UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT
INVESTMENT COMPANY
Investment Company Act file number 811-23166
RIVERNORTH/DOUBLELINE STRATEGIC OPPORTUNITY FUND, INC.
(Exact name of registrant as specified in charter)
325 North LaSalle Street, Suite 645, Chicago, Illinois 60654
(Address of principal executive offices) (Zip code)
Marc L. Collins
325 North LaSalle Street, Suite 645
Chicago, Illinois 60654
(Name and address of agent for service)
Registrant's telephone number, including area code: (312) 832-1440
Date of fiscal year end: June 30
Date of reporting period: July 1, 2019 - June 30, 2020
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b 1-4 thereunder (17 CFR 270.30b 1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44U.S.C. § 3507.
Item 1 | Proxy Voting Record |
See below |
Investment Company Report
BLACKROCK CREDIT ALLOCATION INCOME TRUST | |||||||||
Security | 092508100 | Meeting Type | Contested-Annual | ||||||
Ticker Symbol | BTZ | Meeting Date | 08-Jul-2019 | ||||||
ISIN | US0925081004 | Agenda | 935047818 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | |||||||
1 | Richard E. Cavanagh | ||||||||
2 | Cynthia L. Egan | ||||||||
3 | Robert Fairbairn | ||||||||
4 | Henry Gabbay | ||||||||
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 | |||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 365,675 | 0 | ||||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 365,675 | 0 | ||||
BLACKROCK CREDIT ALLOCATION INCOME TRUST | |||||||||
Security | 092508100 | Meeting Type | Contested-Annual | ||||||
Ticker Symbol | BTZ | Meeting Date | 08-Jul-2019 | ||||||
ISIN | US0925081004 | Agenda | 935050788 - Opposition | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | ||||||
1 | Stephen J. Flanagan | Split | |||||||
2 | Frederic Gabriel | Split | |||||||
3 | Thomas H. McGlade | Split | |||||||
4 | Jassen Trenkow | Split | |||||||
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 shareholders. | Shareholder | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 365,675 | 0 | ||||
VOYA PRIME RATE TRUST | |||||||||
Security | 92913A100 | Meeting Type | Annual | ||||||
Ticker Symbol | PPR | Meeting Date | 09-Jul-2019 | ||||||
ISIN | US92913A1007 | Agenda | 935033415 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Colleen D. Baldwin | Split | Split | ||||||
2 | John V. Boyer | Split | Split | ||||||
3 | Patricia W. Chadwick | Split | Split | ||||||
4 | Martin J. Gavin | Split | Split | ||||||
5 | Russell H. Jones | Split | Split | ||||||
6 | Joseph E. Obermeyer | Split | Split | ||||||
7 | Sheryl K. Pressler | Split | Split | ||||||
8 | Dina Santoro | Split | Split | ||||||
9 | Christopher P. Sullivan | Split | Split | ||||||
10 | Roger B. Vincent | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 83,448 | 0 | 08-Jul-2019 | 10-Jul-2019 | ||
BLACKROCK FLOATING RATE INCOME TRUST | |||||||||
Security | 091941104 | Meeting Type | Annual | ||||||
Ticker Symbol | BGT | Meeting Date | 29-Jul-2019 | ||||||
ISIN | US0919411043 | Agenda | 935052592 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Richard E. Cavanagh | Split | Split | ||||||
2 | Cynthia L. Egan | Split | Split | ||||||
3 | Robert Fairbairn | Split | Split | ||||||
4 | Henry Gabbay | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 65,805 | 0 | 26-Jul-2019 | 26-Jul-2019 | ||
BLACKROCK CORPORATE HIGH YIELD FD VI INC | |||||||||
Security | 09255P107 | Meeting Type | Annual | ||||||
Ticker Symbol | HYT | Meeting Date | 29-Jul-2019 | ||||||
ISIN | US09255P1075 | Agenda | 935052605 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Richard E. Cavanagh | Split | Split | ||||||
2 | Frank J. Fabozzi | Split | Split | ||||||
3 | Robert Fairbairn | Split | Split | ||||||
4 | Henry Gabbay | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 186,752 | 0 | 26-Jul-2019 | 26-Jul-2019 | ||
WELLS FARGO ADVANTAGE INCOME OPP FUND | |||||||||
