LoCorr Spectrum Income Fund | | | | | | | | | |
Sub-Adviser: Trust & Fiduciary Management Services, Inc. | | | | | | |
Proxy Voting for LSPIX through June 30, 2015: | | | | | | |
| | | | | | | | | |
| Exchange | | Shareholder | | | Who Proposed | | How the | For or Against |
Security Name | Ticker | Cusip | Meeting Date | Matter Voted On | | matter | Vote Cast On | Fund Voted | Management |
| | | | | | | | | |
Nuveen Preferred Income Oppt Fd | JPC | 67073B106 | 8/5/2014 | Electon of directors | | Issuer | 7/31/2014 | For all nominees | For |
| | | | Approve new investment management agreement between fund and Nuveen Fund Advisors | | Issuer | 7/31/2014 | For | For |
| | | | LLC, the fund's investment adviser | | | | | |
| | | | Approve a new sub-advisory agreement between Nuveen Fund Advisors and Nuveen Asset | | Issuer | 7/31/2014 | For | For |
| | | | Management, LLC | | | | | |
| | | | Approve new sub-advisory agreement between Nuveen Fund Advisors and NWQ Investment | | Issuer | 7/31/2014 | For | For |
| | | | Management Company, LLC | | | | | |
Banco Santander, SA | SAN | 05964H105 | 9/15/2014 | Increases in share capital relating to implementation of offering to acquire all securities | | Issuer | 9/5/2014 | For | For |
| | | | representing the share capital of Banco Santander (Brasil) SA | | | | | |
| | | | Extension of Deferred and Conditional Variable Renumeration Plan to certain employees and | | Issuer | 9/5/2014 | For | For |
| | | | officers of Grupo Santander that performed their duties at Banco Santander (Brasil) SA | | | | | |
| | | | Extension of 1st cycle of Performance Shares Plan to certain employees and officers of Grupo | | Issuer | 9/5/2014 | For | For |
| | | | Santander that performed their duties at Banco Santander (Brasil) SA | | | | | |
| | | | Plan for employees and officers of Grupo Santander that performed their duties at Banco | | Issuer | 9/5/2014 | For | For |
| | | | Santander (Brasil) SA by means of delivery of shares of the Bank linked to performance | | | | | |
| | | | Plans for employees and officers of Grupo Santancer that performed their duties at Banco | | Issuer | 9/5/2014 | For | For |
| | | | Santander (Brasil) SA by means of options on shares of the Bank linked to performance | | | | | |
| | | | Authorization to board of directors for the interpretation, correction, supplementation, im- | | Issuer | 9/5/2014 | For | For |
| | | | plementation and development of resolutions adopted by the shareholders at the meeting | | | | | |
Seadrill Ltd | SDRL | G7945E105 | 9/19/2014 | Re-election of directors | | Issuer | 9/15/2014 | For | For |
| | | | Re-appointment Pricewaterhousecoopers LLP as Auditor and to authorize directors to determine | | Issuer | 9/15/2014 | For | For |
| | | | their renumeration | | | | | |
| | | | Approve renumeration of Board of Directors of a total amount of fees not to exceed $1,500,000 | | Issuer | 9/15/2014 | For | For |
| | | | for the year ended December 31, 2014 | | | | | |
Ship Finance International LTD | SFL | G81075106 | 9/19/2014 | Re-election of directors | | Issuer | 9/15/2014 | For | For |
| | | | The "capital reduction" | | Issuer | 9/15/2014 | For | For |
| | | | Subject to capital reduction taking effect, the amount of credit arising therefrom be credited to | | Issuer | 9/15/2014 | For | For |
| | | | the contributed surplus account of the company | | | | | |
| | | | Subject to capital reduction taking effect, all authorized but unissued shares of US$1.00 be | | Issuer | 9/15/2014 | For | For |
| | | | cancelled and shares of US$.01 created to maintain share capital of company at US$125,000,000 | | | | | |
| | | | Subject to capital reduction taking effect, the register of shareholders shall be amended such | | Issuer | 9/15/2014 | For | For |
| | | | that the shares in issue be recorded as having a par value of US$0.01 | | | | | |
| | | | Re-appointment Moore Stephens, PC as auditors and to authorize directors to determine their | | Issuer | 9/15/2014 | For | For |
| | | | renumeration | | | | | |
| | | | Approve renumeration of Board of Directors of a total amount of fees not to exceed | | Issuer | 9/15/2014 | For | For |
| | | | US$550,000 for the year ending December 31, 2014 | | | | | |
Western Asset Emerging Market Fd Inc | EMD | 95766E103 | 9/26/2014 | Election of directors | | Issuer | 9/24/2014 | For | For |
Western Asset Global High Income Fd Inc | EHI | 95766B109 | 9/26/2014 | Election of directors | | Issuer | 9/24/2014 | For | For |
