RiverNorth/DoubleLine Strategic Opportunity Fund (OPP)
Filed: 24 Aug 23, 10:34am
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)
360 South Rosemary Ave., Suite 1420, West Palm Beach, Florida 33401
(Address of principal executive offices) (Zip code)
Marc L. Collins
360 South Rosemary Ave., Suite 1420, West Palm Beach, Florida 33401
(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, 2022 - June 30, 2023
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 |
| Investment Company Report | |||||||
| CC NEUBERGER PRINCIPAL HOLDINGS II | |||||||
| Security | G3166T103 | Meeting Type | Special | ||||
| Ticker Symbol | PRPB | Meeting Date | 19-Jul-2022 | ||||
| ISIN | KYG3166T1031 | Agenda | 935686901 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Domestication Merger Proposal - To consider and vote upon a proposal by special resolution to approve CCNB merging with and into Vector Domestication Merger Sub, LLC ("Domestication Merger Sub") in accordance with Section 18-209 of the DLLCA and ceasing to exist in the Cayman Islands in accordance with Part XVI the Companies Act, with Domestication Merger Sub surviving the merger as a wholly-owned direct subsidiary of New CCNB (the "Domestication Merger"), and all outstanding securities of CCNB ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2. | Business Combination Proposal - To consider and vote upon a proposal to approve the Business Combination Agreement, dated December 9, 2021 (the "Business Combination Agreement"), by and among CCNB, New CCNB, Domestication Merger Sub, Vector Merger Sub 1, LLC, a Delaware limited liability company and a wholly- owned subsidiary of CCNB ("G Merger Sub 1"), Vector Merger Sub 2, LLC, a Delaware limited liability company and a wholly-owned subsidiary of CCNB ("G Merger Sub 2"), Griffey Global Holdings, ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 3. | Adjournment Proposal - To consider and vote upon a 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, or otherwise in connection with, the approval of the Business Combination Proposal. This proposal will only be presented at the Shareholders Meeting (i) to the extent necessary to ensure that any legally required supplement or ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 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 | 52,488 | 0 | 12-Jul-2022 | 12-Jul-2022 |
| FOUNDER SPAC | |||||||
| Security | G3661E106 | Meeting Type | Special | ||||
| Ticker Symbol | FOUN | Meeting Date | 02-Aug-2022 | ||||
| ISIN | KYG3661E1061 | Agenda | 935688171 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve by ordinary resolution the transactions contemplated under the Agreement and Plan of Merger, dated as of December 15, 2021, by and among Founder, Ravenclaw Merger Sub LLC, a Delaware limited liability company and wholly-owned subsidiary of Founder, Rubicon Technologies, LLC, a Delaware limited liability company, and the other parties thereto (the "Business Combination"), a copy of which is attached to the ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2. | The Domestication Proposal - to consider and vote upon a proposal to approve by special resolution a change in Founder's jurisdiction of incorporation by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation under the laws of the State of Delaware (the "Domestication"). The Domestication Proposal is conditioned on the approval of each of the Cross-Conditioned Proposals. Therefore, if any of the Cross-Conditioned Proposals is not ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 3. | The Charter Proposal - to consider and vote upon a proposal to approve by special resolution the certificate of incorporation of Founder in connection with the Domestication, in the form attached to the proxy statement/consent solicitation statement/prospectus as Annex B (the "Proposed Charter") to, among other things, change Founder's name to "Rubicon Technologies, Inc." ("New Rubicon"), to be effective upon the consummation of the Business Combination. The Charter Proposal ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 4a. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to authorize the change in the authorized capital stock of Founder from (i) 479,000,000 Class A ordinary shares, 20,000,000 Class B ordinary shares ("Founder Class B Shares") and 1,000,000 preference shares, par value $0.0001 per share, of Founder, to (ii) 690,000,000 shares of Class A common stock, 275,000,000 shares of Class V common stock and 10,000,000 shares of New Rubicon preferred stock, par value $0.0001 per share. | Management | For | For | |||
| 4b. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to authorize adopting Delaware as the exclusive forum for certain stockholder litigation. | Management | For | For | |||
| 4c. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to authorize adopting Section 203 of the Delaware General Corporation Law to prevent certain takeovers by interested stockholders. | Management | For | For | |||
| 4d. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to require at least two-thirds of the voting power of the stock outstanding and entitled to vote thereon, voting together as a single class, to adopt, amend or repeal, or adopt any provision inconsistent with, Articles V (the provisions regarding the size of the board of directors of New Rubicon, the classification of the board of directors of New Rubicon, the filling of vacancies and the election and removal ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 4e. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to approve provisions permitting the removal of a director only for cause and only by the affirmative vote of not less than two-thirds of the outstanding shares entitled to vote at an election of directors, voting together as a single class. | Management | For | For | |||
| 4f. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to approve provisions requiring stockholders to take action at an annual or special meeting and prohibiting stockholder action by written consent in lieu of a meeting. | Management | For | For | |||
| 4g. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to adopt a waiver of corporate opportunities for its non-employee directors. | Management | For | For | |||
| 4h. | The Governance Proposal - A proposal to amend the Memorandum and Articles of Association to authorize (1) changing the corporate name from "Founder SPAC" to "Rubicon Technologies, Inc.", (2) making New Rubicon's corporate existence perpetual, and (3) removing certain provisions related to Founder's status as a blank check company that will no longer be applicable upon consummation of the Business Combination. | Management | For | For | |||
| 5a. | Election of Director: Nate Morris | Management | For | For | |||
| 5b. | Election of Director: Andres Chico | Management | For | For | |||
| 5c. | Election of Director: Coddy Johnson | Management | For | For | |||
| 5d. | Election of Director: Paula Henderson | Management | For | For | |||
| 5e. | Election of Director: Osman Ahmed | Management | For | For | |||
| 5f. | Election of Director: Jack Selby | Management | For | For | |||
| 5g. | Election of Director: Ambassador Paula Dobriansky | Management | For | For | |||
| 5h. | Election of Director: Barry Caldwell | Management | For | For | |||
| 5i. | Election of Director: Brent Callinicos | Management | For | For | |||
| 6. | The Share Plan Proposal - to consider and vote upon a proposal to approve by ordinary resolution the Rubicon Technologies, Inc. 2022 Equity Incentive Plan, a copy of which is attached to the proxy statement/consent solicitation statement/prospectus as Annex K, to be effective upon the consummation of the Business Combination. The Share Plan Proposal is conditioned on the approval of the Cross-Conditioned Proposals. Therefore, if each of the Cross-Conditioned Proposals is not approved, the Share ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 7. | The Nasdaq Proposal - to consider and vote upon a proposal to approve by ordinary resolution, for purposes of complying with Nasdaq Listing Rule 5635 (a) and (b), the issuance of more than 20% of the issued and outstanding ordinary shares and the resulting change in control in connection with the Business Combination. The Nasdaq Proposal is conditioned on the approval of each of the Cross-Conditioned Proposals. Therefore, if any of the Cross-Conditioned Proposals is not approved, the Nasdaq ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 8. | The Adjournment Proposal - to consider and vote upon a proposal to approve by ordinary resolution the adjournment of the extraordinary general meeting by the chairman thereof to a later date, if necessary, under certain circumstances, including for the purpose of soliciting additional proxies in favor of the foregoing Proposals, in the event Founder does not receive the requisite shareholder vote to approve the Proposals. The Adjournment Proposal is not conditioned on the approval of any other proposal. | Management | For | For | |||
| 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 | 15,126 | 0 | 18-Jul-2022 | 18-Jul-2022 |
| BARINGS GBL SHORT DURATION H/Y FUND | |||||||
| Security | 06760L100 | Meeting Type | Annual | ||||
| Ticker Symbol | BGH | Meeting Date | 08-Aug-2022 | ||||
| ISIN | US06760L1008 | Agenda | 935685872 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | Split | Split | |||
| 1 David M. Mihalick | Split | Split | |||||
| 2 Dr.Bernard A Harris Jr. | 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 | 153,742 | 0 | 05-Aug-2022 | 05-Aug-2022 |
| FIRST TRUST HY OPPORTUNITIES 2027 TERM | |||||||
| Security | 33741Q107 | Meeting Type | Annual | ||||
| Ticker Symbol | FTHY | Meeting Date | 19-Sep-2022 | ||||
| ISIN | US33741Q1076 | Agenda | 935701044 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Class III Trustee for a three-year term: James A. Bowen | Management | Split | Split | |||
| 1.2 | Election of Class III Trustee for a three-year term: Robert F. Keith | 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 | 142,624 | 0 | 16-Sep-2022 | 16-Sep-2022 |
| GIGCAPITAL5, INC. | |||||||
| Security | 37519U109 | Meeting Type | Special | ||||
| Ticker Symbol | GIA | Meeting Date | 23-Sep-2022 | ||||
| ISIN | US37519U1097 | Agenda | 935711590 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Charter Amendment: Amend the Company's Amended and Restated Certificate of Incorporation, giving the Company the right to extend the date by which it has to consummate a business combination six (6) times for an additional one (1) month each time, from September 28, 2022 to March 28, 2023 (i.e., for a period of time ending 18 months from the consummation of its initial public offering), provided that the Sponsor (or its designees) must deposit into the Trust Account for each one- month extension funds equal to $160,000. | Management | For | For | |||
| 2. | Trust Amendment: Amend the Company's investment management trust agreement, dated as of September 23, 2021, by and between the Company and Continental Stock Transfer & Trust Company, allowing the Company to (a) extend the Combination Period six (6) times for an additional one (1) month each time from September 28, 2022 to March 28, 2023 by depositing into the Trust Account for each one-month extension, the sum of $160,000. | Management | For | For | |||
| 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 | 46,043 | 0 | 19-Sep-2022 | 19-Sep-2022 |
| INDUSTRIAL HUMAN CAPITAL, INC. | |||||||
| Security | 45617P104 | Meeting Type | Special | ||||
| Ticker Symbol | AXH | Meeting Date | 14-Oct-2022 | ||||
| ISIN | US45617P1049 | Agenda | 935715093 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal: 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 October 22, 2022, to April 22, 2023, or such earlier date as determined by the board of directors. | Management | For | For | |||
| 2. | Adjournment Proposal: Adjourn 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 Proposal 1. | Management | For | For | |||
| 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 | 24,074 | 0 | 28-Sep-2022 | 28-Sep-2022 |
| BLOCKCHAIN MOON ACQUISITION CORP. | |||||||
| Security | 09370F109 | Meeting Type | Special | ||||
| Ticker Symbol | BMAQ | Meeting Date | 19-Oct-2022 | ||||
