RiverNorth Opportunities Fund, Inc.
| Vote Summary |
| | VOYA PRIME RATE TRUST | | |
| | Security | 92913A100 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | PPR | | | | | | | | Meeting Date | 09-Jul-2019 | |
| | ISIN | US92913A1007 | | | | | | | | Agenda | 935033415 - Management | |
| | Record Date | 15-Apr-2019 | | | | | | | | Holding Recon Date | 15-Apr-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 08-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Colleen D. Baldwin | Split | | For | | | | | |
| | | | 2 | John V. Boyer | Split | | For | | | | | |
| | | | 3 | Patricia W. Chadwick | Split | | For | | | | | |
| | | | 4 | Martin J. Gavin | Split | | For | | | | | |
| | | | 5 | Russell H. Jones | Split | | For | | | | | |
| | | | 6 | Joseph E. Obermeyer | Split | | For | | | | | |
| | | | 7 | Sheryl K. Pressler | Split | | For | | | | | |
| | | | 8 | Dina Santoro | Split | | For | | | | | |
| | | | 9 | Christopher P. Sullivan | Split | | For | | | | | |
| | | | 10 | Roger B. Vincent | Split | | For | | | | | |
| | BLACK RIDGE ACQUISITION CORP. | | |
| | Security | 09216T107 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BRAC | | | | | | | | Meeting Date | 09-Jul-2019 | |
| | ISIN | US09216T1079 | | | | | | | | Agenda | 935058316 - Management | |
| | Record Date | 10-Jun-2019 | | | | | | | | Holding Recon Date | 10-Jun-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 08-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to August 10, 2019. | Management | For | | For | | | | | |
| | THUNDER BRIDGE ACQUISITION, LTD. | | |
| | Security | G8857R100 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | TBRG | | | | | | | | Meeting Date | 10-Jul-2019 | |
| | ISIN | KYG8857R1002 | | | | | | | | Agenda | 935056742 - Management | |
| | Record Date | 24-May-2019 | | | | | | | | Holding Recon Date | 24-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 09-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Domestication Proposal - To approve the following resolution to change the corporate structure and domicile of Thunder Bridge by way of continuation from an exempted company incorporated under the laws of the Cayman Islands to a corporation incorporated under the laws of the State of Delaware. "It is resolved as special resolutions that Thunder Bridge Acquisition, Ltd. be de-registered in the Cayman Islands pursuant to Article 47 of the Amended and Restated Articles of Association of ...(due to space limits, see proxy material for full proposal). | Management | For | | For | | | | | |
| | 2. | The Business Combination Proposal - To approve the following resolution to approve and adopt the Second Amended and Restated Agreement and Plan of Merger dated effective as of January 21, 2019 (as amended or supplemented from time to time, the "Merger Agreement") by and among Thunder Bridge, TB Acquisition Merger Sub LLC ("Merger Sub"), Hawk Parent Holdings LLC ("Repay") and, solely in its capacity as the securityholder representative thereunder, CC Payment Holdings, L.L.C., and the transactions ...(due to space limits, see proxy material for full proposal). | Management | For | | For | | | | | |
| | 3. | The 2019 Equity Incentive Plan Proposal - To approve the following resolution to approve and adopt the Repay Holdings Corporation Omnibus Incentive Plan (the "2019 Equity Incentive Plan"). "It is resolved as an ordinary resolution that the 2019 Equity Incentive Plan be approved and adopted in all respects." | Management | For | | For | | | | | |
| | 4. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Richard E. Thornburgh | For | | For | | | | | |
| | | | 2 | Paul R. Garcia | For | | For | | | | | |
| | | | 3 | Shaler Alias | For | | For | | | | | |
| | | | 4 | Jeremy Schein | For | | For | | | | | |
| | | | 5 | Robert H. Hartheimer | For | | For | | | | | |
| | | | 6 | Maryann Goebel | For | | For | | | | | |
| | | | 7 | William Jacobs | For | | For | | | | | |
| | | | 8 | John Morris | For | | For | | | | | |
| | | | 9 | Peter J. Kight | For | | For | | | | | |
| | 5. | The Articles Amendment Proposal - To approve the following resolution to approve and adopt the amendments to the Articles in the Memorandum and Articles of Association so that the prohibition on Thunder Bridge having net tangible assets of less than US$5,000,001 upon the completion of a business combination is revised to apply immediately prior to the completion of a business combination and measures only the net tangible assets of Thunder Bridge, without regard to the assets or liabilities ...(due to space limits, see proxy material for full proposal). | Management | For | | For | | | | | |
| | 6. | The Nasdaq Proposal - To approve the following resolution, which shall approve, for purposes of complying with Nasdaq Listing Rule 5635(d), the issuance of 13.5 million Class A ordinary shares in the PIPE Financing (as defined in the accompanying proxy statement/prospectus), in connection with the completion of the Business Combination. "It is resolved as an ordinary resolution that the issuance of 13.5 million Class A ordinary shares in the PIPE Financing be approved and adopted in all respects." | Management | For | | For | | | | | |
| | 7. | The Shareholder Adjournment Proposal - To approve the following resolution to adjourn the Shareholders Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies if it is determined by Thunder Bridge that more time is necessary or appropriate to approve one or more proposals at the Shareholders Meeting. "It is resolved as an ordinary resolution that the adjournment of the Shareholders Meeting to a later date or dates, if necessary to permit further ...(due to space limits, see proxy material for full proposal). | Management | For | | For | | | | | |
| | 7a. | 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 Thunder Bridge owned by me. I further certify that I am not exercising Redemption Rights with respect to 15% or more of Thunder Bridge's Public Shares. | Management | For | | None | | | | | |
| | THUNDER BRIDGE ACQUISITION, LTD. | | |
| | Security | G8857R126 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | TBRGW | | | | | | | | Meeting Date | 10-Jul-2019 | |
| | ISIN | KYG8857R1267 | | | | | | | | Agenda | 935056754 - Management | |
| | Record Date | 24-May-2019 | | | | | | | | Holding Recon Date | 24-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 09-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Warrant Amendment Proposal - To approve and adopt an amendment to the warrant agreement that governs all of Thunder Bridge's outstanding warrants to provide that, immediately prior to the consummation of the Business Combination (as defined in the proxy statement/prospectus), (i) each of Thunder Bridge's outstanding warrants, which currently entitle the holder thereof to purchase one Class A ordinary share of Thunder Bridge at an exercise price of $11.50 per share, will become exercisable for ...(due to space limits, see proxy material for full proposal). | Management | For | | For | | | | | |
| | 2. | The Warrant Holders Adjournment Proposal - To approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies if it is determined by Thunder Bridge that more time is necessary or appropriate to approve the Warrant Amendment Proposal. | Management | For | | For | | | | | |
| | ALLIANZGI CONVERTIBLE & INCOME II | | |
| | Security | 018825802 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NCZPRA | | | | | | | | Meeting Date | 11-Jul-2019 | |
| | ISIN | US0188258026 | | | | | | | | Agenda | 935051627 - Management | |
| | Record Date | 16-May-2019 | | | | | | | | Holding Recon Date | 16-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 10-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1a. | Election of Trustee: William B. Ogden, IV | Management | Split | | For | | | | | |
| | 1b. | Election of Trustee: Sarah E. Cogan | Management | Split | | For | | | | | |
| | 1c. | Election of Trustee: Thomas J. Fuccillo | Management | Split | | For | | | | | |
| | 1d. | Election of Trustee: Erick R. Holt | Management | Split | | For | | | | | |
| | 1e. | Election of Trustee: Alan Rappaport | Management | Split | | For | | | | | |
| | ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST | | |
| | Security | 01883A107 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NFJ | | | | | | | | Meeting Date | 11-Jul-2019 | |
| | ISIN | US01883A1079 | | | | | | | | Agenda | 935051653 - Opposition | |
| | Record Date | 16-May-2019 | | | | | | | | Holding Recon Date | 16-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 10-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1a. | Election of Trustee: Deborah A. DeCotis | Management | Split | | For | | | | | |
| | 1b. | Election of Trustee: Bradford K. Gallagher | Management | Split | | For | | | | | |
| | 1c. | Election of Trustee: James A. Jacobson | Management | Split | | For | | | | | |
| | 1d. | Election of Trustee: Erick R. Holt | Management | Split | | For | | | | | |
| | 1e. | Election of Trustee: Sarah E. Cogan | Management | Split | | For | | | | | |
| | 1f. | Election of Trustee: Thomas J Fuccillo | Management | Split | | For | | | | | |
| | ALLIANZGI CONVERTIBLE & INCOME 2024 | | |
| | Security | 01883H102 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | CBH | | | | | | | | Meeting Date | 11-Jul-2019 | |
| | ISIN | US01883H1023 | | | | | | | | Agenda | 935051665 - Opposition | |
| | Record Date | 16-May-2019 | | | | | | | | Holding Recon Date | 16-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 10-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1a. | Election of Trustee: F. Ford Drummond | Management | Split | | For | | | | | |
| | 1b. | Election of Trustee: James A. Jacobson | Management | Split | | For | | | | | |
| | 1c. | Election of Trustee: James S. MacLeod | Management | Split | | For | | | | | |
| | 1d. | Election of Trustee: Sarah E. Cogan | Management | Split | | For | | | | | |
| | 1e. | Election of Trustee: Thomas J. Fuccillo | Management | Split | | For | | | | | |
| | CLOUGH GLOBAL OPPORTUNITIES FUND | | |
| | Security | 18914E106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | GLO | | | | | | | | Meeting Date | 16-Jul-2019 | |
| | ISIN | US18914E1064 | | | | | | | | Agenda | 935049228 - Management | |
| | Record Date | 20-May-2019 | | | | | | | | Holding Recon Date | 20-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 3. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Adam D. Crescenzi | Split | | For | | | | | |
| | | | 2 | Jerry G. Rutledge | Split | | For | | | | | |
| | CLOUGH GLOBAL OPPORTUNITIES FUND | | |
| | Security | 18914E106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | GLO | | | | | | | | Meeting Date | 16-Jul-2019 | |
| | ISIN | US18914E1064 | | | | | | | | Agenda | 935049228 - Management | |
| | Record Date | 20-May-2019 | | | | | | | | Holding Recon Date | 20-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 3. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Adam D. Crescenzi | Split | | For | | | | | |
| | | | 2 | Jerry G. Rutledge | Split | | For | | | | | |
| | BLACKROCK RESOURCES & COMMODITIES STRAT | | |
| | Security | 09257A108 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | BCX | | | | | | | | Meeting Date | 29-Jul-2019 | |
| | ISIN | US09257A1088 | | | | | | | | Agenda | 935052592 - Management | |
| | Record Date | 30-May-2019 | | | | | | | | Holding Recon Date | 30-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 26-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | | |
| | | | 2 | Cynthia L. Egan | Split | | For | | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | | |
| | BLACKROCK NY INSURED MUNICIPAL INCOME TR | | |
| | Security | 09249U105 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | BSE | | | | | | | | Meeting Date | 29-Jul-2019 | |
| | ISIN | US09249U1051 | | | | | | | | Agenda | 935052592 - Management | |
| | Record Date | 30-May-2019 | | | | | | | | Holding Recon Date | 30-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 26-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | | |
| | | | 2 | Cynthia L. Egan | Split | | For | | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | | |
| | BLACKROCK CALIFORNIA MUNICIPAL INCOME TR | | |
| | Security | 09248E102 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | BFZ | | | | | | | | Meeting Date | 29-Jul-2019 | |
| | ISIN | US09248E1029 | | | | | | | | Agenda | 935052592 - Management | |
| | Record Date | 30-May-2019 | | | | | | | | Holding Recon Date | 30-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 26-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | | |
| | | | 2 | Cynthia L. Egan | Split | | For | | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | | |
| | BLACKROCK DEBT STRATEGIES FD INC | | |
| | Security | 09255R202 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | DSU | | | | | | | | Meeting Date | 29-Jul-2019 | |
| | ISIN | US09255R2022 | | | | | | | | Agenda | 935052605 - Management | |
| | Record Date | 30-May-2019 | | | | | | | | Holding Recon Date | 30-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 26-Jul-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | | |
| | | | 2 | Frank J. Fabozzi | Split | | For | | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | | |
| | NUVEEN AMT FREE QUALITY MUNI INC FD | | |
| | Security | 670657105 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NEA | | | | | | | | Meeting Date | 07-Aug-2019 | |
| | ISIN | US6706571055 | | | | | | | | Agenda | 935059748 - Management | |
| | Record Date | 10-Jun-2019 | | | | | | | | Holding Recon Date | 10-Jun-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 06-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1c. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | | |
| | BLACK RIDGE ACQUISITION CORP. | | |
| | Security | 09216T107 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BRAC | | | | | | | | Meeting Date | 09-Aug-2019 | |
| | ISIN | US09216T1079 | | | | | | | | Agenda | 935053455 - Management | |
| | Record Date | 10-Jun-2019 | | | | | | | | Holding Recon Date | 10-Jun-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 08-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To consider and vote upon a proposal to approve and adopt the Agreement and Plan of Reorganization, dated as of December 19, 2018, and to approve the transactions contemplated thereby. | Management | Split | | For | | | | | |
| | 2a. | To approve amendments to the amended and restated certificate of incorporation of BRAC, effective following the business combination, to: change the name of BRAC from "Black Ridge Acquisition Corp." to "Allied Esports Entertainment, Inc." | Management | Split | | For | | | | | |
| | 2b. | To approve amendments to the amended and restated certificate of incorporation of BRAC, effective following the business combination, to: increase the number of authorized shares of BRAC Common Stock. | Management | Split | | For | | | | | |
| | 2c. | To approve amendments to the amended and restated certificate of incorporation of BRAC, effective following the business combination, to: remove provisions that will no longer be applicable to BRAC after the business combination. | Management | Split | | For | | | | | |
| | 3a. | To Elect the following Class A Director to serve until 2020 annual meeting: Ken DeCubellis | Management | Split | | For | | | | | |
| | 3b. | To Elect the following Class A Director to serve until 2020 annual meeting: Lyle Berman | Management | Split | | For | | | | | |
| | 3c. | To Elect the following Class A Director to serve until 2020 annual meeting: Benjamin Oehler | Management | Split | | For | | | | | |
| | 3d. | To Elect the following Class B Director to serve until 2021 annual meeting: Dr. Kan Hee Anthony Tyen | Management | Split | | For | | | | | |
| | 3e. | To Elect the following Class B Director to serve until 2021 annual meeting: Ho min Kim | Management | Split | | For | | | | | |
| | 3f. | To Elect the following Class B Director to serve until 2021 annual meeting: Bradley Berman | Management | Split | | For | | | | | |
| | 3g. | To Elect the following Class B Director to serve until 2021 annual meeting: Joseph Lahti | Management | Split | | For | | | | | |
| | 3h. | To Elect the following Class C Director to serve until 2022 annual meeting: Frank Ng | Management | Split | | For | | | | | |
| | 3i. | To Elect the following Class C Director to serve until 2022 annual meeting: Eric Yang | Management | Split | | For | | | | | |
| | 3j. | To Elect the following Class C Director to serve until 2022 annual meeting: Adam Pliska | Management | Split | | For | | | | | |
| | 3k. | To Elect the following Class C Director to serve until 2022 annual meeting: Maya Rogers | Management | Split | | For | | | | | |
| | 4. | To approve an equity incentive plan to be effective upon consummation of the business combination. | Management | Split | | For | | | | | |
| | 5. | To adjourn the annual meeting to a later date or dates if determined by the officer presiding over the meeting. | Management | Split | | For | | | | | |
| | BIG ROCK PARTNERS ACQUISITION CORP | | |
| | Security | 089482103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BRPA | | | | | | | | Meeting Date | 21-Aug-2019 | |
| | ISIN | US0894821034 | | | | | | | | Agenda | 935071073 - Management | |
| | Record Date | 31-Jul-2019 | | | | | | | | Holding Recon Date | 31-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 20-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to November 22, 2019. | Management | For | | For | | | | | |
| | 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | | For | | | | | |
| | VAN KAMPEN FUNDS | | |
| | Security | 46132C107 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | VMO | | | | | | | | Meeting Date | 23-Aug-2019 | |
| | ISIN | US46132C1071 | | | | | | | | Agenda | 935062151 - Management | |
| | Record Date | 13-May-2019 | | | | | | | | Holding Recon Date | 13-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 22-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | | |
| | INVESCO | | |
| | Security | 46131H107 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | VVR | | | | | | | | Meeting Date | 23-Aug-2019 | |
| | ISIN | US46131H1077 | | | | | | | | Agenda | 935062151 - Management | |
| | Record Date | 13-May-2019 | | | | | | | | Holding Recon Date | 13-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 22-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | | |
| | INVESCO | | |
| | Security | 46132R104 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | VTA | | | | | | | | Meeting Date | 23-Aug-2019 | |
| | ISIN | US46132R1041 | | | | | | | | Agenda | 935062151 - Management | |
| | Record Date | 13-May-2019 | | | | | | | | Holding Recon Date | 13-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 22-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | | |
| | INVESCO | | |
| | Security | 46131F101 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | VLT | | | | | | | | Meeting Date | 23-Aug-2019 | |
| | ISIN | US46131F1012 | | | | | | | | Agenda | 935062163 - Management | |
| | Record Date | 13-May-2019 | | | | | | | | Holding Recon Date | 13-May-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 22-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1c | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | | |
| | | | 3 | Prema Mathai-Davis | Split | | For | | | | | |
| | | | 4 | Ann Barnett Stern | Split | | For | | | | | |