Security | 94987B105 | Meeting Type | Annual | ||||||
Ticker Symbol | EAD | Meeting Date | 12-Aug-2019 | ||||||
ISIN | US94987B1052 | Agenda | 935058607 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Timothy J. Penny | Split | Split | ||||||
2 | James G. Polisson | Split | Split | ||||||
3 | Pamela Wheelock | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 190,814 | 0 | 09-Aug-2019 | 09-Aug-2019 | ||
INVESCO | |||||||||
Security | 46131H107 | Meeting Type | Annual | ||||||
Ticker Symbol | VVR | Meeting Date | 23-Aug-2019 | ||||||
ISIN | US46131H1077 | Agenda | 935062151 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1a | DIRECTOR | Management | Split | Split | |||||
1 | Cynthia Hostetler | Split | Split | ||||||
2 | Eli Jones | Split | Split | ||||||
3 | Ann Barnett Stern | Split | Split | ||||||
4 | Raymond Stickel, Jr. | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 457,841 | 0 | 08-Aug-2019 | 08-Aug-2019 | ||
FIRST TRUST/FOUR CORNERS SR FLOATING | |||||||||
Security | 33733U108 | Meeting Type | Annual | ||||||
Ticker Symbol | FCT | Meeting Date | 09-Sep-2019 | ||||||
ISIN | US33733U1088 | Agenda | 935068937 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1.1 | Election of Class III Trustee: James A. Bowen | Management | Split | Split | |||||
1.2 | Election of Class III Trustee: Robert F. Keith | Management | Split | Split | |||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 58,001 | 0 | 06-Sep-2019 | 06-Sep-2019 | ||
FRANKLIN TEMPLETON LTD DURATION INC TR | |||||||||
Security | 35472T101 | Meeting Type | Annual | ||||||
Ticker Symbol | FTF | Meeting Date | 03-Oct-2019 | ||||||
ISIN | US35472T1016 | Agenda | 935074548 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Harris J. Ashton | Split | Split | ||||||
2 | Edith E. Holiday | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 311,898 | 0 | 02-Oct-2019 | 02-Oct-2019 | ||
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 | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | ||||||
1 | Robert D. Agdern | Split | |||||||
2 | Eileen A. Kamerick | Split | |||||||
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 | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 378,786 | 0 | 09-Oct-2019 | 09-Oct-2019 | ||
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 | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | ||||||
1 | David Basile | Split | |||||||
2 | Frederic Gabriel | Split | |||||||
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 | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 378,786 | 0 | ||||
EATON VANCE LIMITED DURATION INCOME FD | |||||||||
Security | 27828H105 | Meeting Type | Annual | ||||||
Ticker Symbol | EVV | Meeting Date | 16-Jan-2020 | ||||||
ISIN | US27828H1059 | Agenda | 935112211 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1A. | DIRECTOR | Management | Split | Split | |||||
1 | Thomas E. Faust Jr. | Split | Split | ||||||
2 | Mark R. Fetting | Split | Split | ||||||
3 | Keith Quinton | Split | Split | ||||||
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 | Split | |||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
19-1638 | RIVERNORTH/D OUBLELINE STRATEGIC OPP | 19-1638 | U.S. BANK | 273,994 | 0 | 15-Jan-2020 | 15-Jan-2020 | ||
PGIM INVESTMENTS | |||||||||
Security | 69346J106 | Meeting Type | Annual | ||||||
Ticker Symbol | GHY | Meeting Date | 09-Mar-2020 | ||||||
ISIN | US69346J1060 | Agenda | 935122628 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Kevin J. Bannon | Split | Split | ||||||
2 | Keith F. Hartstein | Split | Split | ||||||
3 | Grace C. Torres | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 190,920 | 0 | 06-Mar-2020 | 06-Mar-2020 | ||
FIRST TRUST ADVISORS | |||||||||
Security | 33738E109 | Meeting Type | Annual | ||||||
Ticker Symbol | FSD | Meeting Date | 09-Mar-2020 | ||||||