| ISIN | US09370F1093 | Agenda | 935719027 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Amendment Proposal - To amend BMAC's amended and restated certificate of incorporation to (a) extend the date by which BMAC has to consummate a business combination from October 21, 2022 to January 21, 2023; and (b) to allow BMAC, without another stockholder vote, to elect to extend the date to consummate a business combination on a monthly basis for up to six times by an additional one month each time after January 21, 2023, by resolution of the board of directors, if requested by ...(due to space limits,see proxy material for full proposal). | Management | For | For | |||
| 2. | The Adjournment Proposal - To adjourn the Stockholder 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 Stockholder Meeting, there are insufficient shares of common stock, par value $0.0001 per share, of BMAC represented (either in person or by proxy) to constitute a quorum necessary to conduct business at the Stockholder Meeting or at the time of the Stockholder Meeting to approve the Extension Amendment Proposal. | Management | For | For | |||
| 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 | 36,149 | 0 | 17-Oct-2022 | 17-Oct-2022 |
| DIGITAL HEALTH ACQUISITION CORP. | |||||||
| Security | 253893101 | Meeting Type | Special | ||||
| Ticker Symbol | DHAC | Meeting Date | 20-Oct-2022 | ||||
| ISIN | US2538931013 | Agenda | 935719469 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Approval of amendment of Certificate of Incorporation to, among other things, extend the date by which the Company has to consummate a business combination for an additional three (3) months, from November 8, 2022 to February 8, 2023 and provide our board of directors the ability to further extend the date by which the Company has to consummate a business combination up to three (3) additional times for three (3) months each time, for a maximum of nine (9) additional months, with payment of any applicable extension fee. | Management | For | For | |||
| 2. | Approval of amendment of the Investment Management Trust Agreement, dated as of November 3, 2021, by and between the Company and Continental Stock Transfer & Trust Company, (i) allowing the Company to extend the business combination period from November 8, 2022 to February 8, 2023 and up to three (3) times for an additional three (3) months each time during the period from February 8, 2023 to November 8, 2023 and (ii) updating certain defined terms in the Trust Agreement. | Management | For | For | |||
| 3. | Approval of 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 the Charter Amendment Proposal and Trust Amendment Proposal. | Management | For | For | |||
| 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 | 24,051 | 0 | 17-Oct-2022 | 17-Oct-2022 |
| MANA CAPITAL ACQUISITION CORP. | |||||||
| Security | 56168P104 | Meeting Type | Special | ||||
| Ticker Symbol | MAAQ | Meeting Date | 25-Oct-2022 | ||||
| ISIN | US56168P1049 | Agenda | 935720614 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Business Combination Proposal: To approve & adopt the Business Combination Agreement, dated as of 5/27/22 (as it may be amended & restated from time to time, "Business Combination Agreement") by & among the Company, its wholly owned subsidiary, Mana Merger Sub Inc. and Cardio Diagnostics, Inc. a copy of which is attached to proxy statement/prospectus as Annex A, & approve transactions contemplated thereby including the merger of Merger Sub with & into Cardio, with Cardio surviving the merger, & issuance of common stock to Cardio stockholders as Consideration | Management | For | For | |||
| 2. | Charter Amendment Proposal: To consider and vote upon a proposal to amend and restate the Company's amended and restated certificate of incorporation to provide for changing the Company's name from "Mana Capital Acquisition Corp." to "Cardio Diagnostics Holdings, Inc." | Management | For | For | |||
| 3. | Equity Plan Adoption Proposal: To approve the Cardio Diagnostics Holdings Inc. 2022 Equity Incentive Plan (the "Incentive Plan"), including the authorization of the initial share reserve under the Incentive Plan. | Management | For | For | |||
| 4. | Nasdaq 20% Proposal: To consider and vote on a proposal to approve, for purposes of complying with Nasdaq Rules 5635(a) and (b), the issuance of more than 20% of the Company's issued and outstanding common stock, $.00001 par value, (the "Common Stock") and the resulting change in control in connection with the Business Combination. | Management | For | For | |||
| 5. | Director Election Proposal: To elect, effective at Closing, seven directors to serve on the Company's board of directors until the 2023 annual meetings of stockholders, and until their respective successors are duly elected and qualified. | Management | For | For | |||
| 6. | Adjournment Proposal: To approve, if necessary, the adjournment of the Special Meeting to a later date or dates to permit further solicitation and votes of proxies in the event that there are insufficient votes for, or otherwise in connection with, approval of the Business Combination Proposal, Charter Amendment Proposal, the Equity Plan Adoption Proposal, Nasdaq 20% Proposal, or the Director Election Proposal. This proposal will only be presented at the Special Meeting if there are not sufficient votes to approve one or more of these proposals. | Management | For | For | |||
| 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 | 29,228 | 0 | 17-Oct-2022 | 17-Oct-2022 |
| 8I ACQUISITION 2 CORP | |||||||
| Security | G2956R103 | Meeting Type | Special | ||||
| Ticker Symbol | LAX | Meeting Date | 10-Nov-2022 | ||||
| ISIN | VGG2956R1038 | Agenda | 935723545 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal - To adopt and approve the Share Purchase Agreement, dated as of April 11, 2022, as amended on May 30, June 10, and September 7, 2022 (the "SPA"), by and among 8i, EUDA Health Limited, a British Virgin Islands business company ("EUDA"), Watermark Developments Limited, a British Virgin Islands business company ("Watermark" or the "Seller"), and Kwong Yeow Liew, acting as Representative of the Indemnified Parties (the "Indemnified Party Representative"), pursuant to ...(due to space limits,see proxy material for full proposal). | Management | For | For | |||
| 2a. | The Charter Proposal - To approve and adopt, subject to and conditional on (but with immediate effect therefrom) the approval of the Business Combination Proposal and the Nasdaq Proposal and the consummation of the Business Combination, the following amendments and restatements of 8i Amended and Restated Memorandum and Articles of Association: To amend the name of the new Combined Company from "8i Acquisition 2 Corp." to "EUDA Health Holdings Limited". | Management | For | For | |||
| 2b. | The Charter Proposal - To approve and adopt, subject to and conditional on (but with immediate effect therefrom) the approval of the Business Combination Proposal and the Nasdaq Proposal and the consummation of the Business Combination, the following amendments and restatements of 8i Amended and Restated Memorandum and Articles of Association: To adopt the Amended and Restated Memorandum and Articles of Association in the form attached to the accompanying Proxy Statement as "Annex B". | Management | For | For | |||
| 3. | The Nasdaq Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the Nasdaq Global Market ("Nasdaq"), the issuance of more than 20% of the issued and outstanding 8i Ordinary Shares and the resulting change in control in connection with the Business Combination. | Management | For | For | |||
| 4. | DIRECTOR | Management | |||||
| 1 Wei Wen Kelvin Chen | For | For | |||||
| 2 Thien Su Gerald Lim | For | For | |||||
| 3 David Francis Capes | For | For | |||||
| 4 Alfred Lim | For | For | |||||
| 5 Kim Hing Chan | For | For | |||||
| 5. | The 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, 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 Directors Proposal or the Charter Amendment Proposal. | Management | For | For | |||
| 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 | 51,583 | 0 | 31-Oct-2022 | 31-Oct-2022 |
| INTEGRATED RAIL & RESOURCES ACQUI CORP | |||||||
| Security | 45827R106 | Meeting Type | Special | ||||
| Ticker Symbol | IRRX | Meeting Date | 15-Nov-2022 | ||||
| ISIN | US45827R1068 | Agenda | 935728494 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The "Extension Amendment Proposal" - Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company must (1) effectuate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar business combination with one or more businesses, (2) cease its operations except for the purpose of winding up if it fails to complete such initial business combination, and (3) redeem 100% of the Company's Class A common stock, from November 15, 2022 to May 15, 2023. | Management | For | For | |||
| 2. | The "Trust Amendment Proposal" - Amend the Company's investment management trust agreement, dated November 11, 2021, with American Stock Transfer & Trust Company, LLC, to change the date on which the trustee must commence liquidation of the trust account established in connection with our IPO to May 15, 2023. | Management | For | For | |||
| 3. | The "Adjournment Proposal" - 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 one or more proposals presented to stockholders for vote. | Management | For | For | |||
| 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 | 73,254 | 0 | 02-Nov-2022 | 02-Nov-2022 |
| UPL CORP LTD | |||||||
| Security | V96177AC0 | Meeting Type | Bond Meeting | ||||
| Ticker Symbol | Meeting Date | 17-Nov-2022 | |||||
| ISIN | XS2125139464 | Agenda | 716256676 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1 | THAT THIS MEETING (THE "MEETING") OF THE HOLDERS OF THE U.S.USD400,000,000,000 PERPETUAL SUBORDINATED CAPITAL SECURITIES (ISIN: XS2125139464; COMMON CODE: 212513946) (THE "SECURITIES") OF UPL CORPORATION LIMITED (THE "ISSUER"), PURSUANT TO THE TRUST DEED, BY EXTRAORDINARY RESOLUTION HEREBY: (A) CONSENT TO THE EXECUTION OF THE SUPPLEMENTAL TRUST DEED BY THE ISSUER'S SUBSIDIARY, UPL LTD (THE "SUBSIDIARY GUARANTOR"), TO PROVIDE A SUBORDINATED GUARANTEE ON THE DUE AND PUNCTUAL PAYMENT OF THE PRINCIPAL OF AND INTEREST (INCLUDING ANY ACCRUED AND UNPAID INTEREST AND ANY ARREARS OF INTEREST) ON THE SECURITIES AND OF ANY OTHER AMOUNTS PAYABLE BY THE ISSUER UNDER THE TRUST DEED; (B) AUTHORISES, DIRECTS AND REQUESTS THE ISSUER TO ENTER INTO AND DO ALL SUCH OTHER DEEDS, INSTRUMENTS, ACTS AND THINGS AS MAY BE NECESSARY, DESIRABLE OR EXPEDIENT TO CARRY OUT AND GIVE EFFECT TO THIS EXTRAORDINARY RESOLUTION AND THE IMPLEMENTATION OF THE PROPOSAL; (C) SANCTIONS AND ASSENTS TO EVERY ABROGATION, AMENDMENT, MODIFICATION, COMPROMISE OR ARRANGEMENT IN RESPECT OF THE RIGHTS OF THE HOLDERS AGAINST THE ISSUER OR AGAINST ANY OF ITS PROPERTY WHETHER SUCH RIGHTS SHALL ARISE UNDER THE TRUST DEED OR OTHERWISE INVOLVED IN OR RESULTING FROM THE CONVENING OF THE MEETING, THE PROPOSAL, THIS EXTRAORDINARY RESOLUTION OR THEIR IMPLEMENTATION AND/OR THE AMENDMENTS TO THE TRUST DEED OR THEIR IMPLEMENTATION (D) ACKNOWLEDGES AND AGREES THAT THE IMPLEMENTATION OF THE PROPOSAL WILL BECOME EFFECTIVE AND THE EXECUTION OF THE SUPPLEMENTAL TRUST DEED WILL BE DONE UPON (I) THE PASSING OF THE EXTRAORDINARY RESOLUTION BY ELECTRONIC CONSENT OR AT THE MEETING; AND (II)(X) THE PASSING OF BOTH PROPOSALS FOR THE U.S.USD300,000,000 4.50 PER CENT. SENIOR NOTES DUE 2028 (ISIN: XS1789391148; COMMON CODE: 178939114) (THE "2028 NOTES") AND THE U.S.USD500,000,000 4.625 PER CENT. SENIOR NOTES DUE 2030 (ISIN: XS2189565992; COMMON | Management | |||||