| | | | 5 | Raymond Stickel, Jr. | Split | | For | | | | | |
| | NUVEEN MORTGAGE OPPORTUNITY TERM FUND | | |
| | Security | 670735109 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | JLS | | | | | | | | Meeting Date | 29-Aug-2019 | |
| | ISIN | US6707351093 | | | | | | | | Agenda | 935049874 - Management | |
| | Record Date | 29-Mar-2019 | | | | | | | | Holding Recon Date | 29-Mar-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 28-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve an amendment to the Fund's Declaration of Trust that would eliminate the provision requiring the automatic termination of the Fund on November 30, 2019. | Management | Split | | For | | | | | |
| | 2. | To approve the adoption of a new investment objective. | Management | Split | | For | | | | | |
| | 3a. | To approve a new investment management agreement with Nuveen Fund Advisors, LLC. | Management | Split | | For | | | | | |
| | 3b. | To approve a new investment sub-advisory agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC on behalf of the Fund. | Management | Split | | For | | | | | |
| | 4. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | | |
| | | | 4 | William C. Hunter | Split | | For | | | | | |
| | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 | | |
| | Security | 67074R100 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | JMT | | | | | | | | Meeting Date | 29-Aug-2019 | |
| | ISIN | US67074R1005 | | | | | | | | Agenda | 935049886 - Management | |
| | Record Date | 29-Mar-2019 | | | | | | | | Holding Recon Date | 29-Mar-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 28-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve an amendment to the Fund's Declaration of Trust that would eliminate the provision requiring the automatic termination of the Fund on February 28, 2020. | Management | Split | | For | | | | | |
| | 2. | To approve the adoption of a new investment objective. | Management | Split | | For | | | | | |
| | 3a. | To approve a new investment management agreement with Nuveen Fund Advisors, LLC. | Management | Split | | For | | | | | |
| | 3b. | To approve a new investment sub-advisory agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC on behalf of the Fund. | Management | Split | | For | | | | | |
| | 4. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | | |
| | | | 4 | William C. Hunter | Split | | For | | | | | |
| | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 | | |
| | Security | 67074R100 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | JMT | | | | | | | | Meeting Date | 29-Aug-2019 | |
| | ISIN | US67074R1005 | | | | | | | | Agenda | 935049886 - Management | |
| | Record Date | 29-Mar-2019 | | | | | | | | Holding Recon Date | 29-Mar-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 28-Aug-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve an amendment to the Fund's Declaration of Trust that would eliminate the provision requiring the automatic termination of the Fund on February 28, 2020. | Management | Split | | For | | | | | |
| | 2. | To approve the adoption of a new investment objective. | Management | Split | | For | | | | | |
| | 3a. | To approve a new investment management agreement with Nuveen Fund Advisors, LLC. | Management | Split | | For | | | | | |
| | 3b. | To approve a new investment sub-advisory agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC on behalf of the Fund. | Management | Split | | For | | | | | |
| | 4. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | | |
| | | | 4 | William C. Hunter | Split | | For | | | | | |
| | DELAWARE INVESTMENTS | | |
| | Security | 246060107 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | DEX | | | | | | | | Meeting Date | 20-Sep-2019 | |
| | ISIN | US2460601071 | | | | | | | | Agenda | 935064763 - Management | |
| | Record Date | 10-Jul-2019 | | | | | | | | Holding Recon Date | 10-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 19-Sep-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Thomas L. Bennett | Split | | For | | | | | |
| | | | 2 | Jerome D. Abernathy | Split | | For | | | | | |
| | | | 3 | Ann D. Borowiec | Split | | For | | | | | |
| | | | 4 | Joseph W. Chow | Split | | For | | | | | |
| | | | 5 | John A. Fry | Split | | For | | | | | |
| | | | 6 | Lucinda S. Landreth | Split | | For | | | | | |
| | | | 7 | Shawn K. Lytle | Split | | For | | | | | |
| | | | 8 | F.A. Sevilla-Sacasa | Split | | For | | | | | |
| | | | 9 | Thomas K. Whitford | Split | | For | | | | | |
| | | | 10 | Christianna Wood | Split | | For | | | | | |
| | | | 11 | Janet L. Yeomans | Split | | For | | | | | |
| | 2. | To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Europe Limited, Macquarie Investment Management Global Limited, Macquarie Investment Management Austria Kapitalanlage AG, and Macquarie Funds Management Hong Kong Limited. | Management | Split | | For | | | | | |
| | ROYCE MICRO-CAP TRUST, INC. | | |
| | Security | 780915104 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | RMT | | | | | | | | Meeting Date | 24-Sep-2019 | |
| | ISIN | US7809151043 | | | | | | | | Agenda | 935069624 - Management | |
| | Record Date | 18-Jul-2019 | | | | | | | | Holding Recon Date | 18-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 23-Sep-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Patricia W. Chadwick | Split | | For | | | | | |
| | | | 2 | Arthur S. Mehlman | Split | | For | | | | | |
| | | | 3 | Michael K. Shields | Split | | For | | | | | |
| | GUGGENHEIM FUNDS | | |
| | Security | 00764C109 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | AVK | | | | | | | | Meeting Date | 25-Sep-2019 | |
| | ISIN | US00764C1099 | | | | | | | | Agenda | 935073990 - Management | |
| | Record Date | 22-Jul-2019 | | | | | | | | Holding Recon Date | 22-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 24-Sep-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1a. | Election of Trustee: Mr. Randall C. Barnes | Management | Split | | For | | | | | |
| | 1b. | Election of Trustee: Mr. Derek Medina | Management | Split | | For | | | | | |
| | 1c. | Election of Trustee: Mr. Gerald L. Seizert | Management | Split | | For | | | | | |
| | FRANKLIN TEMPLETON LTD DURATION INC TR | | |
| | Security | 35472T101 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | FTF | | | | | | | | Meeting Date | 03-Oct-2019 | |
| | ISIN | US35472T1016 | | | | | | | | Agenda | 935074548 - Management | |
| | Record Date | 24-Jul-2019 | | | | | | | | Holding Recon Date | 24-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Harris J. Ashton | Split | | For | | | | | |
| | | | 2 | Edith E. Holiday | Split | | For | | | | | |
| | NEUBERGER BERMAN HI/YLD STRATEGY | | |
| | Security | 64128C106 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | NHS | | | | | | | | Meeting Date | 03-Oct-2019 | |
| | ISIN | US64128C1062 | | | | | | | | Agenda | 935074788 - Management | |
| | Record Date | 15-Jul-2019 | | | | | | | | Holding Recon Date | 15-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Michael J. Cosgrove | Split | | For | | | | | |
| | | | 2 | Deborah C. McLean | Split | | For | | | | | |
| | | | 3 | Tom D. Seip | Split | | For | | | | | |
| | 2. | STOCKHOLDER PROPOSAL: If properly presented, to vote on a stockholder proposal that the Fund terminate the investment management agreement between the Fund and Neuberger Berman Investment Advisers LLC ("NBIA"), the Fund's investment manager, and all other advisory and management agreements between the Fund and NBIA. | Shareholder | Split | | Against | | | | | |
| | 3. | STOCKHOLDER PROPOSAL: If properly presented, to vote on a non- binding stockholder proposal asking the Board of Directors of the Fund to consider a self- tender offer for all outstanding common stock of the Fund, and, if more than 50% of the Fund's outstanding shares are submitted for tender, to cancel the tender offer and either liquidate the Fund or convert it to an open-end fund. | Shareholder | Split | | Against | | | | | |
| | NEUBERGER BERMAN HI/YLD STRATEGY | | |
| | Security | 64128C106 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | NHS | | | | | | | | Meeting Date | 03-Oct-2019 | |
| | ISIN | US64128C1062 | | | | | | | | Agenda | 935075540 - Opposition | |
| | Record Date | 15-Jul-2019 | | | | | | | | Holding Recon Date | 15-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Frederic Gabriel | Split | | For | | | | | |
| | | | 2 | Thomas H. McGlade | Split | | For | | | | | |
| | | | 3 | Arthur D. Lipson | Split | | For | | | | | |
| | 2. | Proposal 2- Termination of the Management Agreement between the Fund and Neuberger Berman Management LLC, dated August 6, 2010, as amended or novated and all other advisory and management agreements between the Fund and Neuberger Berman Investment Advisers LLC. | Management | Split | | For | | | | | |
| | 3. | Proposal 3- For the Board to consider authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV'). If more than 50% of the Fund's outstanding shares are submitted for tender, the tender offer should be cancelled and the Board should take the steps necessary to liquidate or convert the Fund into an open-end mutual fund. | Management | Split | | For | | | | | |
| | NEUBERGER BERMAN NY INTERM MUNI FD | | |
| | Security | 64124K102 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NBO | | | | | | | | Meeting Date | 03-Oct-2019 | |
| | ISIN | US64124K1025 | | | | | | | | Agenda | 935078394 - Management | |
| | Record Date | 30-Jul-2019 | | | | | | | | Holding Recon Date | 30-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Michael J. Cosgrove | Split | | For | | | | | |
| | | | 2 | Deborah C. McLean | Split | | For | | | | | |
| | | | 3 | Tom D. Seip | Split | | For | | | | | |
| | NEUBERGER BERMAN CA INTERM FD | | |
| | Security | 64123C101 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NBW | | | | | | | | Meeting Date | 03-Oct-2019 | |
| | ISIN | US64123C1018 | | | | | | | | Agenda | 935078394 - Management | |
| | Record Date | 30-Jul-2019 | | | | | | | | Holding Recon Date | 30-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Michael J. Cosgrove | Split | | For | | | | | |
| | | | 2 | Deborah C. McLean | Split | | For | | | | | |
| | | | 3 | Tom D. Seip | Split | | For | | | | | |
| | ABERDEEN FUNDS | | |
| | Security | 00326L100 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | AOD | | | | | | | | Meeting Date | 09-Oct-2019 | |
| | ISIN | US00326L1008 | | | | | | | | Agenda | 935074803 - Management | |
| | Record Date | 19-Jul-2019 | | | | | | | | Holding Recon Date | 19-Jul-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 08-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Election of Class II Trustee to serve a term of three years until the 2022 Annual Meeting: P. Gerald Malone | Management | Split | | For | | | | | |
| | PURE ACQUISITION CORP. | | |
| | Security | 74621Q205 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | PACQU | | | | | | | | Meeting Date | 10-Oct-2019 | |
| | ISIN | US74621Q2057 | | | | | | | | Agenda | 935084183 - Management | |
| | Record Date | 13-Sep-2019 | | | | | | | | Holding Recon Date | 13-Sep-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 09-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1) | The Extension Proposal - To amend the Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from October 17, 2019 to February 21, 2020. | Management | For | | For | | | | | |
| | 2) | The Election of Director - To elect Jared S. Sturdivant to serve as the Class A director on the Company's Board of Directors until the 2022 annual meeting of stockholders or until his successor is elected and qualified. | Management | For | | For | | | | | |
| | 3) | The Auditor Proposal - To ratify the selection by the Company's audit committee of WithumSmith+Brown, PC to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | | For | | | | | |
| | 4) | The Adjournment Proposal - to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. | Management | For | | For | | | | | |
| | PURE ACQUISITION CORP. | | |
| | Security | 74621Q106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | PACQ | | | | | | | | Meeting Date | 10-Oct-2019 | |
| | ISIN | US74621Q1067 | | | | | | | | Agenda | 935084183 - Management | |
| | Record Date | 13-Sep-2019 | | | | | | | | Holding Recon Date | 13-Sep-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 09-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1) | The Extension Proposal - To amend the Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from October 17, 2019 to February 21, 2020. | Management | For | | For | | | | | |
| | 2) | The Election of Director - To elect Jared S. Sturdivant to serve as the Class A director on the Company's Board of Directors until the 2022 annual meeting of stockholders or until his successor is elected and qualified. | Management | For | | For | | | | | |
| | 3) | The Auditor Proposal - To ratify the selection by the Company's audit committee of WithumSmith+Brown, PC to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019. | Management | For | | For | | | | | |
| | 4) | The Adjournment Proposal - to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. | Management | For | | For | | | | | |
| | LAZARD WORLD DIVIDEND & INCOME FD, INC. | | |
| | Security | 521076109 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | LOR | | | | | | | | Meeting Date | 18-Oct-2019 | |
| | ISIN | US5210761095 | | | | | | | | Agenda | 935077188 - Management | |
| | Record Date | 20-Aug-2019 | | | | | | | | Holding Recon Date | 20-Aug-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 17-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Approval of the merger of LOR with and into LGI, pursuant to an Agreement and Plan of Merger between LOR and LGI. | Management | Split | | For | | | | | |
| | 2. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Robert M. Solmson | Split | | For | | | | | |
| | | | 2 | Nathan A. Paul | Split | | For | | | | | |
| | LEGACY ACQUISITION CORP. | | |
| | Security | 524643103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | LGC | | | | | | | | Meeting Date | 22-Oct-2019 | |
| | ISIN | US5246431036 | | | | | | | | Agenda | 935086478 - Management | |
| | Record Date | 06-Sep-2019 | | | | | | | | Holding Recon Date | 06-Sep-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 21-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from November 21, 2019 to December 21, 2019, plus an option for the Company to further extend such date up to five times, initially to January 21, 2020 and thereafter by additional 30 day periods each to May 20, 2020 (the "Extended Date"), a copy of which is attached as Exhibit A to the proxy statement and as more fully described therein. | Management | For | | For | | | | | |
| | 2. | To amend the Company's investment management trust agreement, dated as of November 16, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination from November 21, 2019 to the Extended Date, a copy of which is attached as Exhibit B to the proxy statement and as more fully described therein. | Management | For | | For | | | | | |
| | GREENLAND ACQUISITION CORPORATION | | |
| | Security | G40981139 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | GLAC | | | | | | | | Meeting Date | 24-Oct-2019 | |
| | ISIN | VGG409811392 | | | | | | | | Agenda | 935086543 - Management | |
| | Record Date | 18-Sep-2019 | | | | | | | | Holding Recon Date | 18-Sep-2019 | |
| | City / | Country | | | / | China | | | | | Vote Deadline Date | 23-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve the Share Exchange Agreement dated as of July 12, 2019 (the "Share Exchange Agreement") by and among Greenland, Zhongchai Holding (Hong Kong) Limited ("Zhongchai Holding"), Cenntro Holding Limited and Greenland Asset Management Corporation and the transactions contemplated by the Share Exchange Agreement. Pursuant to the Share Exchange Agreement, Greenland will acquire 100% of the issued and outstanding capital stock of Zhongchai Holding. | Management | For | | For | | | | | |
| | 2. | The 2019 Equity Incentive Plan Proposal - To consider and vote upon a proposal to approve the 2019 Equity Incentive Plan. A copy of the 2019 Equity Incentive Plan is attached to the accompanying proxy statement as Annex B. | Management | For | | For | | | | | |
| | 3A. | Election of Class I Director: Min Zhang | Management | For | | For | | | | | |
| | 3B. | Election of Class I Director: Everett Xiaolin Wang | Management | For | | For | | | | | |
| | 3C. | Election of Class I Director: Hong Liang Lu | Management | For | | For | | | | | |
| | 3D. | Election of Class II Director: Peter Zuguang Wang | Management | For | | For | | | | | |
| | 3E. | Election of Class II Director: Yanming Liu | Management | For | | For | | | | | |
| | 4. | The Articles Amendment Proposal - To consider and vote upon a proposal to amend Greenland's second amended and restated Memorandum and Articles of Association (the "Memorandum and Articles of Association"): (i) to reflect the change of the name of the Company to "Greenland Technologies Holding Corporation" from "Greenland Acquisition Corporation" and (ii) to make Greenland's corporate existence perpetual as opposed to its current corporate existence terminating 12 months following the consummation of its initial public offering. | Management | For | | For | | | | | |
| | 5. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies if it is determined by Greenland that more time is necessary or appropriate to approve one or more proposals at the Meeting. | Management | For | | For | | | | | |
| | WESTERN ASSET GBL HIGH INC FD INC. | | |
| | Security | 95766B109 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | EHI | | | | | | | | Meeting Date | 25-Oct-2019 | |
| | ISIN | US95766B1098 | | | | | | | | Agenda | 935078940 - Management | |
| | Record Date | 01-Aug-2019 | | | | | | | | Holding Recon Date | 01-Aug-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 24-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Robert D. Agdern | Split | | For | | | | | |
| | | | 2 | Eileen A. Kamerick | Split | | For | | | | | |
| | 2. | A non-binding proposal put forth by Saba Capital Management, L.P., if properly presented before the Meeting, requesting that the Board of Directors take all necessary steps in its power to declassify the Board of Directors. | Shareholder | Split | | Against | | | | | |
| | WESTERN ASSET GBL HIGH INC FD INC. | | |
| | Security | 95766B109 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | EHI | | | | | | | | Meeting Date | 25-Oct-2019 | |
| | ISIN | US95766B1098 | | | | | | | | Agenda | 935078952 - Opposition | |
| | Record Date | 01-Aug-2019 | | | | | | | | Holding Recon Date | 01-Aug-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 24-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | David Basile | Split | | For | | | | | |
| | | | 2 | Frederic Gabriel | Split | | For | | | | | |
| | 2. | For the board to consider declassifying the board so that all directors are elected on an annual basis starting at the next annual meeting of stockholders. | Management | Split | | For | | | | | |
| | VIRTUS MUTUAL FUNDS | | |
| | Security | 92837G100 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | ZF | | | | | | | | Meeting Date | 01-Nov-2019 | |
| | ISIN | US92837G1004 | | | | | | | | Agenda | 935074295 - Management | |