ISIN | US33738E1091 | Agenda | 935122894 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1 | DIRECTOR | Management | Split | Split | |||||
1 | Robert F. Keith | Split | Split | ||||||
2 | If properly presented at the Meeting, a shareholder proposal to terminate all investment advisory and management agreements pertaining to the Fund. | Shareholder | Split | Split | |||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 63,684 | 0 | 06-Mar-2020 | 06-Mar-2020 | ||
WESTERN ASSET HIGH INC OPP FD INC. | |||||||||
Security | 95766K109 | Meeting Type | Annual | ||||||
Ticker Symbol | HIO | Meeting Date | 20-Mar-2020 | ||||||
ISIN | US95766K1097 | Agenda | 935128620 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1.1 | Election of Class I Director: Robert D. Agdern | Management | Split | Split | |||||
1.2 | Election of Class I Director: Carol L. Colman, CFA | Management | Split | Split | |||||
1.3 | Election of Class I Director: Daniel P. Cronin | Management | Split | Split | |||||
2. | To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended September 30, 2020. | Management | Split | Split | |||||
3. | A non-binding proposal put forth by Saba Capital Management, L.P. regarding a self-tender offer, if properly presented before the Meeting. | Shareholder | Split | Split | |||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 1,152,337 | 0 | 19-Mar-2020 | 19-Mar-2020 | ||
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |||||||||
Security | 10537L104 | Meeting Type | Contested-Annual | ||||||
Ticker Symbol | BWG | Meeting Date | 20-Mar-2020 | ||||||
ISIN | US10537L1044 | Agenda | 935128632 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1.1 | Election of Class II Director: Nisha Kumar | Management | Split | ||||||
1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | Split | ||||||
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 | ||||||
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 | ||||||
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 | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 296,982 | 0 | ||||
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |||||||||
Security | 10537L104 | Meeting Type | Contested-Annual | ||||||
Ticker Symbol | BWG | Meeting Date | 20-Mar-2020 | ||||||
ISIN | US10537L1044 | Agenda | 935128632 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1.1 | Election of Class II Director: Nisha Kumar | Management | Split | ||||||
1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | Split | ||||||
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 | ||||||
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 | ||||||
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 | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 296,982 | 0 | 11-Mar-2020 | 11-Mar-2020 | ||
BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |||||||||
Security | 10537L104 | Meeting Type | Contested-Annual | ||||||
Ticker Symbol | BWG | Meeting Date | 20-Mar-2020 | ||||||
ISIN | US10537L1044 | Agenda | 935129937 - Opposition | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1.1 | Election of Director: Rajeev Das | Management | Split | ||||||
1.2 | Election of Director: Andrew Dakos | Management | Split | ||||||
2. | Ratification of PricewaterhouseCoopers LLP ("PwC")as the Fund's independent registered public accountants. | Management | Split | ||||||
3. | To conduct a self-tender offer at or close to NAV. | Management | Split | ||||||
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 | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 296,982 | 0 | ||||
WESTERN ASSET EMERGING MKTS DEBT FD INC. | |||||||||
Security | 95766A101 | Meeting Type | Annual | ||||||
Ticker Symbol | EMD | Meeting Date | 17-Apr-2020 | ||||||
ISIN | US95766A1016 | Agenda | 935142694 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1.1 | Election of Class III Director to serve until the 2023 Annual Meeting of Stockholders: Robert D. Agdern | Management | Split | Split | |||||