| CODE: 218956599) (THE "2030 NOTES") PURSUANT TO A SEPARATE CONSENT SOLICITATION EXERCISE (THE "SENIOR NOTES CONSENT SOLICITATIONS") CONCURRENTLY HELD WITH THIS CONSENT SOLICITATION AND (Y) THE IMPLEMENTATION OF THE PROPOSED REORGANIZATION CONTEMPLATED THEREIN; (E) SUBJECT TO SUB-PARAGRAPH (D), AUTHORISES, DIRECTS, REQUESTS, INSTRUCTS AND EMPOWERS THE TRUSTEE TO: (I) EXECUTE AND DELIVER THE SUPPLEMENTAL TRUST DEED; AND (II) CONCUR IN AND EXECUTE AND DO ALL SUCH OTHER DEEDS, INSTRUMENTS, ACTS AND THINGS AS MAY BE NECESSARY, DESIRABLE OR EXPEDIENT, IN THE SOLE DISCRETION OF THE TRUSTEE, TO CARRY OUT AND GIVE EFFECT TO THIS EXTRAORDINARY RESOLUTION AND THE IMPLEMENTATION OF THE PROPOSAL; AND (F) DISCHARGES, WAIVES AND EXONERATES THE TRUSTEE FROM ALL LOSS OR LIABILITY IN CONSENTING TO THE PROPOSAL AND FOR WHICH IT MAY HAVE BECOME OR MAY BECOME LIABLE UNDER THE TRUST DEED OR THE SECURITIES IN RESPECT OF ANY ACT OR OMISSION, INCLUDING, WITHOUT LIMITATION, IN CONNECTION WITH THE PROPOSAL AND THIS EXTRAORDINARY RESOLUTION OR ITS IMPLEMENTATION, OR THE IMPLEMENTATION OF THE APPROVALS, CONSENTS, AMENDMENTS, MODIFICATIONS, AUTHORISATIONS, DIRECTIONS, EMPOWERMENTS, SANCTIONS AND ASSENTS REFERRED TO IN THE PROPOSAL AND THIS EXTRAORDINARY RESOLUTION, AND AGREES AND CONFIRMS THAT THE TRUSTEE IS NOT REQUIRED TO REQUEST OR RECEIVE ANY LEGAL OPINIONS OR OFFICER'S CERTIFICATES IN RELATION TO THE PROPOSAL AND THIS EXTRAORDINARY RESOLUTION; (G) WAIVES IRREVOCABLY ANY CLAIM THAT THE HOLDERS MAY HAVE AGAINST THE TRUSTEE ARISING AS A RESULT OF ANY LOSS OR DAMAGE WHICH ANY HOLDER MAY SUFFER OR INCUR AS A RESULT OF THE TRUSTEE ACTING UPON THIS EXTRAORDINARY RESOLUTION (INCLUDING, WITHOUT LIMITATION, CIRCUMSTANCES WHERE IT IS SUBSEQUENTLY FOUND THAT THIS EXTRAORDINARY RESOLUTION IS NOT VALID OR BINDING ON THE HOLDERS OR THAT THERE IS A DEFECT IN THE PASSING OF THIS EXTRAORDINARY RESOLUTION) AND FURTHER CONFIRMS THAT THE HOLDERS WILL NOT SEEK TO HOLD THE TRUSTEE LIABLE FOR ANY SUCH LOSS OR DAMAGE AND THAT THE TRUSTEE SHALL BE RESPONSIBLE TO ANY PERSON FOR ACTING UPON THIS EXTRAORDINARY RESOLUTION; AND (H) AGREES AND UNDERTAKES TO INDEMNIFY AND HOLD HARMLESS THE TRUSTEE FROM AND AGAINST ALL LOSSES, LIABILITIES, COSTS, CHARGES AND EXPENSES WHICH MAY BE | |||||||
| SUFFERED OR INCURRED BY IT AS A RESULT OF ANY CLAIMS (WHETHER OR NOT SUCCESSFUL, COMPROMISED OR SETTLED), ACTIONS, DEMANDS OR PROCEEDINGS BROUGHT AGAINST THE TRUSTEE AND AGAINST ALL LOSSES, COSTS, CHARGES OR EXPENSES (INCLUDING LEGAL FEES AND TAXES) WHICH THE TRUSTEE MAY SUFFER OR INCUR WHICH MAY IN ANY CASE ARISE AS A RESULT OF THE TRUSTEE ACTING IN ACCORDANCE WITH THIS EXTRAORDINARY RESOLUTION | |||||||
| CMMT | PLEASE NOTE THAT THERE IS A MINIMUM TO VOTE : 2,00,000 AND MULTIPLE: 1000 | Non-Voting | |||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
| RV2L | RV2L | STATE STREET BANK | 400,000 | 0 | |||
| PHOENIX BIOTECH ACQUISITION CORP. | |||||||
| Security | 71902K105 | Meeting Type | Special | ||||
| Ticker Symbol | PBAX | Meeting Date | 16-Dec-2022 | ||||
| ISIN | US71902K1051 | Agenda | 935740971 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Charter Amendment Proposal - to amend the amended and restated certificate of incorporation ("charter") to (a) extend the date by which Company has to consummate an initial business combination ("business combination period") for an additional six months, (b) provide our board the ability to further extend the date by which Company has to consummate a business combination up to three additional times for one month each time, for a maximum of six additional months, (c) allow for the Company to provide redemption rights to public stockholders. | Management | For | For | |||
| 2. | The Trust Amendment Proposal - to amend the Company's investment management trust agreement, dated as of October 5, 2021 (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Trust Company (in such capacity, the "Trustee"), to (i) extend the business combination period from January 8, 2023 to April 8, 2023 and up to three times for an additional one month each time from April 8, 2023, to May 8, 2023, June 8, 2023 or July 8, 2023. | Management | For | For | |||
| 3. | The Adjournment Proposal - to adjourn 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 the Charter Amendment Proposal and Trust Amendment Proposal. | Management | For | For | |||
| 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 | 13,488 | 0 | 13-Dec-2022 | 13-Dec-2022 |
| SIZZLE ACQUISITION CORP. | |||||||
| Security | 83014E109 | Meeting Type | Special | ||||
| Ticker Symbol | SZZL | Meeting Date | 19-Dec-2022 | ||||
| ISIN | US83014E1091 | Agenda | 935746694 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal: 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 February 8, 2023 to August 8, 2023 (or such earlier date as determined by the Board). | Management | For | For | |||
| 2a. | To re-elect the following director as Class I director (to serve until the annual meeting of stockholders of the Company to be held in 2025 or until a successor is elected and qualified or their earlier resignation or removal): David Perlin | Management | For | For | |||
| 2b. | To re-elect the following director as Class I director (to serve until the annual meeting of stockholders of the Company to be held in 2025 or until a successor is elected and qualified or their earlier resignation or removal): Carolyn Trabuco | Management | For | For | |||
| 3. | Adjournment Proposal: Adjourn the 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 Proposal 1 or Proposal 2. | Management | For | For | |||
| 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 | 104,224 | 0 | 13-Dec-2022 | 13-Dec-2022 |
| SPINDLETOP HEALTH ACQUISITION CORP | |||||||
| Security | 84854Q103 | Meeting Type | Special | ||||
| Ticker Symbol | SHCA | Meeting Date | 20-Dec-2022 | ||||
| ISIN | US84854Q1031 | Agenda | 935746670 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Charter Amendment: To permit the Company to liquidate and wind up early by amending the Company's Amended and Restated Certificate of Incorporation in the form set forth in Annex A of the accompanying proxy statement. | Management | For | For | |||
| 2. | The Trust Amendment Proposal: To amend the Investment Management Trust Agreement, dated November 3, 2021, by and between the Company and Continental Stock Transfer & Trust Company, as trustee, pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the accompanying proxy statement to change the date on which Continental must commence liquidation of the Trust Account established in connection with the Company's initial public offering to the Amended Termination Date. | Management | For | For | |||
| 3. | Adjournment: 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 insufficient votes from shares of the Company's holders of the Common Stock to approve the Charter Amendment Proposal and Trust Amendment Proposal or if otherwise determined by the chairperson of the Special Meeting to be necessary or appropriate. | Management | For | ||||
| 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 | 16,034 | 0 | 13-Dec-2022 | 13-Dec-2022 |
| OPY ACQUISITION CORP I | |||||||
| Security | 671005205 | Meeting Type | Special | ||||
| Ticker Symbol | OHAAU | Meeting Date | 20-Dec-2022 | ||||
| ISIN | US6710052050 | Agenda | 935746745 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Charter Amendment Proposal: To amend our amended and restated certificate of incorporation (the "charter") to extend the initial period of time by which we have to consummate an initial business combination from April 29, 2023 to October 30, 2023, (the "New Termination Date") pursuant to an amendment in the form set forth in Annex A of the accompanying proxy statement (the "Charter Amendment Proposal"). | Management | For | For | |||
| 2.1 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Jonathan B. Siegel | Management | For | For | |||
| 2.2 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: David R. Epstein | Management | For | For | |||
| 2.3 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Kim D. Blickenstaff | Management | For | For | |||
| 2.4 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Jonathan B. Fassberg | Management | For | For | |||
| 2.5 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Barbara L. Weber | Management | For | For | |||
| 3. | The Adjournment Proposal: To approve one or more adjournments of the special meeting from time to time, if requested by the chairman of the special meeting. | Management | For | For | |||
| 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 | 0 | 13-Dec-2022 | 13-Dec-2022 |
| OPY ACQUISITION CORP I | |||||||
| Security | 671005106 | Meeting Type | Special | ||||
| Ticker Symbol | OHAA | Meeting Date | 20-Dec-2022 | ||||
| ISIN | US6710051060 | Agenda | 935746745 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Charter Amendment Proposal: To amend our amended and restated certificate of incorporation (the "charter") to extend the initial period of time by which we have to consummate an initial business combination from April 29, 2023 to October 30, 2023, (the "New Termination Date") pursuant to an amendment in the form set forth in Annex A of the accompanying proxy statement (the "Charter Amendment Proposal"). | Management | For | For | |||
| 2.1 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Jonathan B. Siegel | Management | For | For | |||
| 2.2 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: David R. Epstein | Management | For | For | |||
| 2.3 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Kim D. Blickenstaff | Management | For | For | |||
| 2.4 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Jonathan B. Fassberg | Management | For | For | |||
| 2.5 | Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Barbara L. Weber | Management | For | For | |||
| 3. | The Adjournment Proposal: To approve one or more adjournments of the special meeting from time to time, if requested by the chairman of the special meeting. | Management | For | For | |||
| 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 | 71,292 | 0 | 13-Dec-2022 | 13-Dec-2022 |
| MOUNTAIN CREST ACQUISITION CORP. V | |||||||
| Security | 62404B107 | Meeting Type | Special | ||||
| Ticker Symbol | MCAG | Meeting Date | 20-Dec-2022 | ||||
| ISIN | US62404B1070 | Agenda | 935748915 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | EXTENSION AMENDMENT - 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 FROM 2/16/2023 TO 5/16/2023. | Management | For | For | |||
| 2. | TRUST AMENDMENT - APPROVAL OF AN AMENDMENT TO THE COMPANY'S INVESTMENT MANAGEMENT TRUST AGREEMENT, DATED AS OF 11/12/2021 (THE "TRUST AGREEMENT"), WITH CONTINENTAL STOCK TRANSFER & TRUST COMPANY TO PROVIDE THAT THE COMPANY'S TIME TO COMPLETE ITS INITIAL BUSINESS COMBINATION UNDER THE TRUST AGREEMENT SHALL BE EXTENDED FROM 2/16/2023 TO 5/16/2023 & TO THE EXTENT THE COMPANY'S AMENDED & RESTATED CERTIFICATE OF INCORPORATION IS AMENDED TO EXTEND THE PERIOD BY DEPOSITING INTO THE TRUST ACCOUNT $300,000 FOR THE EXTENSION. | Management | For | For | |||
| 3. | ADJOURNMENT - APPROVAL TO DIRECT THE CHAIRMAN OF THE SPECIAL 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 PROPOSAL 1 AND PROPOSAL 2. | Management | For | For | |||
| 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 | 63,000 | 0 | 13-Dec-2022 | 13-Dec-2022 |
| OMNILIT ACQUISITION CORP. | |||||||
| Security | 68218C207 | Meeting Type | Special | ||||
| Ticker Symbol | OLITU | Meeting Date | 21-Dec-2022 | ||||
| ISIN | US68218C2070 | Agenda | 935741973 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Amendment Proposal - to amend the Company's amended and restated certificate of incorporation by allowing us to extend (the "Extension") the date by which we have to consummate a business combination (the "Combination Period") for an additional nine (9) months, from February 12, 2023 (the date which is 15 months from the closing date of our initial public offering of our units (the "IPO") to November 12, 2023, (the "Extended Date"). | Management | For | For | |||
| 2. | The Trust Amendment Proposal - to amend the Investment Management Trust Agreement, dated November 8, 2021, (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Company (the "Trustee"), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the accompanying proxy statement (the "Trust Amendment"), to authorize the Extension and its implementation by the Company. | Management | For | For | |||
| 3. | The Adjournment 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 the foregoing proposals. The Adjournment Proposal will only be presented at the Special Meeting if there are not sufficient votes to approve the Extension Amendment Proposal or the Trust Amendment Proposal. | Management | For | For | |||
| 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 | 86,683 | 0 | 08-Dec-2022 | 08-Dec-2022 |
| APEIRON CAPITAL INVESTMENT CORP. | |||||||
| Security | 03752A200 | Meeting Type | Special | ||||
| Ticker Symbol | APNU | Meeting Date | 21-Dec-2022 | ||||
| ISIN | US03752A2006 | Agenda | 935746721 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal: 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 February 12, 2023 to August 14, 2023 (or such earlier date as determined by the Board). | Management | For | For | |||
| 2. | Director Election Proposal: To elect the following director as a Class I director (to serve until the annual meeting of stockholders of the Company to be held in 2025 or until a successor is elected and qualified or his earlier resignation or removal): Charles Aggouras | Management | For | For | |||