| | Record Date | 05-Aug-2019 | | | | | | | | Holding Recon Date | 05-Aug-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 31-Oct-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Reorganization of Virtus Total Return Fund Inc. into Virtus Global Dividend & Income Fund Inc. | Management | Split | | For | | | | | |
| | 5. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Donald C. Burke* | Split | | For | | | | | |
| | | | 2 | Sidney E. Harris* | Split | | For | | | | | |
| | | | 3 | John R. Mallin# | Split | | For | | | | | |
| | | | 4 | Connie D. McDaniel+ | Split | | For | | | | | |
| | | | 5 | Geraldine M. McNamara+ | Split | | For | | | | | |
| | TRINITY MERGER CORP | | |
| | Security | 89653L106 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | TMCX | | | | | | | | Meeting Date | 12-Nov-2019 | |
| | ISIN | US89653L1061 | | | | | | | | Agenda | 935094259 - Management | |
| | Record Date | 15-Oct-2019 | | | | | | | | Holding Recon Date | 15-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 11-Nov-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Trinity Business Combination Proposal: To approve and adopt the Agreement and Plan of Merger, by and among Trinity, Trinity Sub Inc., Trinity Merger Sub I, Inc., Trinity Merger Sub II, LLC, PBRELF I, LLC, BRELF II, LLC, BRELF III, LLC, BRELF IV, LLC, Pyatt Broadmark MGMT, LLC, Broadmark Real Estate MGMT II, LLC, Broadmark Real Estate MGMT III, LLC, and Broadmark Real Estate MGMT IV, LLC, and transactions contemplated by Merger Agreement, including the issuance of shares of common stock of Broadmark Realty pursuant to Merger Agreement. | Management | For | | For | | | | | |
| | 1A. | Intention to Exercise Redemption Rights: Please indicate if you intend to exercise your redemption rights. Selecting Yes, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the joint proxy statement/prospectus under the Q&A section entitled "How do I exercise my redemption rights?" | Management | For | | None | | | | | |
| | 1B. | Stockholder 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 stockholder with respect to the shares of Class A common stock of Trinity. | Management | For | | None | | | | | |
| | 2. | The Stock Incentive Plan Proposal: To approve and adopt the Broadmark Realty 2019 Stock Incentive Plan. The Stock Incentive Plan Proposal is conditioned on stockholder approval of the Trinity Business Combination Proposal and public warrant holder approval of the Warrant Amendment Proposal (as defined in the joint proxy statement/prospectus). | Management | For | | For | | | | | |
| | 3. | The Trinity Adjournment Proposal: To approve the adjournment of the Trinity Special Meeting to a later date or dates, if necessary, to solicit additional proxies from stockholders in favor of the Trinity Business Combination Proposal. | Management | For | | For | | | | | |
| | TRINITY MERGER CORP | | |
| | Security | 89653L114 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | TMCXW | | | | | | | | Meeting Date | 12-Nov-2019 | |
| | ISIN | US89653L1145 | | | | | | | | Agenda | 935094261 - Management | |
| | Record Date | 15-Oct-2019 | | | | | | | | Holding Recon Date | 15-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 11-Nov-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Warrant Amendment Proposal: To approve and adopt an amendment (the "Warrant Amendment") to the warrant agreement that governs all of Trinity's outstanding warrants to provide that, immediately prior to the consummation of the Business Combination (as defined in the joint proxy statement/prospectus). | Management | For | | For | | | | | |
| | 2. | The Warrant Holders Adjournment Proposal: To approve the adjournment of the Trinity Warrant Holders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if it is determined by Trinity that more time is necessary or appropriate to approve the Warrant Amendment Proposal. | Management | For | | For | | | | | |
| | TRINITY MERGER CORP | | |
| | Security | 89653L106 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | TMCX | | | | | | | | Meeting Date | 15-Nov-2019 | |
| | ISIN | US89653L1061 | | | | | | | | Agenda | 935099021 - Management | |
| | Record Date | 15-Oct-2019 | | | | | | | | Holding Recon Date | 15-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 14-Nov-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Extension Amendment Proposal - To consider and vote on a proposal to amend Trinity's amended and restated certificate of incorporation to extend the date by which Trinity has to consummate a business combination from November 17, 2019 to December 17, 2019. | Management | For | | For | | | | | |
| | 1A. | Intention to Exercise Redemption Rights. Please indicate if you intend to exercise your redemption rights. Selecting YES, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the definitive proxy statement under the section entitled "Special Meeting of Trinity Stockholders- Redemption Rights." | Management | For | | None | | | | | |
| | 1B. | Stockholder Certification. I hereby certify that I am not acting in concert, or as a "group" as defined in Section 14(d)(3) of the Securities Exchange Act of 1934, as amended, with any other stockholder with respect to the share of Class A common stock of Trinity. | Management | For | | None | | | | | |
| | 2. | The Adjournment Proposal - To consider and vote on a proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of one or more proposals to be submitted for stockholder approval at the Special Meeting. | Management | For | | For | | | | | |
| | BIG ROCK PARTNERS ACQUISITION CORP | | |
| | Security | 089482103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BRPA | | | | | | | | Meeting Date | 21-Nov-2019 | |
| | ISIN | US0894821034 | | | | | | | | Agenda | 935103351 - Management | |
| | Record Date | 04-Nov-2019 | | | | | | | | Holding Recon Date | 04-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 20-Nov-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to March 23, 2020. | Management | For | | For | | | | | |
| | 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | | For | | | | | |
| | LEISURE ACQUISITION CORP. | | |
| | Security | 52539T107 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | LACQ | | | | | | | | Meeting Date | 26-Nov-2019 | |
| | ISIN | US52539T1079 | | | | | | | | Agenda | 935098170 - Management | |
| | Record Date | 18-Oct-2019 | | | | | | | | Holding Recon Date | 18-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 25-Nov-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension Amendment: Proposal to amend the Company's Second Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from December 5, 2019 to April 5, 2020. | Management | For | | For | | | | | |
| | 2. | Trust Amendment: Proposal to amend the Company's investment management trust agreement, dated December 1, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination by April 5, 2020. | Management | For | | For | | | | | |
| | 3. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Steven M. Rittvo | For | | For | | | | | |
| | | | 2 | David L. Weinstein | For | | For | | | | | |
| | 4. | Auditor Proposal: Proposal to ratify the selection by our Audit Committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Management | For | | For | | | | | |
| | 5. | Adjournment Proposal: Proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. | Management | For | | For | | | | | |
| | TRIDENT ACQUISITIONS CORP | | |
| | Security | 89615T106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | TDAC | | | | | | | | Meeting Date | 26-Nov-2019 | |
| | ISIN | US89615T1060 | | | | | | | | Agenda | 935102119 - Management | |
| | Record Date | 31-Oct-2019 | | | | | | | | Holding Recon Date | 31-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 25-Nov-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Vadim Komissarov | For | | For | | | | | |
| | | | 2 | Thomas Gallagher | For | | For | | | | | |
| | 2. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") FOR AN ADDITIONAL 180 DAYS, TO MAY 29, 2020. | Management | For | | For | | | | | |
| | 3. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. | Management | For | | For | | | | | |
| | 4. | RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2019. | Management | For | | For | | | | | |
| | LF CAPITAL ACQUISTION CORP | | |
| | Security | 50200K108 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | LFAC | | | | | | | | Meeting Date | 03-Dec-2019 | |
| | ISIN | US50200K1088 | | | | | | | | Agenda | 935100658 - Management | |
| | Record Date | 18-Oct-2019 | | | | | | | | Holding Recon Date | 18-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | James Erwin | For | | For | | | | | |
| | | | 2 | Karen Wendel | For | | For | | | | | |
| | 2. | Ratification of the selection by the Audit Committee of RSM US LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Management | For | | For | | | | | |
| | NUVEEN OHIO QUALITY MUNICIPAL INCOME FD | | |
| | Security | 670980101 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | NUO | | | | | | | | Meeting Date | 05-Dec-2019 | |
| | ISIN | US6709801012 | | | | | | | | Agenda | 935086303 - Management | |
| | Record Date | 19-Sep-2019 | | | | | | | | Holding Recon Date | 19-Sep-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 04-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | | |
| | 2. | If properly presented at the meeting, a shareholder proposal to declassify the Board of Trustees, so that all Trustees are elected on an annual basis. | Shareholder | Split | | Against | | | | | |
| | NUVEEN OHIO QUALITY MUNICIPAL INCOME FD | | |
| | Security | 670980101 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | NUO | | | | | | | | Meeting Date | 05-Dec-2019 | |
| | ISIN | US6709801012 | | | | | | | | Agenda | 935087216 - Opposition | |
| | Record Date | 19-Sep-2019 | | | | | | | | Holding Recon Date | 19-Sep-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 04-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1 | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | David Basile | Split | | For | | | | | |
| | | | 2 | Peter Borish | Split | | For | | | | | |
| | | | 3 | Charles Clarvit | Split | | For | | | | | |
| | 2 | For the Board to consider declassifying the Board so that all trustees are elected on an annual basis starting at the next annual meeting of shareholders. | Management | Split | | For | | | | | |
| | SPECIAL OPPORTUNITIES FUND, INC | | |
| | Security | 84741T104 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | SPE | | | | | | | | Meeting Date | 11-Dec-2019 | |
| | ISIN | US84741T1043 | | | | | | | | Agenda | 935098954 - Management | |
| | Record Date | 15-Oct-2019 | | | | | | | | Holding Recon Date | 15-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 10-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Mr. Andrew Dakos | Split | | For | | | | | |
| | | | 2 | Mr. Gerald Hellerman | Split | | For | | | | | |
| | | | 3 | Mr. Charles Walden | Split | | For | | | | | |
| | | | 4 | Mr. Ben Harris | Split | | For | | | | | |
| | OHA INVESTMENT CORPORATION | | |
| | Security | 67091U102 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | OHAI | | | | | | | | Meeting Date | 12-Dec-2019 | |
| | ISIN | US67091U1025 | | | | | | | | Agenda | 935102789 - Management | |
| | Record Date | 05-Nov-2019 | | | | | | | | Holding Recon Date | 05-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 11-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve the merger of Storm Acquisition Sub Inc., a wholly owned subsidiary of Portman Ridge Finance Corporation ("PTMN"), with and into OHA Investment Corporation ("OHAI") (the "Merger Proposal"), after which OHAI will merge immediately with and into PTMN. | Management | Split | | For | | | | | |
| | 2. | To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are not sufficient votes at the time of the Special Meeting to approve the Merger Proposal. | Management | Split | | For | | | | | |
| | HEALTH SCIENCES ACQUISITIONS CORPORATION | | |
| | Security | 42227C102 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | HSAC | | | | | | | | Meeting Date | 16-Dec-2019 | |
| | ISIN | US42227C1027 | | | | | | | | Agenda | 935113388 - Management | |
| | Record Date | 20-Nov-2019 | | | | | | | | Holding Recon Date | 20-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 13-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Adopt the Share Exchange Agreement, dated as of September 29, 2019 ("Share Exchange Agreement"), by and among Health Sciences Acquisitions Corporation ("HSAC"), Immunovant Sciences Ltd., a Bermuda exempted limited company ("Immunovant"), stockholders of Immunovant ("Sellers") and Roivant Sciences Ltd., a Bermuda exempted limited company, as representative of the Sellers, and thereby approve the transactions contemplated under the Share Exchange Agreement ("Business Combination"). This proposal is referred to as the "Business Combination Proposal". | Management | For | | For | | | | | |
| | 2A. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: change name of the combined company after the Business Combination (the "Combined Company") to "Immunovant, Inc." from "Health Sciences Acquisition Corporation". | Management | For | | For | | | | | |
| | 2B. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: the authorized number of shares of common stock from 30,000,000 shares to 500,000,000 shares. | Management | For | | For | | | | | |
| | 2C. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to authorize the issuance of up to 10,000,000 shares of "blank check" preferred stock, the rights, preferences and privileges of which may be designated from time to time by the Combined Company's board of directors to increase the number of outstanding shares and discourage a takeover attempt. | Management | For | | For | | | | | |
| | 2D. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to authorize the issuance of up to 10,000 shares of Series A Preferred Stock ("Series A Preferred Stock") and designate the rights, preferences and privileges of the Series A Preferred Stock, including that the holder(s) of a majority of the outstanding shares of Series A Preferred Stock will be entitled to elect: (1) four directors (the "Series A Preferred Directors"), (2) three Series A Preferred Directors and (3) two Series A Preferred Directors. | Management | For | | For | | | | | |
| | 2E. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: provide that the number of directors constituting the board of directors of the Combined Company will be fixed at no less than seven. | Management | For | | For | | | | | |
| | 2F. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that directors may be removed with or without cause by the affirmative vote of the holders of at least 66 2/3% of the voting power of all then- outstanding shares of the Combined Company's capital stock entitled to vote generally at an election of directors; provided that the Series A Preferred Directors may be removed without cause only by the holder(s) of Series A Preferred Stock. | Management | For | | For | | | | | |
| | 2G. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to declassify the Combined Company's board of directors and provide that each director will serve for a one-year term, until his or her successor is duly elected and qualified or until his or her earlier death, resignation or removal. | Management | For | | For | | | | | |
| | 2H. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that, as long as the Combined Company is a "controlled company," the chairperson of the broad of directors of the Combined Company will be entitled to a casting vote and be entitled to two votes on any matter or resolution presented to the full board of directors or any committee on which he or she then serves for which a majority vote cannot be obtained. | Management | For | | For | | | | | |
| | 2I. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that from and after such time as the Combined Company is no longer a "controlled company," no action shall be taken by the stockholders of the Combined Company except at an annual or special meeting of stockholders called in accordance with the Combined Company's bylaws, and no action shall be taken by the stockholders by written consent or electronic transmission. | Management | For | | For | | | | | |
| | 2J. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: provide that the Combined Company opts out of Section 203 of the Delaware General Corporation Law. | Management | For | | For | | | | | |
| | 2K. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that, from and after such time as the Combined Company is no longer a "controlled company," as such term is defined under the rules of the exchange on which the Combined Company's securities are listed, any amendment to the Combined Company's bylaws will require the approval of the holders of at least 66 2/3% of the Combined Company's then- outstanding shares of capital stock entitled to vote generally at an election of directors. | Management | For | | For | | | | | |
| | 2L. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that, from and after such time as the Combined Company is no longer a "controlled company," any amendment to certain provisions of the Amended Charter will require the approval of the holders of at least 66 2/3% of the Combined Company's then-outstanding shares of capital stock entitled to vote generally at an election of directors. | Management | For | | For | | | | | |
| | 2M. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: remove various provisions related to its operations as a blank check company prior to the consummation of an initial business combination. | Management | For | | For | | | | | |
| | 2N. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that the federal district courts of the United States of America will be the exclusive forum for resolving any complaint asserting a cause of action arising under the Securities Act of 1933, as amended. | Management | For | | For | | | | | |
| | 3. | To approve the issuance of more than 20% of the issued and outstanding shares of HSAC's common stock pursuant to the terms of the Share Exchange Agreement, resulting in a change of control, as required by Nasdaq Listing Rules 5635(a), (b) and (d). This proposal is referred to as the "Nasdaq Proposal" or "Proposal No. 3." | Management | For | | For | | | | | |
| | 4. | To approve the 2019 HSAC Equity Incentive Plan. This proposal is referred to as the "Equity Incentive Plan Proposal" or "Proposal No. 4". | Management | For | | For | | | | | |
| | 5. | To approve the adjournment of the special meeting for the purpose of soliciting additional proxies in favor of the adoption of the Share Exchange Agreement in the event HSAC does not receive the requisite shareholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal" or "Proposal No. 5." | Management | For | | For | | | | �� | |
| | FINTECH ACQUISITION CORP. III | | |
| | Security | 31811A309 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | FTACU | | | | | | | | Meeting Date | 17-Dec-2019 | |
| | ISIN | US31811A3095 | | | | | | | | Agenda | 935105507 - Management | |
| | Record Date | 24-Oct-2019 | | | | | | | | Holding Recon Date | 24-Oct-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 16-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Proposal To approve the selection of WithumSmith+Brown, PC as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2019. | Management | For | | For | | | | | |
| | PIVOTAL ACQUISITION CORP. | | |