Student Transportation Inc | STB | 86388A108 | 11/6/2014 | Election of directors | | Issuer | 10/30/2014 | For | For |
| | | | Re-appointment of Ernst & Young LLP as auditors and authorization for board to fix renumeration | | Issuer | 10/30/2014 | For | For |
Stonemor Partners LP | STON | 86183Q100 | 11/13/2014 | Ratify appointment of Deloitte & Touche LLP as independent auditor for fiscal year ending | | Issuer | 11/10/2014 | For | For |
| | | | December 31, 2014 | | | | | |
| | | | Approval of Stonemor Partners LP 2014 long term incentive plan | | Issuer | 11/10/2014 | For | For |
| | | | Approval of adjournment of meeting to later date if there are not sufficient votes to approve | | Issuer | 11/10/2014 | For | For |
| | | | the Stonemor Partners LP 2014 long term incentive plan | | | | | |
Navios Maritime Partners LP | NMM | Y62267102 | 11/21/2014 | Election of directors | | Issuer | 11/10/2014 | For | For |
| | | | Ratify appointment of Pricewaterhousecoopers as independent accountants for fiscal year | | Issuer | 11/10/2014 | For | For |
| | | | ending December 31, 2014 | | | | | |
Northstar Realty Finance Corp | NRF | 66704R704 | 11/28/2014 | Issuance of shares of common stock to stockholders and limited partners of Griffin-American | | Issuer | 11/17/2014 | For | For |
| | | | Healthcare REIT II, Inc and Griffin-American Healthcare REIT II Holdings, LP pursuant to plan of | | | | | |
| | | | merger dated August 5, 2014 | | | | | |
| | | | To adjourn meeting to a later date if necessary to solicit additional proxies in favor of proposal | | Issuer | 11/17/2014 | For | For |
| | | | to issue common stock pursuant to the merger agreement | | | | For | For |
Prospect Capital Corporation | PSEC | 74348T102 | 12/5/2014 | Election of director | | Issuer | 11/17/2014 | For | For |
| | | | To authorize company with approval of Board of Directors to sell shares of common stock at price | | Issuer | 11/17/2014 | For | For |
| | | | or prices below then current net asset value per share in one or more offerings | | | | | |
Stone Harbor Emerging Markets Income Fd | EDF | 86164T107 | 2/20/2015 | Election of directors | | Issuer | 2/11/2015 | For | For |
Nexpoint Credit Strategies Fund | NHF | 65340G106 | 3/6/2015 | To approve terms of the NXRT Advisory Agreement to be entered into among Nexpoint | | Issuer | 2/25/2015 | For | For |
| | | | Residential Trust Inc, Nexpoint Residential Trust Operating Partnership LP and Nexpoint Real | | | | | |
| | | | Estate Advisors, LP | | | | | |
Fifth Street Finance Corp | FSC | 31678A103 | 3/18/2015 | Election of directors | | Issuer | 3/4/2015 | For | For |
| | | | Ratify appointment of Pricewaterhousecoopers as independent accountants for fiscal year | | Issuer | 3/4/2015 | For | For |
| | | | ending September 30, 2015 | | | | | |
Nuveen Preferred Income Oppt Fd | JPC | 67073B106 | 3/26/2015 | Election of directors | | Issuer | 3/25/2015 | For | For |
American Cap Mtg Invt Corp | MTGE | 02504A104 | 4/21/2015 | Election of directors | | Issuer | 4/14/2015 | For | For |
| | | | Ratification of appointment of Ernst & Young LLP as independent accountants for YE 12/31/2015 | | Issuer | 4/14/2015 | For | For |
Starwood Property Trust Inc | STWD | 85571B105 | 4/21/2015 | Election of directors | | Issuer | 4/14/2015 | For | For |
| | | | To approve on advisory basis the company's executive compensation | | Issuer | 4/14/2015 | For | For |
| | | | Ratify appointment of Deloitte & Touche LLP as independent accountants for YE 12/31/2015 | | Issuer | 4/14/2015 | For | For |
| | | | Proposal regarding an independent Chairman of the Board of Directors | | Stockholder | 4/14/2015 | Against | Against |
Apollo Commercial Real Estate Finance | ARI | 03762U105 | 4/28/2015 | Election of directors | | Issuer | 4/14/2015 | For | For |
| | | | Ratify appointment of Deloitte & Touche LLP as independent accountants for 2015 fiscal year | | Issuer | 4/14/2015 | For | For |
| | | | Approval on advisory basis of compensation of company's named executive officers | | Issuer | 4/14/2015 | For | For |
| | | | Vote on an advisory basis on proposal regarding majority voting in uncontested elections of | | Stockholder | 4/14/2015 | Against | Against |
| | | | directors, if properly presented at the annual meeting | | | | | |