| 3. | Adjournment Proposal: Adjourn the 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 Proposal 1 or Proposal 2. | Management | For | For | |||
| 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 | 7,413 | 0 | 19-Dec-2022 | 19-Dec-2022 |
| MOUNT RAINIER ACQUISITION CORP. | |||||||
| Security | 623006103 | Meeting Type | Special | ||||
| Ticker Symbol | RNER | Meeting Date | 21-Dec-2022 | ||||
| ISIN | US6230061037 | Agenda | 935747696 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | EXTENSION AMENDMENT: 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 FROM JANUARY 7, 2023 TO MARCH 1, 2023. | Management | For | For | |||
| 2. | NTA REQUIREMENT AMENDMENT: APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXPAND THE METHODS THAT THE COMPANY MAY EMPLOY TO NOT BECOME SUBJECT TO THE "PENNY STOCK" RULES OF THE SECURITIES AND EXCHANGE COMMISSION. | Management | For | For | |||
| 3. | ADJOURNMENT: APPROVAL TO DIRECT THE CHAIRPERSON 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 PROPOSALS. | Management | For | For | |||
| 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 | 53,922 | 0 | 19-Dec-2022 | 19-Dec-2022 |
| ACHARI VENTURES HOLDINGS CORP. I | |||||||
| Security | 00444X101 | Meeting Type | Special | ||||
| Ticker Symbol | AVHI | Meeting Date | 22-Dec-2022 | ||||
| ISIN | US00444X1019 | Agenda | 935745589 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Charter Amendment: To amend (the "Charter Amendment") Achari's amended and restated certificate of incorporation (the "charter"), which currently provides that Achari has the option to extend the period by which it must consummate a business combination for a total of three months, from January 19, 2023 (the "Original Termination Date") to April 19, 2023 (the "Original Extended Date"). | Management | For | For | |||
| 2. | The Trust Amendment: To amend (the "Trust Amendment" and together with the Charter Amendment, the "Extension Amendments") the Investment Management Trust Agreement entered into in connection with Achari's initial public offering ("IPO"), dated October 14, 2021, by and between Continental Stock Transfer & Trust Company (the "Trustee") and Achari (the "Trust Agreement"). | Management | For | For | |||
| 3. | Adjournment: 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 the Charter Amendment Proposal and the Trust Amendment Proposal. The Adjournment Proposal will only be presented at the special meeting if there are not sufficient votes to approve the Charter Amendment Proposal and the Trust Amendment Proposal. | Management | For | For | |||
| 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 | 36,143 | 0 | 13-Dec-2022 | 13-Dec-2022 |
| DEEP MEDICINE ACQUISITION CORP. | |||||||
| Security | 243733102 | Meeting Type | Special | ||||
| Ticker Symbol | DMAQ | Meeting Date | 23-Dec-2022 | ||||
| ISIN | US2437331026 | Agenda | 935750352 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal: 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 January 29, 2023 to July 29, 2023 (or such earlier date as determined by the Board). | Management | For | For | |||
| 2. | Founder Share Amendment Proposal: Amend the Company's second amended and restated certificate of incorporation to grant holders of Founder Shares the right to convert Founder Shares into Class A Common Stock on a one-for-one basis prior to the closing of a Business Combination. | Management | For | For | |||
| 3.1 | Director Election Proposal: Election of Class I Director (to serve until the annual meeting of stockholders of the Company to be held in 2024 or until a successor is elected and qualified or their earlier resignation or removal): Tina Spires | Management | For | For | |||
| 3.2 | Director Election Proposal: Election of Class I Director (to serve until the annual meeting of stockholders of the Company to be held in 2024 or until a successor is elected and qualified or their earlier resignation or removal): HongLiang Ren | Management | For | For | |||
| 3.3 | Director Election Proposal: Election of Class I Director (to serve until the annual meeting of stockholders of the Company to be held in 2024 or until a successor is elected and qualified or their earlier resignation or removal): John Chiang | Management | For | For | |||
| 4. | Adjournment Proposal: Adjourn the 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 Proposal 1, Proposal 2,or Proposal 3. | Management | For | For | |||
| 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 | 35,646 | 0 | 20-Dec-2022 | 20-Dec-2022 |
| MOUNT RAINIER ACQUISITION CORP. | |||||||
| Security | 623006103 | Meeting Type | Special | ||||
| Ticker Symbol | RNER | Meeting Date | 04-Jan-2023 | ||||
| ISIN | US6230061037 | Agenda | 935750047 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve and adopt the Business Combination Agreement, a copy of which is attached to the Proxy Statement/Prospectus as Annex A, and the transactions contemplated therein, including the Business Combination whereby Rover Merger Sub Inc., a Delaware corporation, will merge with and into RNER, with RNER surviving the merger as a wholly owned subsidiary of HUB Cyber Security (Israel) Ltd., a company organized under the laws of Israel ("HUB Security"). | Management | For | For | |||
| 2.1 | The Charter Proposals - to approve the following material differences between RNER's amended and restated certificate of incorporation (the "RNER Charter") and HUB Security's amended and restated articles of association (the "HUB Security Articles") to be effective upon the consummation of the Business Combination: The name of the new public entity will be "HUB Cyber Security (Israel) Ltd." as opposed to "Mount Rainier Acquisition Corp." | Management | For | For | |||
| 2.2 | The Charter Proposals - to approve the following material differences between RNER's amended and restated certificate of incorporation (the "RNER Charter") and HUB Security's amended and restated articles of association (the "HUB Security Articles") to be effective upon the consummation of the Business Combination: HUB Security's corporate existence is perpetual as opposed to RNER's corporate existence terminating if a business combination is not consummated within a specified period of time. | Management | For | For | |||
| 2.3 | The Charter Proposals - to approve the following material differences between RNER's amended and restated certificate of incorporation (the "RNER Charter") and HUB Security's amended and restated articles of association (the "HUB Security Articles") to be effective upon the consummation of the Business Combination: The HUB Security Articles will not include the various provisions applicable only to special purpose acquisition corporations that the RNER Charter contains. | Management | For | For | |||
| 3. | The Adjournment Proposal - to consider and vote upon a proposal to adjourn the special meeting to a later date or dates, if necessary, if the parties are not able to consummate the Business Combination. | Management | For | For | |||
| 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 | 53,922 | 0 | 20-Dec-2022 | 20-Dec-2022 |
| NEWCOURT ACQUISITION CORP | |||||||
| Security | G6448C103 | Meeting Type | Special | ||||
| Ticker Symbol | NCAC | Meeting Date | 06-Jan-2023 | ||||
| ISIN | KYG6448C1033 | Agenda | 935752940 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1) | The Extension Amendment Proposal - A special resolution to extend the date by which the Company must consummate an initial business combination for an initial three (3) months from January 22, 2023 to April 22, 2023 and up to three (3) times for an additional one (1) month each time from April 22, 2023 to July 22, 2023 (which is 21 months from the closing of our IPO) by amending the Company's Amended and Restated Memorandum and Articles of Association in the form of amendment set forth in Annex A to the accompanying proxy statement. | Management | For | For | |||
| 2) | The Trust Agreement Amendment Proposal - An ordinary resolution to, with the approval of the affirmative vote of holders of at least 65% of the issued and outstanding ordinary shares of the Company, enter into the Amendment No. 1 to the Investment Management Trust Agreement by and between the Company and Continental Stock Transfer & Trust Company, a New York corporation, in the form set forth in Annex B to the accompanying proxy statement. | Management | For | For | |||
| 3) | The Adjournment Proposal - An ordinary resolution to adjourn the extraordinary general 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 extraordinary general meeting, there are not sufficient votes to approve the Extension Amendment Proposal. | Management | For | For | |||
| 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 | 24,074 | 0 | 30-Dec-2022 | 30-Dec-2022 |
| INNOVATIVE INTERNATIONAL ACQ CORP. | |||||||
| Security | G4809M109 | Meeting Type | Special | ||||
| Ticker Symbol | IOAC | Meeting Date | 19-Jan-2023 | ||||
| ISIN | KYG4809M1096 | Agenda | 935755732 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Amendment Proposal - A special resolution to extend the date by which the Company must consummate an initial business combination up to six (6) times for an additional one (1) month each time from January 29, 2023 to July 29, 2023 by amending the Company's Amended and Restated Memorandum and Articles of Association in the form of amendment set forth in Annex A to the accompanying proxy statement. | Management | For | For | |||
| 2. | The Trust Agreement Amendment Proposal - An ordinary resolution to, with the approval of the affirmative vote of holders of at least 65% of the issued and outstanding ordinary shares of the Company, enter into the Amendment No. 1 to the Investment Management Trust Agreement by and between the Company and American Stock Transfer & Trust Company, LLC, a New York limited liability company, in the form set forth in Annex B to the accompanying proxy statement. | Management | For | For | |||
| 3. | The Adjournment Proposal - An ordinary resolution to adjourn the extraordinary general 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 extraordinary general meeting, there are not sufficient votes to approve the Extension Amendment Proposal and the Trust Agreement Amendment Proposal. | Management | For | For | |||
| 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 | 17,822 | 0 | 17-Jan-2023 | 17-Jan-2023 |
| ONYX ACQUISITION CO. I | |||||||
| Security | G6755Q109 | Meeting Type | Special | ||||
| Ticker Symbol | ONYX | Meeting Date | 26-Jan-2023 | ||||
| ISIN | KYG6755Q1091 | Agenda | 935748509 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated memorandum and articles of association (the "Articles") to extend the date that the Company has to consummate a business combination from February 5, 2023 to August 7, 2023. | Management | For | For | |||
| 2. | Redemption Limitation Amendment: Amend the Company's Articles to eliminate the limitation that the Company shall not redeem Class A ordinary shares included as part of the units sold in the IPO (including any shares issued in exchange thereof) to the extent that such redemption would cause the Company's net tangible assets to be less than $5,000,001. | Management | For | For | |||
| 3. | Adjournment: Adjourn the Extraordinary General 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 Proposal 1 or Proposal 2. | Management | For | For | |||
| 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 | 20,906 | 0 | 25-Jan-2023 | 25-Jan-2023 |
| OMNILIT ACQUISITION CORP. | |||||||
| Security | 68218C207 | Meeting Type | Special | ||||
| Ticker Symbol | OLITU | Meeting Date | 26-Jan-2023 | ||||
| ISIN | US68218C2070 | Agenda | 935757584 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Founder Share Amendment Proposal: A proposal, ("Proposal") to amend the Company's amended and restated certificate of incorporation to provide for the right of a holder of Class B Common Stock of the Company ("Founder Shares") to convert into Class A Common Stock on a one-for-one basis prior to the closing of a business combination at the election of the holder. A copy of the proposed amendment, which we refer to as the "Founder Share Amendment," is set forth in Annex A to the accompanying Proxy Statement. | Management | For | For | |||
| 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 | 0 | 25-Jan-2023 | 25-Jan-2023 |
| TKB CRITICAL TECHNOLOGIES 1 | |||||||
| Security | G88935104 | Meeting Type | Special | ||||