| | Security | 72583A101 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | PVT | | | | | | | | Meeting Date | 18-Dec-2019 | |
| | ISIN | US72583A1016 | | | | | | | | Agenda | 935109163 - Management | |
| | Record Date | 18-Nov-2019 | | | | | | | | Holding Recon Date | 18-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 17-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve and adopt the Agreement and Plan of Reorganization, dated as of May 20, 2019, as amended by and among Pivotal Acquisition Corp., Pivotal Merger Sub Corp., LD Topco, Inc., and, solely in its capacity as representative of the stockholders of LD Topco, Carlyle Equity Opportunity GP, L.P., and the transactions contemplated thereby. | Management | For | | For | | | | | |
| | 2A. | To approve the following amendment to Pivotal's current amended and restated certificate of incorporation: to change the name of the company to "KLDiscovery Inc." | Management | For | | For | | | | | |
| | 2B. | To approve the following amendment to Pivotal's current amended and restated certificate of incorporation: to incurease Pivotal's capitalization so that it will have 200,000,000 authorized shares of a single class of common stock and 1,000,000 authorized shares of preferred stock. | Management | For | | For | | | | | |
| | 2C. | To approve the following amendment to Pivotal's current amended and restated certificate of incorporation: to delete the various provisions applicable only to special purpose acquisition corporations. | Management | For | | For | | | | | |
| | 3. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Richard J. Williams+ | For | | For | | | | | |
| | | | 2 | Kevin Griffin+ | For | | For | | | | | |
| | | | 3 | Donna Morea++ | For | | For | | | | | |
| | | | 4 | Jonathan J. Ledecky++ | For | | For | | | | | |
| | | | 5 | Evan Morgan++ | For | | For | | | | | |
| | | | 6 | Christopher J Weiler+++ | For | | For | | | | | |
| | | | 7 | Daniel F. Akerson+++ | For | | For | | | | | |
| | | | 8 | William Darman+++ | For | | For | | | | | |
| | 4. | To approve the adoption of the 2019 Incentive Award Plan. | Management | For | | For | | | | | |
| | 5. | To approve the adoption of the 2019 Employee Stock Purchase Plan. | Management | For | | For | | | | | |
| | 6. | To adjourn the special meeting to a later date or dates, if necessary, if Pivotal is unable to consummate the business combination for any reason. | Management | For | | For | | | | | |
| | TWELVE SEAS INVESTMENT COMPANY | | |
| | Security | G9145A107 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BROG | | | | | | | | Meeting Date | 19-Dec-2019 | |
| | ISIN | KYG9145A1076 | | | | | | | | Agenda | 935110724 - Management | |
| | Record Date | 15-Nov-2019 | | | | | | | | Holding Recon Date | 15-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 18-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1) | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of April 15, 2019 (as may be amended), by and among Twelve Seas Investment Company, Brooge Holdings Limited, Brooge Merger Sub, Brooge Petrolum And Gas Investment Company FZE and the other parties thereto, and the transactions contemplated thereby (the "Business Combination"). | Management | For | | For | | | | | |
| | 2) | The Merger Proposal - To consider and vote upon a proposal to approve the merger of Twelve Seas Investment Company with Brooge Merger Sub Limited. | Management | For | | For | | | | | |
| | 3) | The Share Issuance Proposal - To consider and vote upon a proposal, if necessary, to approve, for purposes of complying with applicable NASDAQ Stock Market LLC listing rules, the issuance of more than 20% of the issued and outstanding ordinary shares of Twelve Seas Investment Company in financing transactions in connection with the Business Combination. | Management | For | | For | | | | | |
| | 4) | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the Extraordinary General Meeting to a later date or dates, 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 the Business Combination Proposal, the Merger Proposal and the Share Issuance Proposal, as applicable. | Management | For | | For | | | | | |
| | CHASERG TECHNOLOGY ACQUISITION CORP | | |
| | Security | 16166A202 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | CTACU | | | | | | | | Meeting Date | 19-Dec-2019 | |
| | ISIN | US16166A2024 | | | | | | | | Agenda | 935113857 - Management | |
| | Record Date | 15-Nov-2019 | | | | | | | | Holding Recon Date | 15-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 18-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Clark N. Callander | For | | For | | | | | |
| | 2. | Ratification of the selection by the audit committee of WithumSmith+Brown, PC to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Management | For | | For | | | | | |
| | TKK SYMPHONY ACQUISITION CORPORATION | | |
| | Security | G88990554 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | | | | | | | | | Meeting Date | 23-Dec-2019 | |
| | ISIN | | | | | | | | | Agenda | 935116702 - Management | |
| | Record Date | 29-Nov-2019 | | | | | | | | Holding Recon Date | 29-Nov-2019 | |
| | City / | Country | | | / | China | | | | | Vote Deadline Date | 20-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve the Business Combination, which includes approval and adoption of the Share Exchange Agreement, dated as of September 6, 2019, by and among the Company, TKK Symphony Sponsor 1, Glory Star New Media Group Limited ("Glory Star"), Glory Star New Media (Beijing) Technology Co., Ltd.; Xing Cui Can International Media (Beijing) Co., Ltd.; Horgos Glory Star Media Co., Ltd. and each of the shareholders of the Glory Star named on Annex I thereto, & transactions contemplated thereby. | Management | For | | For | | | | | |
| | 1A. | 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 Glory Star. | Management | For | | None | | | | | |
| | 2. | To consider and vote upon a proposal to amend the existing memorandum and articles of association to change the Company's name to "Glory Star New Media Group Holdings Limited". | Management | For | | For | | | | | |
| | 3. | To consider and vote upon a proposal to amend the existing memorandum and articles of association to change or remove certain provisions related to the Company's status as a blank check company. | Management | For | | For | | | | | |
| | 4. | To consider and vote upon a proposal to approve the proposed amended and restated memorandum and articles of association to make certain non-substantive changes. | Management | For | | For | | | | | |
| | 5. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | James Heimowitz | For | | For | | | | | |
| | | | 2 | Stephen Markscheid | For | | For | | | | | |
| | | | 3 | Zhe Zhang | For | | For | | | | | |
| | 6. | To consider and vote upon a proposal to approve the issuance of more than 20% of the Company's issued and outstanding ordinary shares. | Management | For | | For | | | | | |
| | 7. | To consider and vote upon a proposal to approve and adopt the Glory Star New Media Group Holdings Limited 2019 Equity Incentive Plan. | Management | For | | For | | | | | |
| | 8. | The Adjournment Proposal - to consider and vote upon a proposal to adjourn the meeting to a later date or dates, 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 one or more proposals presented to shareholders for vote. | Management | For | | For | | | | | |
| | HL ACQUISITIONS CORP. | | |
| | Security | G4603R106 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | HCCH | | | | | | | | Meeting Date | 02-Jan-2020 | |
| | ISIN | VGG4603R1064 | | | | | | | | Agenda | 935115596 - Management | |
| | Record Date | 04-Dec-2019 | | | | | | | | Holding Recon Date | 04-Dec-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 31-Dec-2019 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension Amendment: Amend the Company's memorandum and articles of association to allow the Company to extend the date by which the Company has to consummate a business combination to the Extended Date. | Management | For | | For | | | | | |
| | 2. | Extended Date: Provided that the amendment to the Company's memorandum and articles of association is approved and subject to the registration of the amended memorandum and articles of association by the Registrar of Corporate Affairs, extend the date by which the Company has to consummate a business combination from January 2, 2020 to March 2, 2020. | Management | For | | For | | | | | |
| | ALLEGRO MERGER CORP | | |
| | Security | 01749N103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | ALGR | | | | | | | | Meeting Date | 03-Jan-2020 | |
| | ISIN | US01749N1037 | | | | | | | | Agenda | 935115281 - Management | |
| | Record Date | 05-Dec-2019 | | | | | | | | Holding Recon Date | 05-Dec-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Jan-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to March 31, 2020. | Management | For | | For | | | | | |
| | EATON VANCE LIMITED DURATION INCOME FD | | |
| | Security | 27828H105 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | EVV | | | | | | | | Meeting Date | 16-Jan-2020 | |
| | ISIN | US27828H1059 | | | | | | | | Agenda | 935112211 - Management | |
| | Record Date | 21-Nov-2019 | | | | | | | | Holding Recon Date | 21-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Jan-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | | |
| | | | 2 | Mark R. Fetting | Split | | For | | | | | |
| | | | 3 | Keith Quinton | Split | | For | | | | | |
| | 2. | A non-binding shareholder proposal that the Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis. | Shareholder | Split | | Against | | | | | |
| | ALBERTON ACQUISITION CORP. | | |
| | Security | G35006116 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | ALACU | | | | | | | | Meeting Date | 21-Jan-2020 | |
| | ISIN | VGG350061161 | | | | | | | | Agenda | 935120535 - Management | |
| | Record Date | 01-Nov-2019 | | | | | | | | Holding Recon Date | 01-Nov-2019 | |
| | City / | Country | | | / | China | | | | | Vote Deadline Date | 17-Jan-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Bin (Ben) Wang | For | | For | | | | | |
| | | | 2 | Guan Wang | For | | For | | | | | |
| | | | 3 | Harry Edelson | For | | For | | | | | |
| | | | 4 | John W. Allen | For | | For | | | | | |
| | | | 5 | Howard Jiang | For | | For | | | | | |
| | 2. | To ratify the appointment of Friedman LLP ("Friedman") as the Company's independent registered public accounting firm to audit the Company's financial statements for the fiscal year ended December 31, 2018 and the fiscal year then ending December 31, 2019. | Management | For | | For | | | | | |
| | JOHN HANCOCK FUNDS | | |
| | Security | 41013P749 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | HTY | | | | | | | | Meeting Date | 03-Feb-2020 | |
| | ISIN | US41013P7490 | | | | | | | | Agenda | 935116067 - Management | |
| | Record Date | 12-Nov-2019 | | | | | | | | Holding Recon Date | 12-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 31-Jan-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | James R. Boyle | Split | | For | | | | | |
| | | | 2 | William H. Cunningham | Split | | For | | | | | |
| | | | 3 | Grace K. Fey | Split | | For | | | | | |
| | | | 4 | Hassell H. McClellan | Split | | For | | | | | |
| | | | 5 | Gregory A. Russo | Split | | For | | | | | |
| | DD3 ACQUISITION CORP. | | |
| | Security | G2692M103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | DDMX | | | | | | | | Meeting Date | 07-Feb-2020 | |
| | ISIN | VGG2692M1032 | | | | | | | | Agenda | 935126359 - Management | |
| | Record Date | 16-Jan-2020 | | | | | | | | Holding Recon Date | 16-Jan-2020 | |
| | City / | Country | | | / | Mexico | | | | | Vote Deadline Date | 06-Feb-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Combination and Stock Purchase Agreement, dated as of August 2, 2019 (as amended, and as may be further amended, the "Business Combination Agreement"), by and among DD3, Campalier, S.A. de C.V., Promotora Forteza, S.A. de C.V., Strevo, S.A. de C.V., Betterware de México, S.A. de C.V. ("Betterware"), BLSM Latino América Servicios, S.A. de C.V., and, solely for the purposes of Article XI therein, DD3 Mex Acquisition Corp. | Management | For | | For | | | | | |
| | 2. | The Redomiciliation Proposal - To consider and vote upon a proposal to: (a) re-domicile DD3 out of the British Virgin Islands and continue as a company incorporated in Guadalajara, Jalisco, United Mexican States ("Mexico"), prior to the closing of the Business Combination Agreement (the "Redomiciliation"); (b) adopt, upon the Redomiciliation taking effect, the by-laws governed by the laws of Mexico, attached to the accompanying proxy statement/prospectus as Annex D (the "Interim Charter") in place of DD3's amended and restated memorandum. | Management | For | | For | | | | | |
| | 3. | The Merger Proposal - To consider and vote upon a proposal to: (a) approve the balance sheet of DD3 corresponding to the period of September 30, 2019, included on page F-74 of the financial statements attached to the accompanying proxy statement/prospectus, that shall be used for the Merger (as defined below) (the "Balance Sheet"); (b) merge DD3 through a merger by incorporation with Betterware, as surviving entity (the "combined company"), assuming the entirety of the assets and liabilities of DD3 (the "Merger"). | Management | For | | For | | | | | |
| | 4. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the special meeting of shareholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve one or more of the proposals presented at the special meeting. | Management | For | | For | | | | | |
| | BOXWOOD MERGER CORP | | |
| | Security | 10319T101 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BWMC | | | | | | | | Meeting Date | 10-Feb-2020 | |
| | ISIN | US10319T1016 | | | | | | | | Agenda | 935104416 - Management | |
| | Record Date | 06-Nov-2019 | | | | | | | | Holding Recon Date | 06-Nov-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 07-Feb-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal: To approve and adopt the unit purchase agreement, dated as of August 12, 2019 ("Purchase Agreement"), by and among Boxwood Merger Corp. ("Boxwood" or the "Company"), Atlas TC Holdings LLC, ("Holdings"), Atlas TC Buyer LLC, a wholly- owned subsidiary of Holdings and a Delaware limited liability company ("Buyer"), Atlas Intermediate Holdings LLC, a Delaware limited liability company ("Atlas Intermediate"), and Atlas Technical Consultants Holdings LP, a Delaware limited partnership (the "Seller"). | Management | For | | For | | | | | |
| | 1A. | Stockholder 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 stockholder with respect to the shares of Class A common stock, par value $0.0001 per share, of Boxwood ("Class A common stock") owned by me in connection with the business combination. | Management | For | | None | | | | | |
| | 2. | The Charter Amendment Proposal: To approve and adopt, assuming the Business Combination Proposal is approved and adopted, the second amended and restated certificate of incorporation of the Company (the "Proposed Charter"), which, if approved, would take effect upon the closing of the business combination (the "Closing"). | Management | For | | For | | | | | |
| | 3. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal A: authorize an additional 200,000,000 shares of common stock. | Management | For | | For | | | | | |
| | 4. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal B: change the stockholder vote required to amend certain provisions of the Proposed Charter and the Company's bylaws. | Management | For | | For | | | | | |
| | 5. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal C: clarify that the current exclusive forum provision in the Charter adopting Delaware as the exclusive forum for certain stockholder litigation does not apply to claims. | Management | For | | For | | | | | |
| | 6. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal D: provide that certain amendments to and actions under the Proposed Charter are subject to the director nomination agreement to be entered into by and among Boxwood and BCP. | Management | For | | For | | | | | |
| | 7. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company ("Charter") as reflected in the Proposed Charter, ("advisory charter proposals"): Advisory Charter Proposal E: To revise the existing waiver of the corporate opportunity doctrine. | Management | For | | For | | | | | |
| | 8. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company ("Charter") as reflected in the Proposed Charter, ("advisory charter proposals"): Advisory Charter Proposal F: provide for certain additional changes, including, among other things, (i) changing the post-business combination company's corporate name and (ii) removing certain provisions related to our status as a blank check company. | Management | For | | For | | | | | |
| | 9. | The Nasdaq Proposal: To approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for the purposes of complying with the applicable listing rules of The Nasdaq Stock Market ("Nasdaq"). | Management | For | | For | | | | | |
| | 10. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | L. Joe Boyer | For | | For | | | | | |
| | | | 2 | Joe Reece | For | | For | | | | | |
| | | | 3 | Daniel G. Weiss | For | | For | | | | | |
| | | | 4 | R. Foster Duncan | For | | For | | | | | |
| | | | 5 | Stephen M. Kadenacy | For | | For | | | | | |
| | | | 6 | Duncan Murdoch | For | | For | | | | | |
| | | | 7 | George P. Bevan | For | | For | | | | | |
| | 11. | The Incentive Plan Proposal: To approve and adopt, assuming the condition precedent proposals are approved and adopted, the Atlas Technical Consultants, Inc. 2019 Omnibus Incentive Plan. | Management | For | | For | | | | | |
| | 12. | The Adjournment Proposal: To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the condition precedent proposals. | Management | For | | For | | | | | |
| | B. RILEY PRINCIPAL MERGER CORP. | | |
| | Security | 05586Y205 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BRPMU | | | | | | | | Meeting Date | 11-Feb-2020 | |
| | ISIN | US05586Y2054 | | | | | | | | Agenda | 935126347 - Management | |
| | Record Date | 16-Jan-2020 | | | | | | | | Holding Recon Date | 16-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 10-Feb-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal - approve and adopt the Agreement and Plan of Merger, dated as of December 12, 2019 (as the same may be amended from time to time, the "Merger Agreement"), by and among BRPM, BR Canyon Merger Sub Corp., a wholly-owned subsidiary of the Company and a Michigan corporation ("Merger Sub"), Alta Equipment Holdings, Inc., a Michigan corporation ("Alta"), and Ryan Greenawalt ("Greenawalt"), pursuant to which Merger Sub will merge with & into Alta (the "Merger") in accordance with Merger Agreement. | Management | For | | For | | | | | |
| | 2. | The Charter Amendment Proposal - approve and adopt, assuming the business combination proposal is approved and adopted, the third amended and restated certificate of incorporation of the Company (the "Proposed Charter"), which, if approved, would take effect upon the closing of the business combination (the "Closing") (we refer to this proposal as the "charter amendment proposal") The Advisory Charter Proposals - approve and adopt, on a nonbinding advisory basis, certain amendments to the amended and restated certificate of incorporation. | Management | For | | For | | | | | |
