Proposal: To consider and vote upon a proposal to approve the adjournment of the meeting of shareholders to a later date, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the meeting, there are not sufficient votes to approve Proposals 1, 2, 3 and 4. | Management | For | For | For | |||||||||||
| TORTOISE ENERGY INFRASTRUCTURE CORP. | ||||||||||||||||
| Security | 89147L100 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | TYG | Meeting Date | 18-May-2018 | |||||||||||||
| ISIN | US89147L1008 | Agenda | 934782550 - Management | |||||||||||||
| Record Date | 13-Mar-2018 | Holding Recon Date | 13-Mar-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Rand C. Berney | Split | For | Split | ||||||||||||
| 2. | Ratification of Ernst & Young LLP as the Company's independent registered public accounting firm to audit the financial statements of the Company for the fiscal year ending November 30, 2018. | Management | Split | For | Split | |||||||||||
| VIRTUS MUTUAL FUNDS | ||||||||||||||||
| Security | 92837G100 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | ZF | Meeting Date | 22-May-2018 | |||||||||||||
| ISIN | US92837G1004 | Agenda | 934795331 - Management | |||||||||||||
| Record Date | 02-Apr-2018 | Holding Recon Date | 02-Apr-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-May-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1e. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | James M. Oates | Split | For | Split | ||||||||||||
| 2 | James B. Rogers, Jr. | Split | For | Split | ||||||||||||
| EAGLE GROWTH & INCOME OPPORTUNITIES FD | ||||||||||||||||
| Security | 26958J105 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | EGIF | Meeting Date | 24-May-2018 | |||||||||||||
| ISIN | US26958J1051 | Agenda | 934792474 - Management | |||||||||||||
| Record Date | 05-Apr-2018 | Holding Recon Date | 05-Apr-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-May-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1.1 | Election of Class II Trustee: Ronald J. Burton | Management | Split | For | Split | |||||||||||
| 1.2 | Election of Class II Trustee: Steven A. Baffico | Management | Split | For | Split | |||||||||||
| WESTERN ASSET/CLAYMORE LINKED OPP & INC | ||||||||||||||||
| Security | 95766R104 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | WIW | Meeting Date | 30-May-2018 | |||||||||||||
| ISIN | US95766R1041 | Agenda | 934788615 - Management | |||||||||||||
| Record Date | 27-Mar-2018 | Holding Recon Date | 27-Mar-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-May-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1a. | Election of Trustee: Ronald A. Nyberg | Management | Split | For | Split | |||||||||||
| 2a. | a new investment advisory agreement between the Fund and Western Asset Management Company ("Western Asset") | Management | Split | For | Split | |||||||||||
| 2b. | a new sub-advisory agreement between Western Asset and Western Asset Management Company Limited with respect to the Fund | Management | Split | For | Split | |||||||||||
| 2c. | a new sub-advisory agreement between Western Asset and Western Asset Management Company Ltd with respect to the Fund | Management | Split | For | Split | |||||||||||
| 2d. | a new sub-advisory agreement between Western Asset and Western Asset Management Company Pte. Ltd. with respect to the Fund | Management | Split | For | Split | |||||||||||
| OHA INVESTMENT CORPORATION | ||||||||||||||||
| Security | 67091U102 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | OHAI | Meeting Date | 05-Jun-2018 | |||||||||||||
| ISIN | US67091U1025 | Agenda | 934804851 - Management | |||||||||||||
| Record Date | 13-Apr-2018 | Holding Recon Date | 13-Apr-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1.1 | Election of Class II Director: Frank V. Tannura | Management | Split | For | Split | |||||||||||
| 1.2 | Election of Class II Director: Alan M. Schrager | Management | Split | For | Split | |||||||||||
| 2. | To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2018. | Management | Split | For | Split | |||||||||||