| Ticker Symbol | USCTU | Meeting Date | 27-Jan-2023 | ||||
| ISIN | KYG889351048 | Agenda | 935756467 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Amendment Proposal - "RESOLVED, as a special resolution, that the Articles of Association of TKB currently in effect be amended to extend the date that the Company has to consummate a business combination from January 29, 2023 to June 29, 2023 (i.e., for a period of time ending 20 months after the consummation of its initial public offering)." | Management | For | For | |||
| 2. | The Trust Agreement Amendment Proposal - To approve an amendment to the Company's Investment Management Trust Agreement, dated October 26, 2021, by and between TKB and Continental Stock Transfer & Trust Company, allowing TKB to extend the Combination Period from January 29, 2023 to June 29, 2023 (i.e., for a period of time ending 20 months after the consummation of its initial public offering). | Management | For | For | |||
| 3. | The Adjournment Proposal - "RESOLVED, as an ordinary resolution, to adjourn the Extraordinary General Meeting of TKB 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 Extraordinary General Meeting, there are not sufficient votes to approve the Extension Amendment Proposal, or to provide additional time to effectuate the Extension." | Management | For | For | |||
| 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 | 2,376 | 0 | 18-Jan-2023 | 18-Jan-2023 |
| LIONHEART III CORP | |||||||
| Security | 536262108 | Meeting Type | Special | ||||
| Ticker Symbol | LION | Meeting Date | 30-Jan-2023 | ||||
| ISIN | US5362621089 | Agenda | 935760288 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal: To consider and vote upon a proposal to approve the Business Combination Agreement, dated as of July 26, 2022 (as it may be amended, supplemented or otherwise modified from time to time, the "BCA"), by and among Lionheart III Corp ("Lionheart"), Security Matters Limited, a publicly traded company on the Australian Securities Exchange ("ASX") ("SMX"), Empatan Public Limited Company, a public limited company incorporated in Ireland ("Parent"), and Aryeh ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2. | The Adjournment Proposal: To consider and vote upon a proposal to approve the adjournment of the Lionheart's special meeting of stockholders in lieu of the 2022 annual meeting (the "Special Meeting") to a later date or dates, if necessary, (A) to ensure that any supplement or amendment to the proxy statement/prospectus that the Board of Directors of Lionheart (the "Lionheart Board") has determined in good faith is required by applicable law to be disclosed to Lionheart stockholders and ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 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 | 128,274 | 0 | 27-Jan-2023 | 27-Jan-2023 |
| SIZZLE ACQUISITION CORP. | |||||||
| Security | 83014E109 | Meeting Type | Special | ||||
| Ticker Symbol | SZZL | Meeting Date | 01-Feb-2023 | ||||
| ISIN | US83014E1091 | Agenda | 935759449 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal - 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 February 8, 2023 to August 8, 2023 (or such earlier date as determined by the Board). | Management | For | For | |||
| 2. | Adjournment Proposal - Adjourn the 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 Proposal 1. | Management | For | For | |||
| 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 | 104,224 | 0 | 31-Jan-2023 | 31-Jan-2023 |
| BLOCKCHAIN COINVESTORS ACQ. CORP. I | |||||||
| Security | G11765107 | Meeting Type | Special | ||||
| Ticker Symbol | BCSA | Meeting Date | 03-Feb-2023 | ||||
| ISIN | KYG117651078 | Agenda | 935756152 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal - As a special resolution, to amend ("Extension Amendment") BCSA's Amended and Restated Memorandum & Articles of Association ("Governing Documents") to extend the date by which BCSA must consummate a merger, share exchange, asset acquisition, stock purchase, recapitalization, reorganization or similar business combination from 5/15/2023 (the date which is 18 months from the closing date of BCSA's initial public offering of units) to 11/15/2023 in the form set forth in Annex A to the accompanying proxy statement. | Management | For | For | |||
| 2. | Adjournment Proposal - As an ordinary resolution, to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary, either (x) to permit further solicitation and vote of proxies in the event that there are insufficient votes to approve the Extension Amendment Proposal or if BCSA determines that additional time is necessary to effectuate the Extension or (y) if the board of directors determines before the Extraordinary General Meeting that it is not necessary or desirable to proceed. | Management | For | For | |||
| 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 | 14,842 | 0 | 17-Jan-2023 | 17-Jan-2023 |
| MERCATO PARTNERS ACQUISITION CORP. | |||||||
| Security | 58759A108 | Meeting Type | Special | ||||
| Ticker Symbol | MPRA | Meeting Date | 03-Feb-2023 | ||||
| ISIN | US58759A1088 | Agenda | 935759843 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | A proposal to amend the Company's charter to extend the date by which the Company must consummate a business combination from February 8, 2023 to July 8, 2023 & to allow Company, without another stockholder vote, to elect to extend the Termination Date to consummate a business combination on a monthly basis up to five times by an additional one month each time after the Extended Date, by resolution of the Board, if requested by the Sponsor, and upon five days' advance notice prior to the applicable Termination Date, until December 8, 2023. | Management | For | For | |||
| 2. | A proposal to amend Trust Agreement, by & between Company & the Trustee, allowing the Company (i) extend Combination Period to Extended Date by depositing into the Trust Account an amount equal to the lesser of (a) $675,000 or (b) $0.225 for each public share that is not redeemed in connection with special meeting and, (ii) in event that Company has not consummated a business combination by Extended Date, to extend, by resolution of the Board & without approval of the Company's public stockholders. | Management | For | For | |||
| 3. | 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 to approve the Extension Amendment Proposal or the Trust Amendment Proposal, or if we determine that additional time is necessary to effectuate the Extension. | Management | For | For | |||
| 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 | 80,170 | 0 | 01-Feb-2023 | 01-Feb-2023 |
| SEMPER PARATUS ACQUISITION CORPORATION | |||||||
| Security | G8028L123 | Meeting Type | Special | ||||
| Ticker Symbol | LGSTU | Meeting Date | 03-Feb-2023 | ||||
| ISIN | KYG8028L1234 | Agenda | 935760997 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1) | The Extension Amendment Proposal - A special resolution to extend the date by which the Company must consummate an initial business combination from February 8, 2023 to December 15, 2023 by amending the Company's Amended and Restated Memorandum and Articles of Association in the form of amendment set forth in Annex A to the accompanying proxy statement. | Management | For | For | |||
| 2) | The Adjournment Proposal - An ordinary resolution to adjourn the extraordinary general 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 extraordinary general meeting, there are not sufficient votes to approve the Extension Amendment Proposal. | Management | For | For | |||
| 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 | 8,017 | 0 | 01-Feb-2023 | 01-Feb-2023 |
| INTELLIGENT MEDICINE ACQUISITION CORP. | |||||||
| Security | 45828D205 | Meeting Type | Special | ||||
| Ticker Symbol | IQMDU | Meeting Date | 08-Feb-2023 | ||||
| ISIN | US45828D2053 | Agenda | 935760365 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal: A proposal to amend the Company's amended and restated certificate of incorporation by allowing us to extend ("Extension") the date by which we have to consummate a business combination for an additional seven months, from Feb. 9, 23 (date which is fifteen (15) months from the closing Date of our IPO of our units (the "IPO") to Sep 9, 23, ("Extended Date"), or such earlier date as determined by the Board, or, if it fails to do so, cease its operations and redeem or repurchase 100% of the shares of the Company's common stock. | Management | For | For | |||
| 2. | Trust Amendment Proposal: A proposal to amend the Investment Management Trust Agreement, dated November 4, 2021, (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Company (the "Trustee"), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the accompanying proxy statement, to authorize the Extension and its implementation by the Company. | Management | For | For | |||
| 3. | Adjournment Proposal: 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 the forgoing proposals. This proposal will only be presented at the Special Meeting if there are not sufficient votes to approve the Extension Amendment Proposal. | Management | For | For | |||
| 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 | 8,038 | 0 | 01-Feb-2023 | 01-Feb-2023 |
| INTEGRATED RAIL & RESOURCES ACQUI CORP | |||||||
| Security | 45827R106 | Meeting Type | Special | ||||
| Ticker Symbol | IRRX | Meeting Date | 08-Feb-2023 | ||||
| ISIN | US45827R1068 | Agenda | 935761494 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The "Extension Amendment Proposal" - Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company must (1) effectuate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar business combination with one or more businesses, (2) cease its operations except for the purpose of winding up if it fails to complete such initial business combination, and (3) redeem 100% of the Company's Class A common stock, from February 15, 2023 to March 15, 2023. | Management | For | For | |||
| 2. | The "Trust Amendment Proposal" - Amend the Company's investment management trust agreement, dated November 11, 2021, with American Stock Transfer & Trust Company, LLC, to require the trustee to commence liquidation of the trust account established in connection with our IPO in the event that a termination letter has not been received by the trustee by the Deadline Date and the Company has not completed the Business Combination as of the Deadline Date. | Management | For | For | |||
| 3. | The "Adjournment Proposal" - 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 one or more proposals presented to stockholders for vote. | Management | For | For | |||
| 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 | 73,254 | 0 | 06-Feb-2023 | 06-Feb-2023 |
| ROTH CH ACQUISITION V CO. | |||||||
| Security | 77867R100 | Meeting Type | Annual | ||||
| Ticker Symbol | ROCL | Meeting Date | 13-Feb-2023 | ||||
| ISIN | US77867R1005 | Agenda | 935763347 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | DIRECTOR | Management | |||||
| 1 Byron Roth | For | For | |||||
| 2 John Lipman | For | For | |||||
| 3 Pamela Ellison | For | For | |||||
| 4 Adam Rothstein | For | For | |||||
| 5 Sam Chawla | For | For | |||||
| 2. | Ratification of Appointment of Independent Auditors - Approve the appointment of Grant Thornton LLP as the Company's independent registered public accounting firm for the fiscal year ended December 31, 2022. | Management | For | For | |||
| 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 | 58,888 | 0 | 08-Feb-2023 | 08-Feb-2023 |
| LEGATO MERGER CORP II | |||||||
| Security | 52473Y104 | Meeting Type | Annual | ||||
| Ticker Symbol | LGTO | Meeting Date | 14-Feb-2023 | ||||
| ISIN | US52473Y1047 | Agenda | 935764200 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve the Merger Agreement and the transactions contemplated thereby. | Management | For | For | |||
| 2A. | Charter Proposal - increase the number of authorized shares of common stock from 50,000,000 shares to 500,000,000 shares and increase the number of authorized shares of preferred stock from 1,000,000 shares to 50,000,000 shares. | Management | For | For | |||
| 2B. | Charter Proposal - change Legato's name from "Legato Merger Corp. II" to "Southland Holdings, Inc." | Management | For | For | |||
| 2C. | Charter Proposal - remove provisions no longer applicable to the company following the Business Combination. | Management | For | For | |||
| 3. | DIRECTOR | Management | |||||
| 1 Michael Burtnett* | For | For | |||||
| 2 Izilda Martins# | For | For | |||||