| | 3. | Advisory Charter Proposal A - to, upon completion of the business combination and the conversion of the Company's Class B common stock, par value $0.0001 per share ("Class B common stock"), into the Company's Class A common stock, par value $0.0001 per share ("Class A common stock"), increase the authorized capital stock of the Company from 126,000,000 shares, consisting of 100,000,000 shares of Class A common stock, 25,000,000 shares of Class B common stock and 1,000,000 shares of preferred stock to 201,000,000 shares. | Management | For | | For | | | | | |
| | 4. | Advisory Charter Proposal B - to change the stockholder vote required to amend certain provisions of the Proposed Charter and the Company's bylaws (we refer to this proposal as "advisory charter proposal B"). | Management | For | | For | | | | | |
| | 5. | Advisory Charter Proposal C - to clarify that the current exclusive forum provision in the Charter adopting Delaware as the exclusive forum for certain stockholder litigation does not apply to claims (i) arising under the Securities Act of 1933, as amended (the "Securities Act"), as to which the Court of Chancery of the State of Delaware and the federal district court for the District of Delaware have concurrent jurisdiction under Section 22 of the Securities Act, or (ii) brought to enforce a duty or liability created by Securities Exchange act. | Management | For | | For | | | | | |
| | 6. | Advisory Charter Proposal D - to remove the waiver of the corporate opportunity doctrine (we refer to this proposal as "advisory charter proposal D"). | Management | For | | For | | | | | |
| | 7. | Advisory Charter Proposal E - to provide that Section 203 of the Delaware General Corporation Law, which governs business combinations between the Company and certain interested stockholders, does not apply to the Company (we refer to this proposal as "advisory charter proposal E"). | Management | For | | For | | | | | |
| | 8. | Advisory Charter Proposal F - to provide for certain additional changes, including, among other things, (i) changing the post- business combination company's corporate name from "B. Riley Principal Merger Corp." to "Alta Equipment Group Inc." and making the Company's corporate existence perpetual and (ii) removing certain provisions related to our status as a blank check company that will no longer apply upon consummation of business combination, all of which our board believes are necessary to adequately address the needs of the post-business. | Management | For | | For | | | | | |
| | 9. | The NYSE Proposal - approve, assuming the business combination proposal and the charter amendment proposal are approved and adopted, for the purposes of complying with the applicable provisions of Section 312.03 of the Listed Company Manual of the New York Stock Exchange (the "NYSE"), (i) the issuance of shares of common stock to Alta's equityholders, which include Greenawalt, pursuant to the terms of the Merger Agreement, (ii) the issuance of shares of common stock to the PIPE investors (as defined in the accompanying proxy statement). | Management | For | | For | | | | | |
| | 10. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Katherine E. White | For | | For | | | | | |
| | | | 2 | Daniel Shribman | For | | For | | | | | |
| | | | 3 | Zachary E. Savas | For | | For | | | | | |
| | | | 4 | Ryan Greenawalt | For | | For | | | | | |
| | | | 5 | Andrew Studdert | For | | For | | | | | |
| | 11. | The Incentive Plan Proposal - approve and adopt, assuming the condition precedent proposals are approved and adopted, the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan, a copy of which is attached to the accompanying proxy statement as Annex C (we refer to this proposal as the "incentive plan proposal"). | Management | For | | For | | | | | |
| | 12. | The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the condition precedent proposals or the incentive plan proposal (we refer to this proposal as the "adjournment proposal"). | Management | For | | For | | | | | |
| | B. RILEY PRINCIPAL MERGER CORP. | | |
| | Security | 05586Y106 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BRPM | | | | | | | | Meeting Date | 11-Feb-2020 | |
| | ISIN | US05586Y1064 | | | | | | | | Agenda | 935126347 - Management | |
| | Record Date | 16-Jan-2020 | | | | | | | | Holding Recon Date | 16-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 10-Feb-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal - approve and adopt the Agreement and Plan of Merger, dated as of December 12, 2019 (as the same may be amended from time to time, the "Merger Agreement"), by and among BRPM, BR Canyon Merger Sub Corp., a wholly-owned subsidiary of the Company and a Michigan corporation ("Merger Sub"), Alta Equipment Holdings, Inc., a Michigan corporation ("Alta"), and Ryan Greenawalt ("Greenawalt"), pursuant to which Merger Sub will merge with & into Alta (the "Merger") in accordance with Merger Agreement. | Management | For | | For | | | | | |
| | 2. | The Charter Amendment Proposal - approve and adopt, assuming the business combination proposal is approved and adopted, the third amended and restated certificate of incorporation of the Company (the "Proposed Charter"), which, if approved, would take effect upon the closing of the business combination (the "Closing") (we refer to this proposal as the "charter amendment proposal") The Advisory Charter Proposals - approve and adopt, on a nonbinding advisory basis, certain amendments to the amended and restated certificate of incorporation. | Management | For | | For | | | | | |
| | 3. | Advisory Charter Proposal A - to, upon completion of the business combination and the conversion of the Company's Class B common stock, par value $0.0001 per share ("Class B common stock"), into the Company's Class A common stock, par value $0.0001 per share ("Class A common stock"), increase the authorized capital stock of the Company from 126,000,000 shares, consisting of 100,000,000 shares of Class A common stock, 25,000,000 shares of Class B common stock and 1,000,000 shares of preferred stock to 201,000,000 shares. | Management | For | | For | | | | | |
| | 4. | Advisory Charter Proposal B - to change the stockholder vote required to amend certain provisions of the Proposed Charter and the Company's bylaws (we refer to this proposal as "advisory charter proposal B"). | Management | For | | For | | | | | |
| | 5. | Advisory Charter Proposal C - to clarify that the current exclusive forum provision in the Charter adopting Delaware as the exclusive forum for certain stockholder litigation does not apply to claims (i) arising under the Securities Act of 1933, as amended (the "Securities Act"), as to which the Court of Chancery of the State of Delaware and the federal district court for the District of Delaware have concurrent jurisdiction under Section 22 of the Securities Act, or (ii) brought to enforce a duty or liability created by Securities Exchange act. | Management | For | | For | | | | | |
| | 6. | Advisory Charter Proposal D - to remove the waiver of the corporate opportunity doctrine (we refer to this proposal as "advisory charter proposal D"). | Management | For | | For | | | | | |
| | 7. | Advisory Charter Proposal E - to provide that Section 203 of the Delaware General Corporation Law, which governs business combinations between the Company and certain interested stockholders, does not apply to the Company (we refer to this proposal as "advisory charter proposal E"). | Management | For | | For | | | | | |
| | 8. | Advisory Charter Proposal F - to provide for certain additional changes, including, among other things, (i) changing the post- business combination company's corporate name from "B. Riley Principal Merger Corp." to "Alta Equipment Group Inc." and making the Company's corporate existence perpetual and (ii) removing certain provisions related to our status as a blank check company that will no longer apply upon consummation of business combination, all of which our board believes are necessary to adequately address the needs of the post-business. | Management | For | | For | | | | | |
| | 9. | The NYSE Proposal - approve, assuming the business combination proposal and the charter amendment proposal are approved and adopted, for the purposes of complying with the applicable provisions of Section 312.03 of the Listed Company Manual of the New York Stock Exchange (the "NYSE"), (i) the issuance of shares of common stock to Alta's equityholders, which include Greenawalt, pursuant to the terms of the Merger Agreement, (ii) the issuance of shares of common stock to the PIPE investors (as defined in the accompanying proxy statement). | Management | For | | For | | | | | |
| | 10. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Katherine E. White | For | | For | | | | | |
| | | | 2 | Daniel Shribman | For | | For | | | | | |
| | | | 3 | Zachary E. Savas | For | | For | | | | | |
| | | | 4 | Ryan Greenawalt | For | | For | | | | | |
| | | | 5 | Andrew Studdert | For | | For | | | | | |
| | 11. | The Incentive Plan Proposal - approve and adopt, assuming the condition precedent proposals are approved and adopted, the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan, a copy of which is attached to the accompanying proxy statement as Annex C (we refer to this proposal as the "incentive plan proposal"). | Management | For | | For | | | | | |
| | 12. | The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the condition precedent proposals or the incentive plan proposal (we refer to this proposal as the "adjournment proposal"). | Management | For | | For | | | | | |
| | TENZING ACQUISITION CORP | | |
| | Security | G8708A124 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | TZACU | | | | | | | | Meeting Date | 18-Feb-2020 | |
| | ISIN | VGG8708A1241 | | | | | | | | Agenda | 935128579 - Management | |
| | Record Date | 29-Jan-2020 | | | | | | | | Holding Recon Date | 29-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 14-Feb-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To amend the Company's Amended and Restated Memorandum and Articles of Association ("Memorandum") to extend date by which Company has to consummate a business combination from Feb 23, 2020 to May 26, 2020 (or June 23, 2020 if the Company has executed a definitive agreement for a business combination by May 26, 2020) or such earlier date as determined by Board, by amending Memorandum to delete existing Regulation 23.2 and replacing it with new Regulation 23.2 in the form set forth in Annex A of proxy statement sent to shareholders. | Management | For | | For | | | | | |
| | 2.1 | Election of Class I Director: Mr. William I. Campbell | Management | For | | For | | | | | |
| | 2.2 | Election of Class I Director: Mr. Vikas Thapar | Management | For | | For | | | | | |
| | 2.3 | Election of Class I Director: Ms. Nina Shapiro | Management | For | | For | | | | | |
| | 3. | Adjournment Proposal: To direct the chairman of the Meeting to adjourn the Meeting to a later date or dates, 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 the Extension Proposal or the Director Proposal. | Management | For | | For | | | | | |
| | PURE ACQUISITION CORP. | | |
| | Security | 74621Q106 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | PACQ | | | | | | | | Meeting Date | 20-Feb-2020 | |
| | ISIN | US74621Q1067 | | | | | | | | Agenda | 935129836 - Management | |
| | Record Date | 29-Jan-2020 | | | | | | | | Holding Recon Date | 29-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 19-Feb-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1) | The Extension Amendment Proposal - To amend the Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from February 21. 2020 to May 21, 2020. | Management | For | | For | | | | | |
| | 2) | The Adjournment Proposal - to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. | Management | For | | For | | | | | |
| | HL ACQUISITIONS CORP. | | |
| | Security | G4603R106 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | HCCH | | | | | | | | Meeting Date | 02-Mar-2020 | |
| | ISIN | VGG4603R1064 | | | | | | | | Agenda | 935129862 - Management | |
| | Record Date | 05-Feb-2020 | | | | | | | | Holding Recon Date | 05-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 28-Feb-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1 | Extension Amendment Proposal: To extend the date by which the Company has to consummate a business combination from March 2, 2020 to July 2, 2020. | Management | For | | For | | | | | |
| | ABERDEEN FUNDS | | |
| | Security | 00301W105 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | AEF | | | | | | | | Meeting Date | 04-Mar-2020 | |
| | ISIN | US00301W1053 | | | | | | | | Agenda | 935126082 - Management | |
| | Record Date | 31-Dec-2019 | | | | | | | | Holding Recon Date | 31-Dec-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 03-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Election of Class III Director to serve for a term expiring in 2023: Steven N. Rappaport | Management | Split | | For | | | | | |
| | CHASERG TECHNOLOGY ACQUISITION CORP | | |
| | Security | 16166A103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | CTAC | | | | | | | | Meeting Date | 04-Mar-2020 | |
| | ISIN | US16166A1034 | | | | | | | | Agenda | 935130257 - Management | |
| | Record Date | 05-Feb-2020 | | | | | | | | Holding Recon Date | 05-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 03-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve and adopt (i) Merger Agreement, by and among ChaSerg, Grid Dynamics International, Inc. ("Grid Dynamics"), and the other parties named therein, (ii) the transactions contemplated by the Merger Agreement, including a business combination that will result in the existing business of Grid Dynamics being owned by ChaSerg, a NASDAQ-listed public company, and ChaSerg's issuance of shares and payment of cash as merger consideration to Grid Dynamics' selling stockholders (collectively, the "Business Combination Proposal"). | Management | For | | For | | | | | |
| | 2. | To approve, for purposes of complying with applicable listing rules of The NASDAQ Stock Market LLC, the issuance of more than 20% of the number of shares of ChaSerg Class A Common Stock and ChaSerg Class B Common Stock, combined, outstanding prior to the Business Combination (the "NASDAQ Proposal"). | Management | For | | For | | | | | |
| | 3. | To consider and vote upon a proposal to approve the following material differences between the constitutional documents of ChaSerg that will be in effect upon the closing of the Business Combination (such entity existing after the Business Combination, "Successor") and ChaSerg's current amended and restated certificate of incorporation (the "Charter Proposals"). | Management | For | | For | | | | | |
| | 4A. | Election of Leonard Livschitz as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | | For | | | | | |
| | 4B. | Election of Marina Levinson as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | | For | | | | | |
| | 4C. | Election of Shou Zhang as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | | For | | | | | |
| | 4D. | Election of Lloyd Carney as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | | For | | | | | |
| | 4E. | Election of Michael Southworth as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | | For | | | | | |
| | 4F. | Election of Yueou Wang as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | | For | | | | | |
| | 4G. | Election of Eric Benhamou as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | | For | | | | | |
| | 4H. | Election of Weihang Wang as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | | For | | | | | |
| | 5. | To adopt and approve the ChaSerg Technology Acquisition Corp. 2020 Equity Incentive Plan and the reservation of 16,300,000 shares of Successor Common Stock for issuance pursuant to awards granted thereunder (the "Incentive Plan Proposal"). | Management | For | | For | | | | | |
| | 6. | To approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the NASDAQ Proposal, the Charter Proposals, the Director Election Proposal and the Incentive Plan Proposal. | Management | For | | For | | | | | |
| | CHASERG TECHNOLOGY ACQUISITION CORP | | |
| | Security | 16166A103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | CTAC | | | | | | | | Meeting Date | 04-Mar-2020 | |
| | ISIN | US16166A1034 | | | | | | | | Agenda | 935135904 - Management | |
| | Record Date | 24-Feb-2020 | | | | | | | | Holding Recon Date | 24-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 03-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve and adopt (i) Merger Agreement, by and among ChaSerg, Grid Dynamics International, Inc. ("Grid Dynamics"), and the other parties named therein, (ii) the transactions contemplated by the Merger Agreement, including a business combination that will result in the existing business of Grid Dynamics being owned by ChaSerg, a NASDAQ-listed public company, and ChaSerg's issuance of shares and payment of cash as merger consideration to Grid Dynamics' selling stockholders (collectively, the "Business Combination Proposal"). | Management | For | | For | | | | | |
| | 2. | To approve, for purposes of complying with applicable listing rules of The NASDAQ Stock Market LLC, the issuance of more than 20% of the number of shares of ChaSerg Class A Common Stock and ChaSerg Class B Common Stock, combined, outstanding prior to the Business Combination (the "NASDAQ Proposal"). | Management | For | | For | | | | | |
| | 3. | To consider and vote upon a proposal to approve the following material differences between the constitutional documents of ChaSerg that will be in effect upon the closing of the Business Combination (such entity existing after the Business Combination, "Successor") and ChaSerg's current amended and restated certificate of incorporation (the "Charter Proposals"). | Management | For | | For | | | | | |
| | 4A. | Election of Leonard Livschitz as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | | For | | | | | |
| | 4B. | Election of Marina Levinson as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | | For | | | | | |
| | 4C. | Election of Shou Zhang as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | | For | | | | | |
| | 4D. | Election of Lloyd Carney as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | | For | | | | | |
| | 4E. | Election of Michael Southworth as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | | For | | | | | |
| | 4F. | Election of Yueou Wang as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | | For | | | | | |
| | 4G. | Election of Eric Benhamou as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | | For | | | | | |
| | 4H. | Election of Weihang Wang as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | | For | | | | | |
| | 5. | To adopt and approve the ChaSerg Technology Acquisition Corp. 2020 Equity Incentive Plan and the reservation of 16,300,000 shares of Successor Common Stock for issuance pursuant to awards granted thereunder (the "Incentive Plan Proposal"). | Management | For | | For | | | | | |
| | 6. | To approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the NASDAQ Proposal, the Charter Proposals, the Director Election Proposal and the Incentive Plan Proposal. | Management | For | | For | | | | | |
| | PGIM INVESTMENTS | | |