1.2 | Election of Class III Director to serve until the 2023 Annual Meeting of Stockholders: Eileen A. Kamerick | Management | Split | Split | |||||
2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending December 31, 2020. | Management | Split | Split | |||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 159,665 | 0 | 16-Apr-2020 | 16-Apr-2020 | ||
NUVEEN PREFERED & CONVERTIBLE INCOME 2 | |||||||||
Security | 67073D102 | Meeting Type | Annual | ||||||
Ticker Symbol | JQC | Meeting Date | 22-Apr-2020 | ||||||
ISIN | US67073D1028 | Agenda | 935139382 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1B. | DIRECTOR | Management | Split | Split | |||||
1 | John K. Nelson | Split | Split | ||||||
2 | Terence J. Toth | Split | Split | ||||||
3 | Robert L. Young | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 452,364 | 0 | 21-Apr-2020 | 21-Apr-2020 | ||
ARES DYNAMIC | |||||||||
Security | 04014F102 | Meeting Type | Annual | ||||||
Ticker Symbol | ARDC | Meeting Date | 21-May-2020 | ||||||
ISIN | US04014F1021 | Agenda | 935169880 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1A. | The election of one Class I Director, to serve for a term expiring on the date on which the Annual Meeting of Stockholders is held in 2023 and until his successor is duly elected and qualifies: Bruce H. Spector | Management | Split | Split | |||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 79,732 | 0 | 20-May-2020 | 20-May-2020 | ||
HIGHLAND FUNDS | |||||||||
Security | 43010E404 | Meeting Type | Annual | ||||||
Ticker Symbol | HFRO | Meeting Date | 12-Jun-2020 | ||||||
ISIN | US43010E4044 | Agenda | 935209177 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Dr. Bob Froehlich | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 321,314 | 0 | 11-Jun-2020 | 11-Jun-2020 | ||
ARES CAPITAL CORPORATION | |||||||||
Security | 04010L103 | Meeting Type | Annual | ||||||
Ticker Symbol | ARCC | Meeting Date | 22-Jun-2020 | ||||||
ISIN | US04010L1035 | Agenda | 935167999 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1A. | Election of Director: Michael J Arougheti | Management | Split | Split | |||||
1B. | Election of Director: Ann Torre Bates | Management | Split | Split | |||||
1C. | Election of Director: Steven B McKeever | Management | Split | Split | |||||
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 | Split | |||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 50,495 | 0 | 19-Jun-2020 | 19-Jun-2020 | ||
MORGAN STANLEY EMERGING MKTS | |||||||||
Security | 617477104 | Meeting Type | Annual | ||||||
Ticker Symbol | EDD | Meeting Date | 25-Jun-2020 | ||||||
ISIN | US6174771047 | Agenda | 935219522 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Kathleen A. Dennis | Split | Split | ||||||
2 | Joseph J. Kearns | Split | Split | ||||||
3 | Michael E. Nugent | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 176,211 | 0 | 24-Jun-2020 | 24-Jun-2020 | ||
PIMCO FUNDS | |||||||||
Security | 69346N107 | Meeting Type | Annual | ||||||
Ticker Symbol | NRGX | Meeting Date | 29-Jun-2020 | ||||||
ISIN | US69346N1072 | Agenda | 935224802 - Management | ||||||
Item | Proposal | Proposed by | Vote | For/Against Management | |||||
1. | DIRECTOR | Management | Split | Split | |||||
1 | Sarah E. Cogan | Split | Split | ||||||
2 | Joseph B. Kittredge, Jr | Split | Split | ||||||
3 | John C. Maney | Split | Split | ||||||
4 | William B. Ogden, IV | Split | Split | ||||||
Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||
997RV1L | RIVERNORTH DL STRAT OPP FD INC | 997RV1L | STATE STREET BANK & TRUST CO | 253,693 | 0 | 26-Jun-2020 | 26-Jun-2020 |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
RiverNorth/DoubleLine Strategic Opportunity Fund, Inc. | ||
/s/ Patrick W. Galley |
By: | Patrick W. Galley | |
Title: | President and Chairman of the Board | |
Date: | August 27, 2020 |