| 3 Gregory Monahan++ | For | For | |||||
| 4 Brian Pratt# | For | For | |||||
| 5 Mario Ramirez* | For | For | |||||
| 6 Frankie S. Renda++ | For | For | |||||
| 7 Walter Timothy Winn++ | For | For | |||||
| 4. | The Nasdaq Proposal - to consider and vote upon a proposal, as required by the rules of the Nasdaq Stock Market, to approve the issuance of shares of Common Stock in the Business Combination in an amount greater than 20% of the number of shares of Common Stock outstanding before such issuances. | Management | For | For | |||
| 5. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve the 2022 Long-Term Incentive Equity Plan. | Management | For | For | |||
| 6. | The Adjournment Proposal - to consider and vote upon a proposal to adjourn the annual meeting to a later date or dates if it is determined that additional time is necessary to complete the Business Combination for any reason. | Management | For | For | |||
| 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 | 88,428 | 0 | 10-Feb-2023 | 10-Feb-2023 |
| LF CAPITAL ACQUISITION CORP. II | |||||||
| Security | 50202D102 | Meeting Type | Special | ||||
| Ticker Symbol | LFAC | Meeting Date | 17-Feb-2023 | ||||
| ISIN | US50202D1028 | Agenda | 935763323 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | THE CHARTER AMENDMENT PROPOSAL - APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND TO INCREASE THE MONTHLY EXTENSION PAYMENTS PER ONE-MONTH EXTENSION OF THE DEADLINE TO COMPLETE THE INITIAL BUSINESS COMBINATION (AS DEFINED IN THE CHARTER) TO $0.04 PER SHARE OF THE COMPANY'S CLASS A COMMON STOCK, PAR VALUE $0.0001 PER SHARE. | Management | For | For | |||
| 2. | THE ADJOURNMENT PROPOSAL - APPROVAL 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 IN THE EVENT THAT THERE ARE INSUFFICIENT VOTES FOR, OR OTHERWISE IN CONNECTION WITH, THE APPROVAL OF THE CHARTER AMENDMENT PROPOSAL. | Management | For | For | |||
| 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 | 36,722 | 0 | 14-Feb-2023 | 14-Feb-2023 |
| ALSP ORCHID ACQUISITION CORP. I | |||||||
| Security | G0231L107 | Meeting Type | Special | ||||
| Ticker Symbol | ALOR | Meeting Date | 17-Feb-2023 | ||||
| ISIN | KYG0231L1077 | Agenda | 935764630 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Initial Period Extension Amendment Proposal - To amend the Memorandum and Articles of Association to extend the initial date by which ALSP Orchid must consummate a business combination (the "Charter Initial Period Extension") from February 23, 2023 (the "Initial Period Termination Date") to August 23, 2023 (the "Charter Initial Period Extension Date", and the proposal being the "Initial Period Extension Amendment Proposal"), subject to any additional extensions as provided in our Memorandum and Articles of Association. | Management | For | For | |||
| 2. | Adjournment Proposal - To adjourn the Shareholder 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 Shareholder Meeting, there are insufficient Class A ordinary shares, par value $0.0001 per share ("Class A Ordinary Shares") and Class B ordinary shares, par value $0.0001 per share (the "Class B Ordinary Shares" and, collectively with the Class A Ordinary Shares, the "Ordinary ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 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 | 81,790 | 0 | 14-Feb-2023 | 14-Feb-2023 |
| TLGY ACQUISITION CORP | |||||||
| Security | G8656T117 | Meeting Type | Special | ||||
| Ticker Symbol | TLGYU | Meeting Date | 23-Feb-2023 | ||||
| ISIN | KYG8656T1177 | Agenda | 935762927 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Charter Amendment Proposal: Approve, by way of special resolution, an amendment to Company's Amended and Restated Memorandum and Articles of Association in the form set forth in Annex A of the accompanying Proxy Statement to: cancel the three- month automatic extension period to which the Company was entitled in case it filed a preliminary proxy statement, registration statement (i) 15-month period from the consummation of IPO, (ii) any paid extension period, to consummate a business combination. | Management | For | For | |||
| 2. | Adjournment Proposal: Approve, by way of ordinary resolution, the adjournment of the Extraordinary General 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 the Charter Amendment Proposal, pursuant to the resolution set forth in the Adjournment Proposal in the accompanying Proxy Statement. | Management | For | For | |||
| 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 | 11,778 | 0 | 14-Feb-2023 | 14-Feb-2023 |
| GAMES & ESPORTS EXPERIENCE ACQ CORP. | |||||||
| Security | G3731J101 | Meeting Type | Special | ||||
| Ticker Symbol | GEEXU | Meeting Date | 06-Mar-2023 | ||||
| ISIN | KYG3731J1013 | Agenda | 935768828 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal - Amend the Company's amended and restated articles of association to: (A) extend the date by which the Company has to complete an initial business combination from March 7, 2023 to December 7, 2023, by electing to extend the date to consummate an initial business combination on a monthly basis for up to nine times by an additional one month each time after March 7, 2023 to December 7, 2023, unless the closing of the Company's initial business combination shall ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2. | Adjournment Proposal - Approve the adjournment of the Extraordinary General 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 the Extension Amendment Proposal. | Management | For | For | |||
| 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 | 58,432 | 0 | 01-Mar-2023 | 01-Mar-2023 |
| GLOBALINK INVESTMENT, INC. | |||||||
| Security | 37892F109 | Meeting Type | Special | ||||
| Ticker Symbol | GLLI | Meeting Date | 06-Mar-2023 | ||||
| ISIN | US37892F1093 | Agenda | 935769363 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal - Amend the Company's charter to extend the date by which the Company must (i) consummate a business combination,(ii) cease its operations if it fails to complete such business combination, and (iii) redeem or repurchase 100% of the Company's outstanding public shares of common stock included as part of the units sold in the Company's IPO. | Management | For | For | |||
| 2. | Trust Amendment Proposal - Amend the Company's investment management trust agreement, dated as December 6, 2021 (the "Trust Agreement"), between the Company & Continental Stock Transfer & Trust Company (the "Trustee"), extending time for the Company to complete its initial business combination under the Trust Agreement from 15 months from the consummation of the IPO, or March 9, 2023 (or up to 21 months from the consummation of the IPO if the Company elects to extend the date to consummate a business combination. | Management | For | For | |||
| 3. | Adjournment Proposal - 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 the Extension Amendment Proposal and the Trust Amendment Proposal. This is referred to as the "Adjournment Proposal." | Management | For | For | |||
| 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 | 62,828 | 0 | 01-Mar-2023 | 01-Mar-2023 |
| DIRECT SELLING ACQUISITION CORP. | |||||||
| Security | 25460L103 | Meeting Type | Special | ||||
| Ticker Symbol | DSAQ | Meeting Date | 24-Mar-2023 | ||||
| ISIN | US25460L1035 | Agenda | 935775138 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Amendment Proposal - To amend the Company's amended and restated certificate of incorporation to extend the date (the "Termination Date") by which the Company has to consummate an initial business combination a ("Business Combination") from March 28, 2023 (the "Original Termination Date") to June 28, 2023 (the "Charter Extension Date") and to allow the Company, without another stockholder vote, to elect to extend the Termination Date to consummate a Business Combination ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2. | Adjournment Proposal - To adjourn the Stockholder 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 Stockholder Meeting, there are insufficient shares of Class A common stock, par value $0.0001 per share, and Class B common stock, par value $0.0001 per share in the capital of the Company represented (either in person or by proxy) to constitute a quorum necessary to conduct business ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 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 | 38,368 | 0 | 14-Mar-2023 | 14-Mar-2023 |
| PGIM INVESTMENTS | |||||||
| Security | 69346J106 | Meeting Type | Annual | ||||
| Ticker Symbol | GHY | Meeting Date | 29-Mar-2023 | ||||
| ISIN | US69346J1060 | Agenda | 935765581 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Class II Director: Kevin J. Bannon | Management | Split | Split | |||
| 1.2 | Election of Class II Director: Keith F. Hartstein | Management | Split | Split | |||
| 1.3 | Election of Class II Director: Grace C. Torres | Management | Split | Split | |||
| 2. | Ratify the appointment of PricewaterhouseCoopers LLP as the Fund's independent registered public accountant for the fiscal year ending July 31, 2023. | 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 | 161,075 | 0 | 28-Mar-2023 | 28-Mar-2023 |
| PGIM SHORT DURATION HIGH YIELD OPP | |||||||
| Security | 69355J104 | Meeting Type | Annual | ||||
| Ticker Symbol | SDHY | Meeting Date | 29-Mar-2023 | ||||
| ISIN | US69355J1043 | Agenda | 935765593 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Class II Trustee: Kevin J. Bannon | Management | Split | Split | |||
| 1.2 | Election of Class II Trustee: Keith F. Hartstein | Management | Split | Split | |||
| 1.3 | Election of Class II Trustee: Grace C. Torres | 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 | 103,830 | 0 | 28-Mar-2023 | 28-Mar-2023 |
| EXCELFIN ACQUISITION CORP | |||||||
| Security | 30069X102 | Meeting Type | Special | ||||
| Ticker Symbol | XFIN | Meeting Date | 13-Apr-2023 | ||||
| ISIN | US30069X1028 | Agenda | 935800905 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | THE EXTENSION AMENDMENT PROPOSAL - To amend the Company's amended and restated certificate of incorporation to extend the date by with the company must (1) effectuate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar business combination with one or more businesses, (2) cease its operations except for the purpose of winding up if it fails to complete such initial business combination, and (3) redeem 100% of the Company's Class A common stock, from April 25, 2023 to October 25, 2023. | Management | For | For | |||
| 2. | THE ADJOURNMENT PROPOSAL - To approve the adjournment of the Special Meeting to a later date or dates, if necessary (i) 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 proposals presented to stockholders for vote or, (ii) if stockholders have elected to redeem an amount of shares in connection with the Extension Amendment Proposal, such that the Company would not adhere to the continued listing requirements of The Nasdaq Global Market. | Management | For | For | |||
| 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 | 12,019 | 0 | 04-Apr-2023 | 04-Apr-2023 |
| WESTERN ASSET HIGH INC OPP FD INC. | |||||||
| Security | 95766K109 | Meeting Type | Annual | ||||
| Ticker Symbol | HIO | Meeting Date | 14-Apr-2023 | ||||
| ISIN | US95766K1097 | Agenda | 935780812 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Class I Director to serve until the 2026 Annual Meeting: Robert D. Agdern | Management | Split | Split | |||
| 1.2 | Election of Class I Director to serve until the 2026 Annual Meeting: Carol L. Colman | Management | Split | Split | |||
| 1.3 | Election of Class I Director to serve until the 2026 Annual Meeting: Daniel P. Cronin | Management | Split | Split | |||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending September 30, 2023. | 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 | 1,107,414 | 0 | 13-Apr-2023 | 13-Apr-2023 |
| WESTERN ASSET DIVERSIFIED INCOME FUND | |||||||
| Security | 95790K109 | Meeting Type | Annual | ||||
| Ticker Symbol | WDI | Meeting Date | 14-Apr-2023 | ||||
| ISIN | US95790K1097 | Agenda | 935780886 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Class II Director to serve until the 2026 Annual Meeting: Paolo M. Cucchi | Management | Split | Split | |||
| 1.2 | Election of Class II Director to serve until the 2026 Annual Meeting: 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, 2023. | 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 | 80,571 | 0 | 13-Apr-2023 | 13-Apr-2023 |