| | Security | 69346H100 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | ISD | | | | | | | | Meeting Date | 09-Mar-2020 | |
| | ISIN | US69346H1005 | | | | | | | | Agenda | 935122616 - Management | |
| | Record Date | 18-Dec-2019 | | | | | | | | Holding Recon Date | 18-Dec-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 06-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Kevin J. Bannon | Split | | For | | | | | |
| | | | 2 | Keith F. Hartstein | Split | | For | | | | | |
| | | | 3 | Grace C. Torres | Split | | For | | | | | |
| | PGIM INVESTMENTS | | |
| | Security | 69346J106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | GHY | | | | | | | | Meeting Date | 09-Mar-2020 | |
| | ISIN | US69346J1060 | | | | | | | | Agenda | 935122628 - Management | |
| | Record Date | 18-Dec-2019 | | | | | | | | Holding Recon Date | 18-Dec-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 06-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Kevin J. Bannon | Split | | For | | | | | |
| | | | 2 | Keith F. Hartstein | Split | | For | | | | | |
| | | | 3 | Grace C. Torres | Split | | For | | | | | |
| | PGIM INVESTMENTS | | |
| | Security | 69346J106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | GHY | | | | | | | | Meeting Date | 09-Mar-2020 | |
| | ISIN | US69346J1060 | | | | | | | | Agenda | 935122628 - Management | |
| | Record Date | 18-Dec-2019 | | | | | | | | Holding Recon Date | 18-Dec-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 06-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Kevin J. Bannon | Split | | For | | | | | |
| | | | 2 | Keith F. Hartstein | Split | | For | | | | | |
| | | | 3 | Grace C. Torres | Split | | For | | | | | |
| | BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | | |
| | Security | 10537L104 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | BWG | | | | | | | | Meeting Date | 20-Mar-2020 | |
| | ISIN | US10537L1044 | | | | | | | | Agenda | 935128632 - Management | |
| | Record Date | 07-Jan-2020 | | | | | | | | Holding Recon Date | 07-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 19-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1.1 | Election of Class II Director: Nisha Kumar | Management | Split | | For | | | | | |
| | 1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | Split | | For | | | | | |
| | 2. | To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended October 31, 2020. | Management | Split | | For | | | | | |
| | 3. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board consider a self- tender offer for all outstanding shares of the Fund at or close to net asset value, if properly presented before the Meeting. | Shareholder | Split | | Against | | | | | |
| | 4. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board amend the Fund's bylaws to provide a majority of votes cast voting standard for contested director elections, if properly presented before the Meeting. | Shareholder | Split | | Against | | | | | |
| | BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | | |
| | Security | 10537L104 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | BWG | | | | | | | | Meeting Date | 20-Mar-2020 | |
| | ISIN | US10537L1044 | | | | | | | | Agenda | 935128632 - Management | |
| | Record Date | 07-Jan-2020 | | | | | | | | Holding Recon Date | 07-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 19-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1.1 | Election of Class II Director: Nisha Kumar | Management | Split | | For | | | | | |
| | 1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | Split | | For | | | | | |
| | 2. | To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended October 31, 2020. | Management | Split | | For | | | | | |
| | 3. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board consider a self- tender offer for all outstanding shares of the Fund at or close to net asset value, if properly presented before the Meeting. | Shareholder | Split | | Against | | | | | |
| | 4. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board amend the Fund's bylaws to provide a majority of votes cast voting standard for contested director elections, if properly presented before the Meeting. | Shareholder | Split | | Against | | | | | |
| | BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | | |
| | Security | 10537L104 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | BWG | | | | | | | | Meeting Date | 20-Mar-2020 | |
| | ISIN | US10537L1044 | | | | | | | | Agenda | 935128632 - Management | |
| | Record Date | 07-Jan-2020 | | | | | | | | Holding Recon Date | 07-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 19-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1.1 | Election of Class II Director: Nisha Kumar | Management | Split | | For | | | | | |
| | 1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | Split | | For | | | | | |
| | 2. | To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended October 31, 2020. | Management | Split | | For | | | | | |
| | 3. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board consider a self- tender offer for all outstanding shares of the Fund at or close to net asset value, if properly presented before the Meeting. | Shareholder | Split | | Against | | | | | |
| | 4. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board amend the Fund's bylaws to provide a majority of votes cast voting standard for contested director elections, if properly presented before the Meeting. | Shareholder | Split | | Against | | | | | |
| | BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | | |
| | Security | 10537L104 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | BWG | | | | | | | | Meeting Date | 20-Mar-2020 | |
| | ISIN | US10537L1044 | | | | | | | | Agenda | 935129937 - Opposition | |
| | Record Date | 07-Jan-2020 | | | | | | | | Holding Recon Date | 07-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 19-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1.1 | Election of Director: Rajeev Das | Management | Split | | For | | | | | |
| | 1.2 | Election of Director: Andrew Dakos | Management | Split | | For | | | | | |
| | 2. | Ratification of PricewaterhouseCoopers LLP ("PwC")as the Fund's independent registered public accountants. | Management | Split | | For | | | | | |
| | 3. | To conduct a self-tender offer at or close to NAV. | Management | Split | | For | | | | | |
| | 4. | The Board should amend the bylaws to provide that in a contested election, a majority of the votes cast in the election of Directors shall be required to elect a Director. | Management | Split | | For | | | | | |
| | BIG ROCK PARTNERS ACQUISITION CORP | | |
| | Security | 089482103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | BRPA | | | | | | | | Meeting Date | 23-Mar-2020 | |
| | ISIN | US0894821034 | | | | | | | | Agenda | 935142428 - Management | |
| | Record Date | 03-Mar-2020 | | | | | | | | Holding Recon Date | 03-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 20-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to July 23, 2020. | Management | For | | For | | | | | |
| | 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | | For | | | | | |
| | LEISURE ACQUISITION CORP. | | |
| | Security | 52539T107 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | LACQ | | | | | | | | Meeting Date | 26-Mar-2020 | |
| | ISIN | US52539T1079 | | | | | | | | Agenda | 935137491 - Management | |
| | Record Date | 24-Feb-2020 | | | | | | | | Holding Recon Date | 24-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 25-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension Amendment: Proposal to amend the Company's Second Amended and Restated Certificate of Incorporation, as amended on December 5, 2019, to extend the date by which the Company must consummate a business combination from April 5, 2020 to June 30, 2020. | Management | For | | For | | | | | |
| | 2. | Trust Amendment: Proposal to amend the Company's investment management trust agreement, dated December 1, 2017, as amended on December 5, 2019, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination from April 5, 2020 to June 30, 2020. | Management | For | | For | | | | | |
| | 3. | Adjournment Proposal: Proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. | Management | For | | For | | | | | |
| | ALLEGRO MERGER CORP | | |
| | Security | 01749N103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | ALGR | | | | | | | | Meeting Date | 26-Mar-2020 | |
| | ISIN | US01749N1037 | | | | | | | | Agenda | 935147707 - Management | |
| | Record Date | 02-Mar-2020 | | | | | | | | Holding Recon Date | 02-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 25-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate its initial business combination to April 30, 2020. | Management | For | | For | | | | | |
| | EDTECHX HOLDINGS ACQUISITION CORP. | | |
| | Security | 28138X103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | EDTX | | | | | | | | Meeting Date | 26-Mar-2020 | |
| | ISIN | US28138X1037 | | | | | | | | Agenda | 935148773 - Management | |
| | Record Date | 24-Feb-2020 | | | | | | | | Holding Recon Date | 24-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 25-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve and adopt the Agreement and Plan of Reorganization, dated as of December 12, 2019, by and among EdtechX Holdings Acquisition Corp., Meten EdtechX Education Group Ltd., Meten Education Inc., Meten Education Group Ltd. and Meten International Education Group and to approve the mergers contemplated thereby | Management | For | | For | | | | | |
| | 2. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | B. Vedrenne-Cloquet | For | | For | | | | | |
| | | | 2 | Charles McIntyre | For | | For | | | | | |
| | | | 3 | Jishuang Zhao | For | | For | | | | | |
| | | | 4 | Siguang Peng | For | | For | | | | | |
| | | | 5 | Yupeng Guo | For | | For | | | | | |
| | | | 6 | Yongchao Chen | For | | For | | | | | |
| | | | 7 | Yanli Chen | For | | For | | | | | |
| | | | 8 | Zhiyi Xie | For | | For | | | | | |
| | | | 9 | Ying Cheng | For | | For | | | | | |
| | 3A. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of incorporation: The name of the new public entity will be "Meten EdtechX Education Group Ltd. " as opposed to "EdtechX Holdings Acquisition Corp.". | Management | For | | For | | | | | |
| | 3B. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of | Management | For | | For | | | | | |
| | | incorporation: Meten EdtechX Education Group Ltd. has 500,000,000 ordinary shares authorized, as opposed to EdtechX Holdings Acquisition Corp. having 25,000,000 authorized shares of common stock and 1,000,000 authorized shares of preferred stock. | | | | | | | | | | | |
| | 3C. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of incorporation: Meten EdtechX Education Group Ltd.'s corporate existence is perpetual as opposed to EdtechX Holdings Acquisition Corp.'s corporate existence terminating if a business combination is not consummated within a specified period of time. | Management | For | | For | | | | | |
| | 3D. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of incorporation: Meten EdtechX Education Group Ltd.'s constitutional documents do not include the various provisions applicable only to special purpose acquisition corporations that EdtechX Holdings Acquisition Corp.'s charter contains. | Management | For | | For | | | | | |
| | 4. | To adjourn the annual meeting to a later date or dates, if necessary, if the parties are unable to consummate the mergers for any reason. | Management | For | | For | | | | | |
| | ALLEGRO MERGER CORP | | |
| | Security | 01749N103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | ALGR | | | | | | | | Meeting Date | 31-Mar-2020 | |
| | ISIN | US01749N1037 | | | | | | | | Agenda | 935144496 - Management | |
| | Record Date | 02-Mar-2020 | | | | | | | | Holding Recon Date | 02-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 30-Mar-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To consider and vote upon a proposal to approve to adopt the Agreement and Plan of Merger, dated as of November 8, 2019, by and among Allegro, Allegro Merger Sub, LLC, Holdings, Midco, and Rohit Manocha (solely in his capacity as the initial representative of the equity holders of Holdings and Midco), and to approve the business combination contemplated by such agreement. | Management | For | | For | | | | | |
| | 2A. | To approve amendments to the amended and restated certificate of incorporation of Allegro, as amended, effective following the business combination, to: change the name of Allegro from "Allegro Merger Corp." to "TGI Fridays Holdings, Inc.". | Management | For | | For | | | | | |
| | 2B. | To approve amendments to the amended and restated certificate of incorporation of Allegro, as amended, effective following the business combination, to: increase the number of authorized shares of Allegro common stock from 40,000,000 shares to 1,200,000,000 shares. | Management | For | | For | | | | | |
| | 2C. | To approve amendments to the amended and restated certificate of incorporation of Allegro, as amended, effective following the business combination, to: remove the provision for a classified board of directors. | Management | For | | For | | | | | |
| | 2D. | To approve amendments to the amended and restated certificate of incorporation of Allegro, as amended, effective following the business combination, to: set the initial number of directors to eight (and limit the size of the board of directors to no more than twelve). | Management | For | | For | | | | | |
| | 2E. | To approve amendments to the amended and restated certificate of incorporation of Allegro, as amended, effective following the business combination, to: prohibit any shareholder action by written consent. | Management | For | | For | | | | | |
| | 2F. | To approve amendments to the amended and restated certificate of incorporation of Allegro, as amended, effective following the business combination, to: remove provisions that will no longer be applicable to Allegro as a special purpose acquisition company after the business combination. | Management | For | | For | | | | | |
| | 3. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Rohit Manocha | For | | For | | | | | |
| | | | 2 | Raymond Blanchette | For | | For | | | | | |
| | | | 3 | Sidney Feltenstein | For | | For | | | | | |
| | | | 4 | Alexander Matina | For | | For | | | | | |
| | | | 5 | Eric Rosenfeld | For | | For | | | | | |
| | | | 6 | David Sgro | For | | For | | | | | |
| | | | 7 | Weldon Spangler | For | | For | | | | | |
| | | | 8 | Anil Yadav | For | | For | | | | | |
| | 4. | To approve an omnibus equity incentive plan of Allegro to be effective upon consummation of the business combination. | Management | For | | For | | | | | |
| | 5. | To adjourn the annual meeting to a later date or dates if determined by the officer presiding over the meeting. | Management | For | | For | | | | | |
| | DUFF & PHELPS UTILITY & CORP BD TR INC. | | |
| | Security | 26432K108 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | DUC | | | | | | | | Meeting Date | 14-Apr-2020 | |
| | ISIN | US26432K1088 | | | | | | | | Agenda | 935123303 - Management | |
| | Record Date | 27-Dec-2019 | | | | | | | | Holding Recon Date | 27-Dec-2019 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 13-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Geraldine M. McNamara | Split | | For | | | | | |
| | | | 2 | David J. Vitale | Split | | For | | | | | |
| | 2. | Shareholder Proposal: BE IT RESOLVED, the shareholders of the Duff & Phelps Utility and Corporate Bond Trust Inc. ("DUC" or "Fund") request that the Board of Directors ("Board") promptly consider authorizing a self-tender offer for all outstanding common shares of the Fund at or close to net asset value ("NAV"). If more than 50% of Fund's outstanding common shares are tendered, the tender offer should be cancelled & the Board should take the steps necessary to liquidate, merge, or convert Fund to an open-end mutual fund or exchange traded fund. | Shareholder | Split | | Against | | | | | |
| | EATON VANCE FUNDS | | |
| | Security | 27829M103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | EXD | | | | | | | | Meeting Date | 16-Apr-2020 | |
| | ISIN | US27829M1036 | | | | | | | | Agenda | 935132578 - Management | |
| | Record Date | 04-Feb-2020 | | | | | | | | Holding Recon Date | 04-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | | |
| | | | 2 | Cynthia E. Frost | Split | | For | | | | | |
| | | | 3 | Scott E. Wennerholm | Split | | For | | | | | |
| | EATON VANCE FLOATING RATE | | |
| | Security | 278284104 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | EFF | | | | | | | | Meeting Date | 16-Apr-2020 | |
| | ISIN | US2782841041 | | | | | | | | Agenda | 935149458 - Management | |
| | Record Date | 02-Mar-2020 | | | | | | | | Holding Recon Date | 02-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | | |
| | | | 2 | Cynthia E. Frost | Split | | For | | | | | |
| | | | 3 | Scott E. Wennerholm | Split | | For | | | | | |
| | 2. | A non-binding shareholder proposal that the Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis. | Shareholder | Split | | Against | | | | | |
| | EATON VANCE FLOATING RATE | | |
| | Security | 278284104 | | | | | | | | Meeting Type | Contested-Annual | |
| | Ticker Symbol | EFF | | | | | | | | Meeting Date | 16-Apr-2020 | |
| | ISIN | US2782841041 | | | | | | | | Agenda | 935149460 - Opposition | |
| | Record Date | 02-Mar-2020 | | | | | | | | Holding Recon Date | 02-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | David Basile | Split | | For | | | | | |
| | | | 2 | Peter Borish | Split | | For | | | | | |
| | | | 3 | Charles Clarvit | Split | | For | | | | | |
| | 2. | For the Board to consider declassifying the Board so that all trustees are elected on an annual basis starting at the next annual meeting of shareholders. | Management | Split | | For | | | | | |
| | GRAF INDUSTRIAL CORP. | | |
| | Security | 384278206 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | GRAFU | | | | | | | | Meeting Date | 16-Apr-2020 | |
| | ISIN | US3842782068 | | | | | | | | Agenda | 935170340 - Management | |
| | Record Date | 19-Mar-2020 | | | | | | | | Holding Recon Date | 19-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1) | Amend (the "Extension Amendment") the Company's second amended and restated certificate of incorporation (the "charter") to extend the date by which the Company has to consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses (a "business combination") from April 18, 2020 to July 31, 2020 (the "Extension," and such date, the "Extended Date") ("the Extension Amendment Proposal"). | Management | For | | For | | | | | |
| | 2) | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Julie J. Levenson | For | | For | | | | | |
| | | | 2 | Sabrina McKee | For | | For | | | | | |
| | 3) | Approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal"). | Management | For | | For | | | | | |
| | NUVEEN PREFERED & CONVERTIBLE INCOME 2 | | |
| | Security | 67073D102 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | JQC | | | | | | | | Meeting Date | 22-Apr-2020 | |
| | ISIN | US67073D1028 | | | | | | | | Agenda | 935139382 - Management | |
| | Record Date | 13-Jan-2020 | | | | | | | | Holding Recon Date | 13-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 21-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1B. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | John K. Nelson | Split | | For | | | | | |
