Washington, D.C. 20549
| Meeting Date | Company Name | CUSIP | Ticker | Who proposed the change | Proposal(s) | Vote Cast | Shares voted | With or Against Management |
| 8/5/2020 | Whitehorse Finance Inc | 96524V | WHF | Issuer | 1a. Election of Director: Stuart Aronson 1b. Election of Director: Jay Carvell 1c. Election of Director: Rick P. Frier 2. To ratify the selection of Crowe LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. | For | 2,650,001 | With |
| 8/11/2020 | Apollo Investment Corporation | 03761U502 | AINV | Issuer | (1) to consider and vote upon the election of three Class I directors; (2) to consider and vote upon the ratification of the selection of PricewaterhouseCoopers LLP as the Company’s independent registered public accounting firm for the fiscal year ending March 31, 2021; and (3) to transact such other business as may properly come before the meeting and any postponements or adjournments thereof. | Not Voted | 0 | N/A |
| 10/6/2020 | Solar Capital Ltd | 83413U100 | SLRC | Issuer | 1. To elect two directors of the Company, who will each serve for a term of three years, or until their successors are duly elected and qualified; 2. To approve a proposal to authorize the Company to sell shares of its common stock at a price or prices below the Company’s then current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and compliance with the conditions set forth in the proxy statement (including, without limitation, that the number of shares issued does not exceed 25% of the Company’s then outstanding common stock immediately prior to each such offering); and 3. To transact such other business as may properly come before the meeting. | For | 514,872 | With |
| 10/6/2020 | Solar Senior Capital LTD | 83416M105 | SUNS | Issuer | 1. To elect two directors of the Company, who will each serve for a term of three years, or until his respective successor is duly elected and qualified; 2. To approve a proposal to authorize the Company to sell shares of its common stock at a price or prices below the Company’s then current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and compliance with the conditions set forth in the proxy statement (including, without limitation, that the number of shares issued does not exceed 25% of the Company’s then outstanding common stock immediately prior to each such offering); and 3. To transact such other business as may properly come before the meeting. | For | 178,599 | With |
| 2/9/2021 | PennantPark Floating Rate Capital | 70806A106 | PLFT | Issuer | 1. To consider and vote upon the election of two directors to the Board of Directors of the Company, who will each serve for a term of three years until the 2024 annual meeting of Stockholders and until his successor is duly elected and qualifies; 2. To consider and vote upon the ratification of the selection of RSM US LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending September 30, 2021; and 3. To transact such other business as may properly come before the Annual Meeting or any postponement or adjournment of the Annual Meeting | Not Voted | 0 | N/A |
| 2/9/2021 | PennantPark Investment Corp | 708062104 | PNNT | Issuer | 1. To consider and vote upon the election of three directors to the Board of Directors of the Company, one of whom will serve for a term of two years until the 2023 annual meeting of Stockholders and until his successor Is duly elected and qualifies, and two of whom will each serve for a term of three years until the 2024 annual meeting of Stockholders and until his successor is duly elected and qualifies; 2. To consider and vote upon the ratification of the selection of RSM US LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending September 30, 2021; and 3. To transact such other business as may | Not Voted | 0 | N/A |
| 3/17/2021 | Owl Rock Capital Corp | 69121K104 | ORCC | Issuer | (1) To approve the Company’s entry into an amended and restated investment advisory agreement (the “New Advisory Agreement”) between the Company and Owl Rock Capital Advisors LLC (the “Adviser”), pursuant to which the Adviser will continue to provide investment advisory and management services to the Company following the Adviser Change in Control with no changes to terms, as more fully described in the accompanying proxy statement (the “New Advisory Agreement Proposal”); and (2) To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the New Advisory Agreement (the “Adjournment Proposal”). | Not Voted | 0 | N/A |
| 5/3/2021 | Blackrock Capital Investment | 92533108 | BKCC | Issuer | (1) To approve a proposal to authorize flexibility for the Company, with approval of the Board of Directors (the “Board”) of the Company, to sell or otherwise issue shares of its common stock (during the next 12 months) at a price below the Company’s then current net asset value per share in one or more offerings, subject to certain limitations set forth in the proxy statement for the Special Meeting (including that the cumulative number of shares sold pursuant to such authority does not exceed 25% of the Company’s then outstanding common stock immediately prior to each such sale); and (2) To transact such other business as may properly come before the Special Meeting or any adjournments, postponements or delays thereof. | For | 492,323 | With |
| 5/11/2021 | Whiting Petroleum Corporation | 966387508 | WLL | Issuer | (1)To elect the seven directors named in the accompanying proxy statement to hold office until the 2022 annual meeting of stockholders and until their successors are duly elected and qualified; (2) to approve, by advisory vote, the compensation of our named executive officers; (3) to ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for 2021; and to (4) consider and act upon such other business as may properly come before the meeting or any adjournment or postponement thereof. | Not Voted | 0 | N/A |