| SPORTSMAP TECH ACQUISITION CORP | |||||||
| Security | 84921J108 | Meeting Type | Special | ||||
| Ticker Symbol | SMAP | Meeting Date | 14-Apr-2023 | ||||
| ISIN | US84921J1088 | Agenda | 935796954 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | To approve an amendment the Company's amended and restated certificate of incorporation to extend the date by which the Company must consummate a business combination or, if it fails to do so, cease its operations and redeem or repurchase 100% of the shares of the Company's common stock issued in the Company's initial public offering, from April 20, 2023, monthly for up to eight additional months at the election of the Company, ultimately until as late as December 20, 2023 (the Extension). | Management | For | For | |||
| 2. | To approve an amendment to the Investment Management Trust Agreement, dated October 18, 2021, by and between the Company and Continental Stock Transfer & Company, to authorize the Extension contemplated by Proposal 1 and its implementation by the Company. | Management | For | For | |||
| 3. | To authorize the adjournment of the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes at the time of the Special Meeting or adjournment or postponement thereof to approve of the foregoing proposals. | Management | For | For | |||
| 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 | 18,072 | 0 | 04-Apr-2023 | 04-Apr-2023 |
| SPORTSMAP TECH ACQUISITION CORP | |||||||
| Security | 84921J116 | Meeting Type | Special | ||||
| Ticker Symbol | SMAPW | Meeting Date | 14-Apr-2023 | ||||
| ISIN | US84921J1161 | Agenda | 935796954 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | To approve an amendment the Company's amended and restated certificate of incorporation to extend the date by which the Company must consummate a business combination or, if it fails to do so, cease its operations and redeem or repurchase 100% of the shares of the Company's common stock issued in the Company's initial public offering, from April 20, 2023, monthly for up to eight additional months at the election of the Company, ultimately until as late as December 20, 2023 (the Extension). | Management | For | For | |||
| 2. | To approve an amendment to the Investment Management Trust Agreement, dated October 18, 2021, by and between the Company and Continental Stock Transfer & Company, to authorize the Extension contemplated by Proposal 1 and its implementation by the Company. | Management | For | For | |||
| 3. | To authorize the adjournment of the Special Meeting, if necessary, to solicit additional proxies if there are not sufficient votes at the time of the Special Meeting or adjournment or postponement thereof to approve of the foregoing proposals. | Management | For | For | |||
| 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 | 13,554 | 0 | 04-Apr-2023 | 04-Apr-2023 |
| WORLDWIDE WEBB ACQUISITION CORP. | |||||||
| Security | G97775103 | Meeting Type | Special | ||||
| Ticker Symbol | WWAC | Meeting Date | 14-Apr-2023 | ||||
| ISIN | KYG977751034 | Agenda | 935799087 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal - Approve as a special resolution, to extend the date by which the Company (1) consummate a merger, amalgamation, share exchange, asset acquisition, share purchase, reorganization or similar business combination, (2) cease its operations except for the purpose of winding up if it fails to complete such business combination, and (3) redeem all of the Class A ordinary shares sold in initial public offering from 18 months from the closing of our IPO to 24 months from the closing of our IPO. | Management | For | For | |||
| 2. | Redemption Limitation Amendment Proposal - Approve as a special resolution, the amendment of the Company's Articles to eliminate from the Articles the limitation that the Company shall not redeem Class A ordinary shares sold in the IPO to the extent that such redemption would cause the Company's net tangible assets to be less than $5,000,001. The Redemption Limitation Amendment would allow the Company to redeem Class A ordinary shares irrespective of whether such redemption would exceed the Redemption Limitation. | Management | For | For | |||
| 3. | Adjournment Proposal - Approve as an ordinary resolution, the adjournment of the Extraordinary General Meeting to a later date or dates or indefinitely, if necessary or convenient, 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 foregoing proposals. | Management | For | For | |||
| 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 | 61,760 | 0 | 04-Apr-2023 | 04-Apr-2023 |
| ACCRETION ACQUISITION CORP. | |||||||
| Security | 00438Y107 | Meeting Type | Special | ||||
| Ticker Symbol | ENER | Meeting Date | 14-Apr-2023 | ||||
| ISIN | US00438Y1073 | Agenda | 935800931 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | EXTENSION AMENDMENT PROPOSAL - To amend the Company's amended & restated certificate of incorporation to extend the date (the Termination Date) by which Company has to consummate a Business Combination (as defined below) from April 25, 2023 ("Original Termination Date") to July 25, 2023 ("Charter Extension Date") & to allow Company, without another stockholder vote, to elect to extend Termination Date to consummate a Business Combination on a monthly basis up to 5 times by an additional 1 month each time after Charter Extension Date, by resolution of Company's board. | Management | For | For | |||
| 2. | ADJOURNMENT 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 insufficient shares of common stock, par value $0.001 per share in the capital of the Company represented (either in person or by proxy) to constitute a quorum necessary to conduct business at the Special Meeting or at the time of the Special Meeting to approve the Extension Amendment Proposal. | Management | For | For | |||
| 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 | 42,066 | 0 | 04-Apr-2023 | 04-Apr-2023 |
| BLACK MOUNTAIN ACQUISITION CORP. | |||||||
| Security | 09216A108 | Meeting Type | Special | ||||
| Ticker Symbol | BMAC | Meeting Date | 14-Apr-2023 | ||||
| ISIN | US09216A1088 | Agenda | 935802846 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal - To amend and restate the Company's Amended & Restated Certificate of Incorporation (i) 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, involving the Company one or more businesses or entities (a "Business Combination") from 04/18/2023 (the "Original Termination Date") to 06/18/2023 (the "New Termination Date") (ii) to allow the Company's board of directors without another stockholder vote. | Management | For | For | |||
| 2. | Trust Amendment Proposal - To amend and restate the Investment Management Trust Agreement, dated as of October 13, 2021, by and between the Company and Continental Stock Transfer & Trust Company, as trustee, to reflect the New Termination Date and the Additional Extension Option (the "Trust Amendment Proposal"). A copy of the form of the proposed Amended and Restated Investment Management Trust Agreement is set forth in Annex B to the accompanying proxy statement. | Management | For | For | |||
| 3. | Redemption Limitation Amendment Proposal - To amend and restate the Certificate of Incorporation to eliminate (i) the limitation that the Company shall not redeem its Public Stock to the extent that such redemption would result in the Class A Common Stock, or the securities of any entity that succeeds the Company as a public company, becoming "penny stock" (as defined in accordance with Rule 3a51-1 of the Securities Exchange Act of 1934, as amended), or cause the Company to not meet any greater net tangible asset or cash requirement. | Management | For | For | |||
| 4. | Adjournment Proposal - To adjourn the Stockholder Meeting to a later dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Stockholder Meeting, there are insufficient shares of Class A Common Stock and shares of Class B common stock, par value $0.0001 per share, in the capital of the Company represented (either in person or by proxy) to constitute a quorum necessary to conduct business at the time of the Stockholder Meeting to approve the Extension Amendment Proposal. | Management | For | For | |||
| 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 | 49,448 | 0 | 04-Apr-2023 | 04-Apr-2023 |
| CACTUS ACQUISITION CORP. 1 LTD. | |||||||
| Security | G1745A108 | Meeting Type | Special | ||||
| Ticker Symbol | CCTS | Meeting Date | 20-Apr-2023 | ||||
| ISIN | KYG1745A1085 | Agenda | 935795128 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Articles Extension Proposal: To approve, by way of special resolution, an amendment to the Company's amended & restated memorandum and articles of association in the form set forth in Annex A of accompanying proxy statement, to extend date by which the Company would be permitted to consummate an initial business combination from 05/02/2023 to 11/02/2023, as well as to permit the Board, in its sole discretion, to elect to wind up the Company's operations on an earlier date, pursuant set forth in Proposal No. 1 of the accompanying proxy statement. | Management | For | For | |||
| 2. | Trust Extension Proposal: A proposal to amend the Company's investment management trust agreement, dated as of November 2, 2021, by and between the Company and Continental Stock Transfer & Trust Company, to extend the date by which the Company would be permitted to consummate a business combination from May 2, 2023 to November 2, 2023, or such earlier date as may be determined by the Board, in its sole discretion, pursuant to the resolution set forth in Proposal No. 2 of the accompanying proxy statement. | Management | For | For | |||
| 3. | Conversion Amendment Proposal: A proposal to approve, by way of special resolution, an amendment to Cactus' Articles to provide for the right of a holder of Class B ordinary shares, par value $0.0001 per share to convert such shares into Class A ordinary shares, par value $0.0001 per share on a one-for-one basis prior to the closing of a business combination at the election of the holder, pursuant to the resolution set forth in Proposal No. 3 of the accompanying proxy statement. | Management | For | For | |||
| 4. | Director Election Proposal [HOLDERS OF FOUNDER SHARES ONLY]: To approve, by way of ordinary resolution of the holders of the Class B ordinary shares in the capital of the Company, the reappointment of each of Ofer Gonen, Nachum (Homi) Shamir, Hadar Ron, M.D., David J. Shulkin, M.D., and David Sidransky, M.D. until the second succeeding annual general meeting of the Company to be held in 2025 or until their successors are appointed and qualified pursuant to the resolution set forth in Proposal No. 4 of the accompanying proxy statement. | Management | For | For | |||
| 5. | Adjournment Proposal: A proposal to approve, by way of ordinary resolution, the adjournment of the 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 Proposal No. 1, Proposal No. 2, Proposal No. 3 or Proposal No. 4, pursuant to the resolution set forth in Proposal No. 5 of the accompanying proxy statement. | Management | For | For | |||
| 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 | 59,686 | 0 | 12-Apr-2023 | 12-Apr-2023 |
| ENTERPRISE 4.0 TECHNOLOGY ACQUISITION | |||||||
| Security | G3137C106 | Meeting Type | Special | ||||
| Ticker Symbol | ENTF | Meeting Date | 20-Apr-2023 | ||||
| ISIN | KYG3137C1069 | Agenda | 935825034 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1) | The Extension Amendment Proposal - RESOLVED, as a special resolution, that the Amended and Restated Memorandum of Association and Articles of Association be amended in the form attached to the proxy statement as Annex A, with immediate effect, in order to extend the date by which the Company has to consummate a Business Combination from April 21, 2023 to October 21, 2023 (or such earlier date as determined by the Board of Directors). | Management | For | For | |||
| 2) | The Founder Share Amendment Proposal - RESOLVED, as a special resolution, that the Amended and Restated Memorandum of Association and Articles of Association be amended in the form attached to the proxy statement as Annex A, with immediate effect, in order to provide for the right of a holder of Class B Ordinary Shares to convert into Class A Ordinary Shares on a one-for-one basis at any time prior to the closing of a Business Combination at the option of a holder of the Class B Ordinary Shares. | Management | For | For | |||