| | | | 2 | Terence J. Toth | Split | | For | | | | | |
| | | | 3 | Robert L. Young | Split | | For | | | | | |
| | NUVEEN GEORGIA QUALITY MUNICIPAL INC FD | | |
| | Security | 67072B107 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NKG | | | | | | | | Meeting Date | 22-Apr-2020 | |
| | ISIN | US67072B1070 | | | | | | | | Agenda | 935139394 - Management | |
| | Record Date | 13-Jan-2020 | | | | | | | | Holding Recon Date | 13-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 21-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | John K. Nelson | Split | | For | | | | | |
| | | | 2 | Terence J. Toth | Split | | For | | | | | |
| | | | 3 | Robert L. Young | Split | | For | | | | | |
| | NUVEEN INTER DUR QLTY MUNI TERM FD | | |
| | Security | 670677103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NIQ | | | | | | | | Meeting Date | 22-Apr-2020 | |
| | ISIN | US6706771036 | | | | | | | | Agenda | 935139394 - Management | |
| | Record Date | 13-Jan-2020 | | | | | | | | Holding Recon Date | 13-Jan-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 21-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | John K. Nelson | Split | | For | | | | | |
| | | | 2 | Terence J. Toth | Split | | For | | | | | |
| | | | 3 | Robert L. Young | Split | | For | | | | | |
| | TOTTENHAM ACQUISITION I LIMITED | | |
| | Security | G8959N106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | TOTA | | | | | | | | Meeting Date | 23-Apr-2020 | |
| | ISIN | VGG8959N1069 | | | | | | | | Agenda | 935157811 - Management | |
| | Record Date | 06-Mar-2020 | | | | | | | | Holding Recon Date | 06-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 22-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Jason Ma | For | | For | | | | | |
| | | | 2 | Felix Wong | For | | For | | | | | |
| | | | 3 | Satoshi Tominaga | For | | For | | | | | |
| | | | 4 | Albert Lyu | For | | For | | | | | |
| | | | 5 | Estela Kuo | For | | For | | | | | |
| | 2. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") TWO TIMES FOR AN ADDITIONAL THREE MONTHS EACH TIME FROM MAY 6, 2020. | Management | For | | For | | | | | |
| | 3. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. | Management | For | | For | | | | | |
| | 4. | RATIFICATION OF THE APPOINTMENT OF FRIEDMAN LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2019. | Management | For | | For | | | | | |
| | ALBERTON ACQUISITION CORP. | | |
| | Security | G35006116 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | ALACU | | | | | | | | Meeting Date | 23-Apr-2020 | |
| | ISIN | VGG350061161 | | | | | | | | Agenda | 935179956 - Management | |
| | Record Date | 13-Mar-2020 | | | | | | | | Holding Recon Date | 13-Mar-2020 | |
| | City / | Country | | | / | China | | | | | Vote Deadline Date | 22-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension Amendment: To amend the Company's memorandum and articles of association, to extend the date before which the Company must complete a business combination ("Termination Date") from April 27, 2020 ("Current Termination Date") to October 26, 2020 or such earlier date as determined by the Board ("Extended Termination Date"), and if the Company has not completed a business combination would similarly be extended by amending the M&A to include an additional regulation 47.15 in Articles of Association in the form set forth in Annex A. | Management | For | | For | | | | | |
| | 1A. | Intention to Exercise Redemption Rights: If you intend to exercise your redemption rights, please check for box. Checking for box, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the proxy statement under the heading "The Special Meeting - -Redemption Rights." | Management | For | | None | | | | | |
| | 1B. | Shareholder Certification: I hereby certify that I am not acting on concert or as a "group" (as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended), with any other stockholder of the Company owned by me in connection with the Business Combination Proposal. | Management | For | | None | | | | | |
| | 2. | Adjournment of the Special Meeting: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, 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 the foregoing proposal. | Management | For | | For | | | | | |
| | PUTNAM MUNICIPAL OPPORTUNITIES TRUST | | |
| | Security | 746922103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | PMO | | | | | | | | Meeting Date | 24-Apr-2020 | |
| | ISIN | US7469221037 | | | | | | | | Agenda | 935168890 - Management | |
| | Record Date | 06-Feb-2020 | | | | | | | | Holding Recon Date | 06-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 23-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Fixing the number of Trustees at 11. | Management | Split | | For | | | | | |
| | 1B. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Liaquat Ahamed | Split | | For | | | | | |
| | | | 2 | Ravi Akhoury | Split | | For | | | | | |
| | | | 3 | Barbara M. Baumann | Split | | For | | | | | |
| | | | 4 | Catharine Bond Hill | Split | | For | | | | | |
| | | | 5 | Paul L. Joskow | Split | | For | | | | | |
| | | | 6 | Kenneth R. Leibler | Split | | For | | | | | |
| | | | 7 | Robert L. Reynolds | Split | | For | | | | | |
| | | | 8 | Manoj P. Singh | Split | | For | | | | | |
| | | | 9 | Mona K. Sutphen | Split | | For | | | | | |
| | BARINGS BDC, INC. | | |
| | Security | 06759L103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | BBDC | | | | | | | | Meeting Date | 30-Apr-2020 | |
| | ISIN | US06759L1035 | | | | | | | | Agenda | 935146046 - Management | |
| | Record Date | 03-Mar-2020 | | | | | | | | Holding Recon Date | 03-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 29-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Election of Class II Director: Michael Freno | Management | Split | | For | | | | | |
| | 1B. | Election of Class II Director: John A. Switzer | Management | Split | | For | | | | | |
| | 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Management | Split | | For | | | | | |
| | BARINGS BDC, INC. | | |
| | Security | 06759L103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | BBDC | | | | | | | | Meeting Date | 30-Apr-2020 | |
| | ISIN | US06759L1035 | | | | | | | | Agenda | 935146046 - Management | |
| | Record Date | 03-Mar-2020 | | | | | | | | Holding Recon Date | 03-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 29-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Election of Class II Director: Michael Freno | Management | Split | | For | | | | | |
| | 1B. | Election of Class II Director: John A. Switzer | Management | Split | | For | | | | | |
| | 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Management | Split | | For | | | | | |
| | BLACKROCK MUNI NY INTER DURATION FD INC | | |
| | Security | 09255F109 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | MNE | | | | | | | | Meeting Date | 01-May-2020 | |
| | ISIN | US09255F1093 | | | | | | | | Agenda | 935133227 - Management | |
| | Record Date | 03-Feb-2020 | | | | | | | | Holding Recon Date | 03-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 30-Apr-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | The common shareholders and preferred shareholders of BlackRock Muni New York Intermediate Duration Fund, Inc. ("Target Fund"), are being asked to vote as a single class on a proposal to approve an Agreement and Plan of Merger ("Merger Agreement") pursuant to which the Target Fund will merge with and into a Massachusetts limited liability company and a wholly-owned subsidiary of BlackRock New York Municipal Opportunities Fund ("Acquiring Fund"), with shares of the Target Fund's common stock being converted into newly issued Investor A shares. | Management | Split | | For | | | | | |
| | WEALTHBRIDGE ACQUISITION LIMITED | | |
| | Security | G4887W110 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | HHHH | | | | | | | | Meeting Date | 05-May-2020 | |
| | ISIN | VGG4887W1106 | | | | | | | | Agenda | 935193615 - Management | |
| | Record Date | 09-Apr-2020 | | | | | | | | Holding Recon Date | 09-Apr-2020 | |
| | City / | Country | | | / | Hong Kong | | | | | Vote Deadline Date | 04-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve the share exchange agreement dated as of October 28, 2019 (as may be amended or supplemented from time to time, the "Share Exchange Agreement") among Wealthbridge, Scienjoy Inc. ("Scienjoy"), Lavacano Holdings Limited ("Lavacano"), WBY Entertainment Holdings Ltd. ("WBY," together with Lavacano, the "Sellers", and each "Seller") and the transactions contemplated thereunder, including but not limited to the acquisition of all of the issued and outstanding shares and ...(due to space limits, see proxy material for full proposal). | Management | For | | For | | | | | |
| | 2. | To approve as a shareholder resolution to change of Wealthbridge's name to Scienjoy Holding Corporation and the adoption of the Third Amended and Restated Memorandum and Articles of Association of Wealthbridge as further described herein. This proposal is referred to as the "Amendment Proposal" or "Proposal No. 2." | Management | For | | For | | | | | |
| | 3. | To approve the issuance of more than 20% of the issued and outstanding ordinary shares of Wealthbridge pursuant to the terms of the Share Exchange Agreement, as required by Nasdaq Listing Rules 5635(a) and (d). This proposal is referred to as the "Nasdaq Proposal" or "Proposal 3." | Management | For | | For | | | | | |
| | 4. | To approve the adjournment of the extraordinary general meeting in the event Wealthbridge does not receive the requisite shareholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal" or "Proposal 4". | Management | For | | For | | | | | |
| | ABERDEEN FUNDS | | |
| | Security | 00326L100 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | AOD | | | | | | | | Meeting Date | 06-May-2020 | |
| | ISIN | US00326L1008 | | | | | | | | Agenda | 935157683 - Management | |
| | Record Date | 27-Feb-2020 | | | | | | | | Holding Recon Date | 27-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 05-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Election of Class III Trustee to serve until the 2023 Annual Meeting of Shareholders: Nancy Yao Maasbach | Management | Split | | For | | | | | |
| | 1B. | Election of Class III Trustee to serve until the 2023 Annual Meeting of Shareholders: Martin J. Gilbert | Management | Split | | For | | | | | |
| | KAYNE ANDERSON MLP/MIDSTREAM INV CO | | |
| | Security | 486606106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | KYN | | | | | | | | Meeting Date | 07-May-2020 | |
| | ISIN | US4866061066 | | | | | | | | Agenda | 935138114 - Management | |
| | Record Date | 14-Feb-2020 | | | | | | | | Holding Recon Date | 14-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 06-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | | For | | | | | |
| | 1B. | Election of Director: BARRY R. PEARL | Management | Split | | For | | | | | |
| | 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2020. | Management | Split | | For | | | | | |
| | KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC | | |
| | Security | 48661E108 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | KMF | | | | | | | | Meeting Date | 07-May-2020 | |
| | ISIN | US48661E1082 | | | | | | | | Agenda | 935138126 - Management | |
| | Record Date | 14-Feb-2020 | | | | | | | | Holding Recon Date | 14-Feb-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 06-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | | For | | | | | |
| | 1B. | Election of Director: BARRY R. PEARL | Management | Split | | For | | | | | |
| | 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KMF'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2020. | Management | Split | | For | | | | | |
| | VECTOIQ ACQUISITION CORP. | | |
| | Security | 92243N103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | VTIQ | | | | | | | | Meeting Date | 12-May-2020 | |
| | ISIN | US92243N1037 | | | | | | | | Agenda | 935198463 - Management | |
| | Record Date | 15-Apr-2020 | | | | | | | | Holding Recon Date | 15-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 11-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Charter Amendment: To amend VectoIQ's Amended and Restated Certificate of Incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") from May 18, 2020 to July 31, 2020, and permit holders of public shares to redeem their shares for their pro rata portion of the trust account. | Management | For | | For | | | | | |
| | 2. | Adjournment of the Meeting: To adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve any of the foregoing proposal. | Management | For | | For | | | | | |
| | COHEN & STEERS QUALITY INC RLTY, FD INC. | | |
| | Security | 19247L106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | RQI | | | | | | | | Meeting Date | 14-May-2020 | |
| | ISIN | US19247L1061 | | | | | | | | Agenda | 935144458 - Management | |
| | Record Date | 02-Mar-2020 | | | | | | | | Holding Recon Date | 02-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 13-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Michael G. Clark | Split | | For | | | | | |
| | | | 2 | Dean A. Junkans | Split | | For | | | | | |
| | COHEN & STEERS SELECT UTILITY FUND, INC. | | |
| | Security | 19248A109 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | UTF | | | | | | | | Meeting Date | 14-May-2020 | |
| | ISIN | US19248A1097 | | | | | | | | Agenda | 935144458 - Management | |
| | Record Date | 02-Mar-2020 | | | | | | | | Holding Recon Date | 02-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 13-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Michael G. Clark | Split | | For | | | | | |
| | | | 2 | Dean A. Junkans | Split | | For | | | | | |
| | PURE ACQUISITION CORP. | | |
| | Security | 74621Q106 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | PACQ | | | | | | | | Meeting Date | 15-May-2020 | |
| | ISIN | US74621Q1067 | | | | | | | | Agenda | 935214483 - Management | |
| | Record Date | 28-Apr-2020 | | | | | | | | Holding Recon Date | 28-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 14-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1) | The Extension Amendment Proposal - To amend the Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from May 21, 2020 to August 21, 2020, or such earlier date as determined by the Board. | Management | For | | For | | | | | |
| | 2) | The Adjournment Proposal - To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. | Management | For | | For | | | | | |
| | TENZING ACQUISITION CORP | | |
| | Security | G8708A124 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | TZACU | | | | | | | | Meeting Date | 21-May-2020 | |
| | ISIN | VGG8708A1241 | | | | | | | | Agenda | 935216704 - Management | |
| | Record Date | 24-Apr-2020 | | | | | | | | Holding Recon Date | 24-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 20-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Amend Tenzing's Amended and Restated Memorandum and Articles of Association ("Articles") to extend the date by which Tenzing has to consummate a business combination from May 26, 2020 (or June 23, 2020 if Tenzing has executed a definitive agreement for a business combination by May 26, 2020) to July 27, 2020 (or Sep. 28, 2020 if Tenzing has executed a definitive agreement for a business combination by July 27, 2020), by amending the Articles to delete existing Regulation 23.2 and replacing it with new Regulation 23.2 (see proxy statement). | Management | For | | For | | | | | |
| | 2. | Adjournment of the Meeting: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve Proposal 1 | Management | For | | For | | | | | |
| | SOURCE CAPITAL, INC. | | |
| | Security | 836144105 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | SOR | | | | | | | | Meeting Date | 22-May-2020 | |
| | ISIN | US8361441053 | | | | | | | | Agenda | 935152847 - Management | |
| | Record Date | 16-Mar-2020 | | | | | | | | Holding Recon Date | 16-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 21-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Atwood | Split | | For | | | | | |
| | | | 2 | Brown | Split | | For | | | | | |
| | | | 3 | Lipson | Split | | For | | | | | |
| | | | 4 | Osborne | Split | | For | | | | | |
| | | | 5 | Pisano | Split | | For | | | | | |
| | | | 6 | Purcell | Split | | For | | | | | |
| | 2A. | To approve the amendment or elimination of the fundamental investment restrictions: Commodities and Real Estate | Management | Split | | For | | | | | |
| | 2B. | To approve the amendment or elimination of the fundamental investment restrictions: Senior Securities and Borrowing | Management | Split | | For | | | | | |
| | 2C. | To approve the amendment or elimination of the fundamental investment restrictions: Concentration of Investments | Management | Split | | For | | | | | |
| | 2D. | To approve the amendment or elimination of the fundamental investment restrictions: Making Loans | Management | Split | | For | | | | | |
| | 2E. | To approve the amendment or elimination of the fundamental investment restrictions: Underwriting | Management | Split | | For | | | | | |
| | 2F. | To approve the amendment or elimination of the fundamental investment restrictions: Concentration Limits | Management | Split | | For | | | | | |
| | 2G. | To approve the amendment or elimination of the fundamental investment restrictions: Short Sales and Purchases of Securities on Margin | Management | Split | | For | | | | | |
| | 2H. | To approve the amendment or elimination of the fundamental investment restrictions: Investments in which a Director or Officer is Invested | Management | Split | | For | | | | | |
| | 2I. | To approve the amendment or elimination of the fundamental investment restrictions: Writing and Selling Options | Management | Split | | For | | | | | |
| | 2J. | To approve the amendment or elimination of the fundamental investment restrictions: Investments in Other Investment Companies | Management | Split | | For | | | | | |
| | 2K. | To approve the amendment or elimination of the fundamental investment restrictions: Investments in Securities for Which Market Quotations Are Not Readily Available | Management | Split | | For | | | | | |
| | 2L. | To approve the amendment or elimination of the fundamental investment restrictions: Purchases of Certain Restricted Securities | Management | Split | | For | | | | | |
| | LONGEVITY ACQUISITION CORPORATION | | |
| | Security | G56372132 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | LOAC | | | | | | | | Meeting Date | 22-May-2020 | |
| | ISIN | VGG563721320 | | | | | | | | Agenda | 935211982 - Management | |
| | Record Date | 29-Apr-2020 | | | | | | | | Holding Recon Date | 29-Apr-2020 | |
| | City / | Country | | | / | China | | | | | Vote Deadline Date | 21-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | | | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension Proposal: Amend Longevity's Amended and Restated Memorandum and Articles of Association to extend the date by Longevity must consummate a business combination to November 30, 2020, by amending the Amended and Restated Memorandum and Articles of Association to delete the existing Regulation 23.2 thereof and replacing it with the new Regulation 23.2 in the form set forth in Annex A of the accompanying proxy statement. | Management | For | | For | | | | | |
| | 2. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Jun Liu | For | | For | | | | | |