| 5/13/2021 | TriplePoint Venture Growth BDC | 89677Y100 | TPVG | Issuer | 1. To elect two Class I directors of the Company who will each serve until the 2024 annual meeting of the Company’s stockholders, or until their respective successors are duly elected and qualified; 2. To ratify the selection of Deloitte & Touche LLP to serve as the Company’s independent registered public accounting firm for the fiscal year ending December 31, 2021; and 3. To transact such other business as may properly come before the meeting, or any postponement or adjournment thereof. | For | 415,109 | With |
| 5/21/2021 | FS KKR Capital Corp | 302635206 | FSK | Issuer | i. a proposal to approve the Agreement and Plan of Merger, dated as of November 23, 2020 (the “Merger Agreement”), by and among FSK, FS KKR Capital Corp. II (“FSKR”), Rocky Merger Sub, Inc., a wholly owned subsidiary of FSK (“Merger Sub”) and FS/KKR Advisor, LLC (the “Advisor”) and the transactions contemplated thereby, including the merger of Merger Sub with and into FSKR with FSKR as the surviving corporation (such proposal, the “FSK Merger Proposal”); ii. a proposal to approve the issuance of shares of FSK common stock (“FSK Common Stock”) to FSKR stockholders as merger consideration in the merger (such proposal, the “Merger Stock Issuance Proposal”); and iii. a proposal to amend the investment advisory agreement, dated December 20, 2018, by and between FSK and the Advisor (the “Existing FSK Investment Advisory Agreement”) to (1) reduce FSK’s income incentive fee rate from 20% to 17.5% and (2) remove the total return lookback provision applicable to the subordinated incentive fee on income (such proposal, the “FSK Advisory Agreement Amendment Proposal”). | For | 150,016 | With |
| 5/21/2021 | FS KKR Capital Corp II | 35952V303 | FSKR | Issuer | i. a proposal to approve the Agreement and Plan of Merger, dated as of November 23, 2020 (the “Merger Agreement”), by and among FSK, FS KKR Capital Corp. II (“FSKR”), Rocky Merger Sub, Inc., a wholly owned subsidiary of FSK (“Merger Sub”) and FS/KKR Advisor, LLC (the “Advisor”) and the transactions contemplated thereby, including the merger of Merger Sub with and into FSKR with FSKR as the surviving corporation (such proposal, the “FSK Merger Proposal”); ii. a proposal to approve the issuance of shares of FSK common stock (“FSK Common Stock”) to FSKR stockholders as merger consideration in the merger (such proposal, the “Merger Stock Issuance Proposal”); and iii. a proposal to amend the investment advisory agreement, dated December 20, 2018, by and between FSK and the Advisor (the “Existing FSK Investment Advisory Agreement”) to (1) reduce FSK’s income incentive fee rate from 20% to 17.5% and (2) remove the total return lookback provision applicable to the subordinated incentive fee on income (such proposal, the “FSK Advisory Agreement Amendment Proposal”). | For | 195,000 | With |
| 6/7/2021 | Ares Capital Corporation | 04010L103 | ARCC | Issuer | (1) To elect three directors to serve until the 2024 annual meeting of stockholders and until their successors are duly elected and qualify; (2) To consider and vote upon the ratification of the selection of KPMG LLP as the Company’s independent registered public accounting firm for the year ending December 31, 2021; and (3) To consider and take action upon such other matters as may properly come before the meeting or any adjournment or postponement thereof. | For | 269,423 | With |
| 6/7/2021 | Portman Ridge Finance Corp. | 73688F102 | PTMN | Issuer | 1) The election of three directors, who will each serve until the 2024 Annual Meeting of Stockholders and until his successor is duly elected and qualifies; (2) To ratify the appointment of Deloitte & Touche LLP as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2021; (3) To grant discretionary authority to the Board of Directors of the Company to amend Company’s Certificate of Incorporation to effect a reverse stock split of its common stock within the range of 1-5 to 1-15, the exact ratio (the “Reverse Stock Split Ratio”), if any, to be determined by the Board of Directors, but not later than one year after stockholder approval thereof (the “Reverse Stock Split”); and (4) To approve an amendment to the Company’s Certificate of Incorporation to decrease, concurrent with and conditioned upon the effectiveness of the Reverse Stock Split, the number of authorized shares of common stock by one half of the Reverse Stock Split Ratio (“Reduction in Shares Ratio”). | For | 255,046 | With |
| 6/17/2021 | Trinity Capital Inc. | 896442407 | TRIN | Issuer | (1)To re-elect three members of the board of directors of the Company (the “Board”), two of which will serve for a term of three years and one of which will serve for a term of two years, and until their respective successors are duly elected and qualified; (2) To approve a proposal to authorize the Company to sell or otherwise issue up to 25% of the then outstanding shares of the Company’s common stock at an offering price per share to investors that is below the Company’s then current net asset value per share; (3) To approve a proposal to authorize the Company to issue options, warrants or securities to subscribe to, convert to, or purchase common stock, subject to the conditions as set forth in the Company’s proxy statement; (4) To approve the 2019 Trinity Capital Inc. Long-Term Incentive Plan; (5) To approve the Trinity Capital Inc. 2019 Non-Employee Director Restricted Stock Plan; and (6) To transact such other business as may properly come before the Annual Meeting or any postponement or adjournment thereof. | Not voted | 0 | N/A |
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.