| THE INDIA FUND, INC. | ||||||||||||||||
| Security | 454089103 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | IFN | Meeting Date | 20-Jun-2018 | |||||||||||||
| ISIN | US4540891037 | Agenda | 934822734 - Management | |||||||||||||
| Record Date | 27-Apr-2018 | Holding Recon Date | 27-Apr-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1.1 | Election of Class I Director: Nisha Kumar | Management | Split | For | Split | |||||||||||
| 1.2 | Election of Class I Director: Martin Gilbert | Management | Split | For | Split | |||||||||||
| 1.3 | Election of Class I Director: Jeswald Salacuse | Management | Split | For | Split | |||||||||||
| MORGAN STANLEY EMER MKTS DEBT FUND, INC. | ||||||||||||||||
| Security | 61744H105 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MSD | Meeting Date | 21-Jun-2018 | |||||||||||||
| ISIN | US61744H1059 | Agenda | 934825831 - Management | |||||||||||||
| Record Date | 06-Apr-2018 | Holding Recon Date | 06-Apr-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Nancy C. Everett | For | ||||||||||||||
| 2 | Michael F. Klein | For | ||||||||||||||
| 3 | W. Allen Reed | For | ||||||||||||||
| MORGAN STANLEY EMERGING MARKETS FD, INC. | ||||||||||||||||
| Security | 61744G107 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | MSF | Meeting Date | 21-Jun-2018 | |||||||||||||
| ISIN | US61744G1076 | Agenda | 934825831 - Management | |||||||||||||
| Record Date | 06-Apr-2018 | Holding Recon Date | 06-Apr-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | Nancy C. Everett | For | ||||||||||||||
| 2 | Michael F. Klein | For | ||||||||||||||
| 3 | W. Allen Reed | For | ||||||||||||||
| HIGHLAND FUNDS | ||||||||||||||||
| Security | 43010E404 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | HFRO | Meeting Date | 22-Jun-2018 | |||||||||||||
| ISIN | US43010E4044 | Agenda | 934841075 - Management | |||||||||||||
| Record Date | 21-May-2018 | Holding Recon Date | 21-May-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | John Honis | For | ||||||||||||||
| 2 | Dustin Norris | For | ||||||||||||||
| NEXPOINT FUNDS | ||||||||||||||||
| Security | 65340G205 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | NHF | Meeting Date | 22-Jun-2018 | |||||||||||||
| ISIN | US65340G2057 | Agenda | 934841099 - Management | |||||||||||||
| Record Date | 21-May-2018 | Holding Recon Date | 21-May-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||
| 1 | John Honis | For | ||||||||||||||
| 2 | Dustin Norris | For | ||||||||||||||
| AMERICAN CAPITAL SENIOR FLOATING LTD | ||||||||||||||||
| Security | 02504D108 | Meeting Type | Special | |||||||||||||
| Ticker Symbol | ACSF | Meeting Date | 28-Jun-2018 | |||||||||||||
| ISIN | US02504D1081 | Agenda | 934840251 - Management | |||||||||||||
| Record Date | 17-May-2018 | Holding Recon Date | 17-May-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | To consider and vote upon a proposal to approve the Plan of Complete Liquidation and Dissolution of the Company (the "Plan"), including the sale of all or substantially all of the Company's assets and the dissolution of the Company pursuant to the Plan. | Management | For | For | For | |||||||||||
| Kayne | ||||||||||||||||
| Security | 486606106 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | KYN | Meeting Date | 28-Jun-2018 | |||||||||||||
| ISIN | US4866061066 | Agenda | 934844312 - Management | |||||||||||||
| Record Date | 21-May-2018 | Holding Recon Date | 21-May-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1a. | THE ELECTION OF ALBERT L. RICHEY AS DIRECTOR FOR A TERM OF ONE YEAR AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | Management | Split | For | Split | |||||||||||
| 1b. | THE ELECTION OF WILLIAM R. CORDES AS DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | Management | Split | For | Split | |||||||||||
| 1c. | THE ELECTION OF BARRY R. PEARL AS DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | Management | Split | For | Split | |||||||||||