| | | | 2 | Pai Liu | For | | For | | | | | |
| | 3. | Adjournment Proposal: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Proposal and the Director Proposal. | Management | For | | For | | | | | |
| | MEGALITH FINANCIAL ACQUISITION CORP. | | |
| | Security | 58518F208 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | MFACU | | | | | | | | Meeting Date | 26-May-2020 | |
| | ISIN | US58518F2083 | | | | | | | | Agenda | 935216677 - Management | |
| | Record Date | 22-Apr-2020 | | | | | | | | Holding Recon Date | 22-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 22-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1 | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from within 21 months from the closing of the Company's initial public offering ("IPO"), which is May 28, 2020, to August 28, 2020 (or November 30, 2020 if the Company has executed a definitive agreement for a business combination by August 28, 2020) or such earlier date as determined by the Board. | Management | For | | For | | | | | |
| | 2 | Trust Amendment Proposal: Amend the Investment Management Trust Agreement, dated Aug. 23, 2018, by and between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from May 28, 2020 to Aug. 28, 2020 (or Nov. 30, 2020 if the Company has executed a definitive agreement for an initial business combination by Aug 28. 2020). | Management | For | | For | | | | | |
| | 3. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Raj Date | For | | For | | | | | |
| | | | 2 | Eric Frank | For | | For | | | | | |
| | 4. | Adjournment Proposal: Adjourn the Special Meeting of stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1 and/or Proposal 2. | Management | For | | For | | | | | |
| | THE INDIA FUND, INC. | | |
| | Security | 454089103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | IFN | | | | | | | | Meeting Date | 27-May-2020 | |
| | ISIN | US4540891037 | | | | | | | | Agenda | 935199441 - Management | |
| | Record Date | 26-Mar-2020 | | | | | | | | Holding Recon Date | 26-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 26-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1.1 | Election of Class II Director to serve until the 2023 Annual Meeting of Stockholders: Nisha Kumar | Management | Split | | For | | | | | |
| | 1.2 | Election of Class II Director to serve until the 2023 Annual Meeting of Stockholders: Luis Rubio | Management | Split | | For | | | | | |
| | TEMPLETON GLOBAL INCOME FUND | | |
| | Security | 880198106 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | GIM | | | | | | | | Meeting Date | 28-May-2020 | |
| | ISIN | US8801981064 | | | | | | | | Agenda | 935159093 - Management | |
| | Record Date | 12-Mar-2020 | | | | | | | | Holding Recon Date | 12-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 27-May-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Edith E. Holiday | Split | | For | | | | | |
| | | | 2 | J. Michael Luttig | Split | | For | | | | | |
| | | | 3 | C.D. Tseretopoulos | Split | | For | | | | | |
| | 2. | 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, 2020. | Management | Split | | For | | | | | |
| | VECTOIQ ACQUISITION CORP. | | |
| | Security | 92243N103 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | VTIQ | | | | | | | | Meeting Date | 02-Jun-2020 | |
| | ISIN | US92243N1037 | | | | | | | | Agenda | 935220905 - Management | |
| | Record Date | 08-May-2020 | | | | | | | | Holding Recon Date | 08-May-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 01-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal - To approve and adopt the Business Combination Agreement, dated as of March 2, 2020 (as may be amended from time to time, the "Business Combination Agreement"), by and among VectoIQ, Nikola Corporation ("Nikola") and VCTIQ Merger Sub Corp. ("Merger Sub"), and the transactions contemplated thereby (the "Business Combination"). | Management | For | | For | | | | | |
| | 2A. | The Amendments to VectoIQ's Certificate of Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To change VectoIQ's name to "Nikola Corporation". | Management | For | | For | | | | | |
| | 2B. | The Amendments to VectoIQ's Certificate of Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To increase the number of authorized shares of VectoIQ Common Stock to 600,000,000 and the number of authorized shares of VectoIQ's preferred stock to 150,000,000 shares. | Management | For | | For | | | | | |
| | 2C. | The Amendments to VectoIQ's Certificate of Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To approve the choice of forum provisions. | Management | For | | For | | | | | |
| | 2D. | The Amendments to VectoIQ's Certificate of Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To include supermajority voting provisions. | Management | For | | For | | | | | |
| | 2E. | The Amendments to VectoIQ's Certificate of Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To remove the provision renouncing the corporate opportunity doctrine. | Management | For | | For | | | | | |
| | 2F. | The Amendments to VectoIQ's Certificate of Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To revise the classification of the board of directors from two classes with each of the successors to be elected for a two-year term to three classes with each of the successors to be elected for a three- year term. | Management | For | | For | | | | | |
| | 2G. | The Amendments to VectoIQ's Certificate of Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To approve all other changes to the Charter, including without limitation the elimination of certain provisions related to VectoIQ's initial business combination that will no longer be relevant following the closing of the Business Combination. | Management | For | | For | | | | | |
| | 3. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | Trevor R. Milton | For | | For | | | | | |
| | | | 2 | Mark A. Russell | For | | For | | | | | |
| | | | 3 | Stephen J. Girsky | For | | For | | | | | |
| | | | 4 | Sooyean Jin | For | | For | | | | | |
| | | | 5 | Michael L. Mansuetti | For | | For | | | | | |
| | | | 6 | Gerrit A. Marx | For | | For | | | | | |
| | | | 7 | Lonnie R. Stalsberg | For | | For | | | | | |
| | | | 8 | DeWitt C. Thompson V | For | | For | | | | | |
| | | | 9 | Jeffrey W. Ubben | For | | For | | | | | |
| | 4. | The Stock Incentive Plan Proposal - To approve and adopt the Nikola Corporation 2020 Stock Incentive Plan to be effective after the closing of the Business Combination. | Management | For | | For | | | | | |
| | 5. | The Nasdaq Proposal - To approve, in connection with the Business Combination, for purposes of complying with applicable listing rules of The Nasdaq Capital Market: the issuance, pursuant to the Business Combination Agreement, of 276,998,624 shares of VectoIQ Common Stock to the Nikola stockholders; and the issuance, in a private placement to be consummated concurrently with the closing of the Business Combination, of 52.5 million shares of VectoIQ Common Stock to a number of investors. | Management | For | | For | | | | | |
| | 6. | The Employee Stock Purchase Plan Proposal - To approve and adopt the Nikola Corporation Employee Stock Purchase Plan to be effective after the closing of the Business Combination. | Management | For | | For | | | | | |
| | 7. | The Adjournment Proposal - To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Amendments to VectoIQ's Certificate of Incorporation Proposal, the Election of Directors Proposal, the Stock Incentive Plan Proposal, the Nasdaq Proposal and the Employee Stock Purchase Plan Proposal. | Management | For | | For | | | | | |
| | PROFICIENT ALPHA ACQUISITION CORP. | | |
| | Security | 74317H204 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | PAACU | | | | | | | | Meeting Date | 03-Jun-2020 | |
| | ISIN | US74317H2040 | | | | | | | | Agenda | 935224408 - Management | |
| | Record Date | 27-Apr-2020 | | | | | | | | Holding Recon Date | 27-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Extension Amendment Proposal: To amend the amended and restated articles of incorporation of Proficient Alpha Acquisition Corp. ("Proficient") to extend the date by which Proficient has to consummate a business combination from June 3, 2020 to September 3, 2020. | Management | For | | For | | | | | |
| | 2. | The Adjournment Proposal: To adjourn the special meeting of Proficient stockholders to a later date or dates, if necessary, to permit further solicitation and vote of Proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal. | Management | For | | For | | | | | |
| | PROFICIENT ALPHA ACQUISITION CORP. | | |
| | Security | 74317H204 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | PAACU | | | | | | | | Meeting Date | 03-Jun-2020 | |
| | ISIN | US74317H2040 | | | | | | | | Agenda | 935227353 - Management | |
| | Record Date | 27-Apr-2020 | | | | | | | | Holding Recon Date | 27-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 02-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the First Amended and Restated Business Combination Agreement, dated as of May 12, 2020, by and among Proficient Alpha Acquisition Corp., Lion Group Holding Ltd., Lion MergerCo I, Inc., Lion Financial Group Limited and the other parties thereto, and the transactions contemplated thereby (the "Business Combination"). | Management | For | | For | | | | | |
| | 2. | The Share Issuance Proposal - To consider and vote upon a proposal, if necessary, to approve, for purposes of complying with applicable Nasdaq Stock Market LLC listing rules, the issuance of more than 20% of the issued and outstanding shares of common stock of Proficient Alpha Acquisition Corp. in financing transactions in connection with the Business Combination. | Management | For | | For | | | | | |
| | 3. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the special meeting of stockholders to a later date or dates, 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 the Business Combination Proposal and the Share Issuance Proposal, as applicable. | Management | For | | For | | | | | |
| | LEGACY ACQUISITION CORP. | | |
| | Security | 524643111 | | | | | | | | Meeting Type | Consent | |
| | Ticker Symbol | LGCWS | | | | | | | | Meeting Date | 08-Jun-2020 | |
| | ISIN | US5246431119 | | | | | | | | Agenda | 935222416 - Management | |
| | Record Date | 20-Mar-2020 | | | | | | | | Holding Recon Date | 20-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 05-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | To approve amendments to that certain Warrant Agreement, dated as of November 16, 2017, between the Company and Continental Stock Transfer & Trust Company (the "Warrant Agreement"), which amendments provide, among other things. | Management | For | | For | | | | | |
| | SCHULTZE SPECIAL PURPOSE ACQUISITION | | |
| | Security | 80821R109 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | SAMA | | | | | | | | Meeting Date | 09-Jun-2020 | |
| | ISIN | US80821R1095 | | | | | | | | Agenda | 935224307 - Management | |
| | Record Date | 08-May-2020 | | | | | | | | Holding Recon Date | 08-May-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 08-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | The Charter Amendment: To amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from June 13, 2020 to September 30, 2020. | Management | For | | For | | | | | |
| | 2. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | William G. LaPerch | For | | For | | | | | |
| | | | 2 | William T. Allen | For | | For | | | | | |
| | 3. | The Auditor Proposal: To ratify the selection by our audit committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | | For | | | | | |
| | HIGHLAND FUNDS | | |
| | Security | 43010E404 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | HFRO | | | | | | | | Meeting Date | 12-Jun-2020 | |
| | ISIN | US43010E4044 | | | | | | | | Agenda | 935209177 - Management | |
| | Record Date | 16-Apr-2020 | | | | | | | | Holding Recon Date | 16-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 11-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Dr. Bob Froehlich | Split | | For | | | | | |
| | HIGHLAND FUNDS | | |
| | Security | 43010T104 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | HGLB | | | | | | | | Meeting Date | 12-Jun-2020 | |
| | ISIN | US43010T1043 | | | | | | | | Agenda | 935212580 - Management | |
| | Record Date | 16-Apr-2020 | | | | | | | | Holding Recon Date | 16-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 11-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Dr. Bob Froehlich | Split | | For | | | | | |
| | LF CAPITAL ACQUISTION CORP | | |
| | Security | 50200K108 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | LFAC | | | | | | | | Meeting Date | 16-Jun-2020 | |
| | ISIN | US50200K1088 | | | | | | | | Agenda | 935227276 - Management | |
| | Record Date | 08-May-2020 | | | | | | | | Holding Recon Date | 08-May-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 15-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination from June 22, 2020 to September 22, 2020. | Management | For | | For | | | | | |
| | 2. | Adjournment of the Special Meeting Proposal to direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, 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 the foregoing proposal. | Management | For | | For | | | | | |
| | ATLAS TECHNICAL CONSULTANTS, INC. | | |
| | Security | 049430119 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | ATCXW | | | | | | | | Meeting Date | 19-Jun-2020 | |
| | ISIN | US0494301197 | | | | | | | | Agenda | 935232518 - Management | |
| | Record Date | 22-Apr-2020 | | | | | | | | Holding Recon Date | 22-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 18-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | | | | | | | | |
| | | | 1 | L. Joe Boyer | For | | For | | | | | |
| | | | 2 | Brian Ferraioli | For | | For | | | | | |
| | 2. | To approve the selection of Grant Thornton as our independent registered public accounting firm to audit our financial statements for the fiscal year ending December 31, 2020. | Management | For | | For | | | | | |
| | ARES CAPITAL CORPORATION | | |
| | Security | 04010L103 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | ARCC | | | | | | | | Meeting Date | 22-Jun-2020 | |
| | ISIN | US04010L1035 | | | | | | | | Agenda | 935167999 - Management | |
| | Record Date | 25-Mar-2020 | | | | | | | | Holding Recon Date | 25-Mar-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 19-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1A. | Election of Director: Michael J Arougheti | Management | Split | | For | | | | | |
| | 1B. | Election of Director: Ann Torre Bates | Management | Split | | For | | | | | |
| | 1C. | Election of Director: Steven B McKeever | Management | Split | | For | | | | | |
| | 2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | Split | | For | | | | | |
| | ACT II GLOBAL ACQUISITION CORP | | |
| | Security | G0080J104 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | ACTT | | | | | | | | Meeting Date | 24-Jun-2020 | |
| | ISIN | KYG0080J1040 | | | | | | | | Agenda | 935222341 - Management | |
| | Record Date | 01-May-2020 | | | | | | | | Holding Recon Date | 01-May-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 23-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | E1. | The Business Combination Proposal - To approve by ordinary resolution and adopt the purchase agreement, dated as of December 19, 2019 and as amended on February 12, 2020 ("Purchase Agreement"), by and among Act II, Flavors Holdings Inc. ("Flavors Holdings"), MW Holdings I LLC ("MW Holdings I"), MW Holdings III LLC ("MW Holdings III") and Mafco Foreign Holdings, Inc. (together with Flavors Holdings, MW Holdings I and MW Holdings III, "Sellers"), & for purposes of Amendment No. 2 to the Purchase Agreement, Project Taste Intermediate LLC. | Management | For | | For | | | | | |
| | E2. | The Domestication Proposal - To approve by special resolution, the change of Act II's jurisdiction of incorporation by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication"). | Management | For | | For | | | | | |
| | E3. | Organizational Documents Proposal - To approve by special resolution, the following material differences between Act II's Amended and Restated Memorandum and Articles of Association and the proposed new certificate of incorporation and the proposed new bylaws of Act II Global Acquisition Corp., which will be renamed "Whole Earth Brands, Inc." in connection with the Business Combination (Act II after the Domestication, including after such change of name, is referred to herein as "Whole Earth Brands, Inc."). | Management | For | | For | | | | | |
| | E4. | The Stock Issuance Proposal - To approve by ordinary resolution, for the purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635, the issuance of shares of Whole Earth Brands, Inc. common stock to the Sellers in connection with the Business Combination and any person or entity in connection with any incremental equity issuances, to the extent such issuances would require a shareholder vote under Nasdaq Listing Rule 5635. | Management | For | | For | | | | | |
| | E5. | The Incentive Award Plan Proposal - To approve by ordinary resolution, the Whole Earth Brands, Inc. 2020 Long-Term Incentive Award Plan. | Management | For | | For | | | | | |
| | E6. | The Adjournment Proposal - To approve the adjournment of the Shareholders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the Shareholders Meeting. | Management | For | | For | | | | | |
| | ACT II GLOBAL ACQUISITION CORP | | |
| | Security | G0080J120 | | | | | | | | Meeting Type | Special | |
| | Ticker Symbol | ACTTW | | | | | | | | Meeting Date | 24-Jun-2020 | |
| | ISIN | KYG0080J1206 | | | | | | | | Agenda | 935222353 - Management | |
| | Record Date | 01-May-2020 | | | | | | | | Holding Recon Date | 01-May-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 23-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | S1. | The Warrant Amendment Proposal - To approve and adopt an amendment (the "Warrant Amendment") to the warrant agreement that governs all of Act II's outstanding warrants to provide that, immediately prior to the consummation of the Business Combination (as defined in the proxy statement/prospectus). | Management | For | | For | | | | | |
| | S2. | The Warrant Holders Adjournment Proposal - To approve a proposal to adjourn the Warrant Holders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if it is determined by Act II that more time is necessary or appropriate to approve the Warrant Amendment Proposal. | Management | For | | For | | | | | |
| | PIMCO FUNDS | | |
| | Security | 69346N107 | | | | | | | | Meeting Type | Annual | |
| | Ticker Symbol | NRGX | | | | | | | | Meeting Date | 29-Jun-2020 | |
| | ISIN | US69346N1072 | | | | | | | | Agenda | 935224802 - Management | |
| | Record Date | 30-Apr-2020 | | | | | | | | Holding Recon Date | 30-Apr-2020 | |
| | City / | Country | | | / | United States | | | | | Vote Deadline Date | 26-Jun-2020 | |
| | SEDOL(s) | | | | | | Quick Code | | |
| | Item | Proposal | | Proposed by | Vote | Management Recommendation | | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | | |
| | | | 1 | Sarah E. Cogan | Split | | For | | | | | |
| | | | 2 | Joseph B. Kittredge, Jr | Split | | For | | | | | |
| | | | 3 | John C. Maney | Split | | For | | | | | |
| | | | 4 | William B. Ogden, IV | Split | | For | | | | | |
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.