Ares Capital Corporation | ARCC | 04010L103 | 4/29/2015 | To authorize company with approval of Board of Directors to sell or issue shares of common stock | | Issuer | 4/14/2015 | For | For |
| | | | at price below its then current net asset value per share | | | | | |
Invesco Mortgage Capital Inc | IVR | 46131B100 | 5/6/2015 | Election of directors | | Issuer | 5/4/2015 | For | For |
| | | | Advisory vote to approve company's 2014 executive compensation | | Issuer | 5/4/2015 | For | For |
| | | | Appointment of Grant Thornton LLP as independent registered accounting firm | | Issuer | 5/4/2015 | For | For |
Whitestone REIT | WSR | 966084204 | 5/11/2015 | Election of directors | | Issuer | 5/4/2015 | For | For |
| | | | Ratification of selection of Pannell Kerr Forster of Texas PC as independent accountants for fiscal | | Issuer | 5/4/2015 | For | For |
| | | | year ending December 31, 2015 | | | | | |
| | | | Recommendation to change voting standard for trustee elections if properly presented at meeting | | Shareholder | 5/4/2015 | Against | Against |
EPR Properties | EPR | 26884U109 | 5/13/2015 | Election of directors | | Issuer | 5/4/2015 | For | For |
| | | | Approval on non-binding advisory basis of compensation of company's named executive officers | | Issuer | 5/4/2015 | For | For |
| | | | Ratify appointment of KPMG LLP as independent accounting firm for 2015 | | Issuer | 5/4/2015 | For | For |
Frontier Communications Corp | FTR | 35906A108 | 5/13/2015 | Election of directors | | Issuer | 5/4/2015 | For | For |
| | | | Consider and vote on advisory proposal on executive compensation | | Issuer | 5/4/2015 | For | For |
| | | | Ratify selection of KPMG LLP as independent accounting firm for 2015 | | Issuer | 5/4/2015 | For | For |
Avenue Income Credit Strategies Fund | ACP | 05358E106 | 5/14/2015 | Election of director | | Issuer | 5/4/2015 | For | For |
Senior Housing Properties Trust | SNH | 81721M109 | 5/19/2015 | Election of trustee (for independent trustee in Group I) | | Issuer | 5/4/2015 | For | For |
| | | | Election of trustee (for managing trustee in Group I) | | Issuer | 5/4/2015 | For | For |
| | | | Advisory vote to approve named executive officer compensation | | Issuer | 5/4/2015 | For | For |
| | | | Ratification of appointment of Ernst & Young LLP as independent auditors for 2015 fiscal year | | Issuer | 5/4/2015 | For | For |
Capstead Mortgage Corporation | CMO | 14067E506 | 5/27/2015 | Election of directors | | Issuer | 5/4/2015 | For | For |
| | | | Conduct advisory (nonbinding) vote to approve 2014 named executive officers' compensation | | Issuer | 5/4/2015 | For | For |
| | | | Ratify appointment of Ernst & Young LLP as accounting firm fiscal year ending December 31, 2015 | | Issuer | 5/4/2015 | For | For |
Northstar Realty Finance Corp | NRF | 66704R704 | 5/27/2015 | Election of directors | | Issuer | 5/4/2015 | For | For |
| | | | Adoption on non-binding advisory basis of named executive officer compensation | | Issuer | 5/4/2015 | For | For |
| | | | Ratify appointment of Grant Thornton LLP as independent accountants for fiscal year ending | | Issuer | 5/4/2015 | For | For |
| | | | December 31, 2015 | | | | | |
New Residential Investment Corp | NRZ | 64828T201 | 5/28/2015 | Election of directors | | Issuer | 5/4/2015 | For | For |
| | | | Ratify appointment of Ernst & Young LLP as independent accounting firm for fiscal year 2015 | | Issuer | 5/4/2015 | For | For |
Hospitality Properties Trust | HPT | 44106M102 | 6/1/2015 | Election of independent trustee in Group II | | Issuer | 5/20/2015 | For | For |
| | | | Election of managing trustee in Group II | | Issuer | 5/20/2015 | For | For |
| | | | Approval of proposal requiring shareholder ratification of any election by company to be subject | | Issuer | 5/20/2015 | For | For |
| | | | to Maryland unsolicited takeovers act | | | | | |
| | | | Advisory vote to approve named executive officer compensation | | Issuer | 5/20/2015 | For | For |
| | | | Ratify appointment of Ernst & Young LLP as independent auditors for 2015 fiscal year | | Issuer | 5/20/2015 | For | For |
Vanguard Natural Resources LLC | VNR | 92205F106 | 6/4/2015 | Election of directors | | Issuer | 5/20/2015 | For | For |
| | | | Ratify appointment of BDO USA, LLP as independent accounting firm for 2015 | | Issuer | 5/20/2015 | For | For |
Nexpoint Credit Strategies Fund | NHF | 65340G106 | 6/5/2015 | Election of class III trustees | | Issuer | 6/3/2015 | For | For |
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