| 1d. | THE ELECTION OF KEVIN S. MCCARTHY AS DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | Management | Split | For | Split | |||||||||||
| 1e. | THE ELECTION OF WILLIAM L. THACKER AS DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. | Management | Split | For | Split | |||||||||||
| 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2018. | Management | Split | For | Split | |||||||||||
| TEMPLETON EMERGING MKTS INCOME FUND | ||||||||||||||||
| Security | 880192109 | Meeting Type | Annual | |||||||||||||
| Ticker Symbol | TEI | Meeting Date | 29-Jun-2018 | |||||||||||||
| ISIN | US8801921094 | Agenda | 934785924 - Management | |||||||||||||
| Record Date | 28-Mar-2018 | Holding Recon Date | 28-Mar-2018 | |||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Jun-2018 | |||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | For/Against Management | |||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||
| 1 | Ann Torre Bates | Split | For | Split | ||||||||||||
| 2 | David W. Niemiec | Split | For | Split | ||||||||||||
| 3 | Larry D. Thompson | Split | For | Split | ||||||||||||
| 4 | Robert E. Wade | Split | For | Split | ||||||||||||
| 2. | To approve the elimination of the fundamental investment policy requiring the Fund to invest at least 65% of its total assets in U.S. dollar-denominated securities | Management | Split | For | Split | |||||||||||
| 3. | To approve an amended fundamental investment restriction regarding investments in commodities | Management | Split | For | Split | |||||||||||
| 4. | The ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2018 | Management | Split | For | Split | |||||||||||
| (a) | (b) | (c) | (d) | (e) | (f) | (g) | (h) | (i) |
| 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 |
| MADISON STRATEGIC SECTOR PREMIUM FUND | MSP | 558268108 | 8/22/2017 | Two director seats | Issuer | No | Not Voted | Not Voted |
| MADISON STRATEGIC SECTOR PREMIUM FUND | MSP | 558268108 | 8/22/2017 | Termination of investment advisory agreement | Issuer | No | Not Voted | Not Voted |
| MADISON STRATEGIC SECTOR PREMIUM FUND | MSP | 558268108 | 8/22/2017 | Self-tender offer | Security Holder | No | Not Voted | Not Voted |
| MADISON COVERED CALL & EQUITY STRGY FUND | MCN | 557437100 | 9/15/2017 | Issuance of additional common shares | Issuer | No | Not Voted | Not Voted |
| MADISON STRATEGIC SECTOR PREMIUM FUND | MSP | 558268108 | 9/15/2017 | Reorginazation between MSP and MCN and transactions contemplated thereby, including the merger of MSP into MCN | Issuer | No | Not Voted | Not Voted |
| MADISON STRATEGIC SECTOR PREMIUM FUND | MSP | 558268108 | 9/15/2017 | Issuer | No | Not Voted | Not Voted | |
| MADISON STRATEGIC SECTOR PREMIUM FUND | MSP | 558268108 | 9/15/2017 | Security Holder | No | Not Voted | Not Voted | |
| DEUTSCHE HIGH INC OPPORTUNITIES FUND INC | DHG | 25158Y102 | 9/20/2017 | Four director seats | Issuer | No | Not Voted | Not Voted |
| GUGGENHEIM FUNDS | AGC | 007639107 | 9/27/2017 | Two trustee seats | Issuer | No | Not Voted | Not Voted |
| GUGGENHEIM FUNDS | AVK | 00764C109 | 9/27/2017 | Two trustee seats | Issuer | No | Not Voted | Not Voted |
| GUGGENHEIM FUNDS | LCM | 00765E104 | 9/27/2017 | Two trustee seats | Issuer | No | Not Voted | Not Voted |
| LEGG MASON | EHI | 95766B109 | 9/29/2017 | Three director seats | Issuer | No | Not Voted | Not Voted |
| MORGAN STANLEY EMER MKTS DEBT FUND, INC. | MSD | 61744H105 | 6/21/2018 | Three director seats | Issuer | No | Not Voted | Not Voted |
| MORGAN STANLEY EMERGING MARKETS FD, INC. | MSF | 61744G107 | 6/21/2018 | Three director seats | Issuer | No | Not Voted | Not Voted |
| HIGHLAND FUNDS | HFRO | 43010E404 | 6/22/2018 | Two director seats | Issuer | No | Not Voted | Not Voted |
| NEXPOINT FUNDS | NHF | 65340G205 | 6/22/2018 | Two director seats | Issuer | No | Not Voted | Not Voted |
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/ Jeremy O. May | ||
| Jeremy O. May | |||
| President | |||
| Date: | August 30, 2018 | ||