| 3) | The Auditor Ratification Proposal - RESOLVED, as an ordinary resolution, that the appointment of WithumSmith+Brown, PC as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2023 be ratified, approved and confirmed in all respects. | Management | For | For | |||
| 4) | The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the extraordinary general meeting in lieu of an annual general meeting to a later date or dates to be determined by the chairman of the extraordinary general meeting in lieu of an annual general meeting, or indefinitely, if necessary or convenient, to permit further solicitation and vote of proxies be confirmed, ratified and approved in all respects. | Management | For | For | |||
| 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 | 12,048 | 0 | 12-Apr-2023 | 12-Apr-2023 |
| PYROPHYTE ACQUISITION CORP. | |||||||
| Security | G7308P101 | Meeting Type | Special | ||||
| Ticker Symbol | PHYT | Meeting Date | 24-Apr-2023 | ||||
| ISIN | KYG7308P1019 | Agenda | 935830681 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Proposal: as a special resolution, to amend the Company's Amended and Restated Memorandum and Articles of Association (the "Charter") pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to extend the date by which the Company must consummate a merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination (an "initial business combination") from April 29, 2023 (the "Current Outside Date") to April 29, 2024 (the "Extended Date"). | Management | For | For | |||
| 2. | The Liquidation Amendment Proposal - as a special resolution, to amend (the "Liquidation Amendment") the Charter pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to permit the Company's board of directors (the "Board"), in its sole discretion, to elect to wind up the Company's operations on an earlier date than the Extended Date as determined by the Board and included in a public announcement (the "Liquidation Amendment Proposal"). | Management | For | For | |||
| 3. | The Redemption Limitation Amendment Proposal - as a special resolution, to amend (the "Redemption Limitation Amendment") the Charter pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to eliminate from the Charter the limitation that the Company may not redeem public shares in an amount that would cause the Company's net tangible assets to be less than $5,000,001 in connection with the Company's initial business combination (the "Redemption Limitation Amendment Proposal"). | Management | For | For | |||
| 4. | The Founder Share Amendment Proposal - as a special resolution, to amend (the "Founder Share Amendment") the Charter pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to amend the Charter to provide for the right of a holder of the Company's Class B ordinary shares, par value $0.0001 per share (the "Class B Ordinary Shares" and, together with the Class A Ordinary Shares, the "Ordinary Shares"), to convert into Class A ordinary shares, par value $0.0001 per share, of the Company. | Management | For | For | |||
| 5. | The Adjournment Proposal - as an ordinary resolution, to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary or convenient, to (i) 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 Proposal, the Liquidation Amendment Proposal, the Redemption Limitation Amendment Proposal or the Founder Share Amendment Proposal, or if we otherwise determine that additional time is necessary to effectuate the Extension. | Management | For | For | |||
| 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 | 5,940 | 0 | 17-Apr-2023 | 17-Apr-2023 |
| PYROPHYTE ACQUISITION CORP. | |||||||
| Security | G7308P119 | Meeting Type | Special | ||||
| Ticker Symbol | PHYTU | Meeting Date | 24-Apr-2023 | ||||
| ISIN | KYG7308P1191 | Agenda | 935830681 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Proposal: as a special resolution, to amend the Company's Amended and Restated Memorandum and Articles of Association (the "Charter") pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to extend the date by which the Company must consummate a merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination (an "initial business combination") from April 29, 2023 (the "Current Outside Date") to April 29, 2024 (the "Extended Date"). | Management | For | For | |||
| 2. | The Liquidation Amendment Proposal - as a special resolution, to amend (the "Liquidation Amendment") the Charter pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to permit the Company's board of directors (the "Board"), in its sole discretion, to elect to wind up the Company's operations on an earlier date than the Extended Date as determined by the Board and included in a public announcement (the "Liquidation Amendment Proposal"). | Management | For | For | |||
| 3. | The Redemption Limitation Amendment Proposal - as a special resolution, to amend (the "Redemption Limitation Amendment") the Charter pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to eliminate from the Charter the limitation that the Company may not redeem public shares in an amount that would cause the Company's net tangible assets to be less than $5,000,001 in connection with the Company's initial business combination (the "Redemption Limitation Amendment Proposal"). | Management | For | For | |||
| 4. | The Founder Share Amendment Proposal - as a special resolution, to amend (the "Founder Share Amendment") the Charter pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to amend the Charter to provide for the right of a holder of the Company's Class B ordinary shares, par value $0.0001 per share (the "Class B Ordinary Shares" and, together with the Class A Ordinary Shares, the "Ordinary Shares"), to convert into Class A ordinary shares, par value $0.0001 per share, of the Company. | Management | For | For | |||
| 5. | The Adjournment Proposal - as an ordinary resolution, to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary or convenient, to (i) 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 Proposal, the Liquidation Amendment Proposal, the Redemption Limitation Amendment Proposal or the Founder Share Amendment Proposal, or if we otherwise determine that additional time is necessary to effectuate the Extension. | Management | For | For | |||
| 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 | 0 | 17-Apr-2023 | 17-Apr-2023 |
| PIMCO ACCESS INCOME FUND | |||||||
| Security | 72203T100 | Meeting Type | Annual | ||||
| Ticker Symbol | PAXS | Meeting Date | 26-Apr-2023 | ||||
| ISIN | US72203T1007 | Agenda | 935795851 - Opposition | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Trustee: Kathleen McCartney | Management | Split | Split | |||
| 1.2 | Election of Trustee: Deborah DeCotis | Management | Split | Split | |||
| 1.3 | Election of Trustee: David Fisher | Management | Split | Split | |||
| 1.4 | Election of Trustee: Joseph B. Kittredge, Jr. | 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 | 25,589 | 0 | 25-Apr-2023 | 25-Apr-2023 |
| ALTENERGY ACQUISITION CORP. | |||||||
| Security | 02157M108 | Meeting Type | Special | ||||
| Ticker Symbol | AEAE | Meeting Date | 28-Apr-2023 | ||||
| ISIN | US02157M1080 | Agenda | 935835009 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | A proposal to amend the Amended and Restated Certificate of Incorporation ("Charter") ("Extension Proposal") by which the Company must (1) consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses ("initial business combination") or (2) cease its operations except for the purpose of winding up if it fails to complete such initial business combination, and redeem all of the Class A common stock. | Management | For | For | |||
| 2. | To approve the adjournment of the Special Meeting to a later date or dates if necessary or convenient, 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 Proposal, which will only be presented at the Special Meeting if, based on tabulated votes, are not sufficient votes at the time of the Special Meeting to approve Extension Proposal, in which case the Adjournment Proposal will be the only proposal presented at the Special Meeting. | Management | For | For | |||
| 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 | 29,842 | 0 | 19-Apr-2023 | 19-Apr-2023 |
| LIV CAPITAL ACQUISITION CORP II | |||||||
| Security | G5510R105 | Meeting Type | Special | ||||
| Ticker Symbol | LIVB | Meeting Date | 01-May-2023 | ||||
| ISIN | KYG5510R1056 | Agenda | 935834829 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Proposal - as a special resolution, to amend the Company's Amended and Restated Memorandum and Articles of Association (the "Charter") pursuant to an amendment in the form set forth in Part 1 of Annex A of the accompanying proxy statement. | Management | For | For | |||
| 2. | The Founder Share Amendment Proposal - as a special resolution, to amend the Company's Charter in the form set forth in Part 2 of Annex A of the accompanying proxy statement to provide for the right of a holder of Class B ordinary shares of the Company (the "Founder Shares" or the "Class B Ordinary Shares") to convert such Class B Ordinary Shares into Class A ordinary shares (the "Class A Ordinary Shares") on a one-for-one basis prior to the closing of a business combination at the election of the holder (the "Founder Share Amendment Proposal"). | Management | For | For | |||
| 3. | The Adjournment Proposal - as an ordinary resolution, to approve the adjournment of the Extraordinary General 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 the Extension Proposal ("Adjournment Proposal"), which will only be presented at the Extraordinary General Meeting if, based on the tabulated votes, there are not sufficient votes at the time of Extraordinary General Meeting to approve the Extension Proposal. | Management | For | For | |||
| 4. | The Redemption Limitation Amendment Proposal - as a special resolution, to amend the Company's Charter, as provided by the third resolution in the form set forth in Part 3 of Annex A to the accompanying proxy statement (the "Redemption Limitation Amendment" and such proposal, the "Redemption Limitation Amendment Proposal"). | Management | For | For | |||
| 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 | 62,176 | 0 | 19-Apr-2023 | 19-Apr-2023 |
| JUPITER WELLNESS ACQUISITION CORP. | |||||||
| Security | 48208E108 | Meeting Type | Special | ||||
| Ticker Symbol | JWAC | Meeting Date | 02-May-2023 | ||||
| ISIN | US48208E1082 | Agenda | 935813976 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to approve the Business Combination described in this proxy statement/prospectus, including (a) adopting the Business Combination Agreement, a copy of which is attached to the accompanying proxy statement/prospectus as Annex A, which, among other things, provides for the Share Exchange and the merger of JWAC with and into a wholly-owned subsidiary of the newly formed holding company Pubco, with each of JWAC and Chijet ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2a. | The Charter Amendments Proposal - to consider and vote upon a proposal to approve amended and restated memorandum and articles of association of Pubco (the "Proposed Charter") in accordance with our certificate of incorporation, in the form attached hereto as Annex B: to provide for a single class of Pubco Ordinary Shares and increase the number of authorized Pubco Ordinary Shares to 499,000,000 authorized shares. | Management | For | For | |||
| 2b. | The Charter Amendments Proposal - to consider and vote upon a proposal to approve amended and restated memorandum and articles of association of Pubco (the "Proposed Charter") in accordance with our certificate of incorporation, in the form attached hereto as Annex B: to increase the number of authorized shares of Pubco "blank check" preferred stock to 1,000,000 authorized shares. | Management | For | For | |||
| 2c. | The Charter Amendments Proposal - to consider and vote upon a proposal to approve amended and restated memorandum and articles of association of Pubco (the "Proposed Charter") in accordance with our certificate of incorporation, in the form attached hereto as Annex B: to establish that the board of directors of Pubco following the Closing of the Business Combination (the "Pubco Board") will not be divided into classes (with the number of directors of the Pubco Board being initially fixed at seven ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 3a. | The Advisory Charter Amendments Proposals - to consider and vote upon, on a nonbinding advisory basis, certain governance provisions in the Proposed Charter, presented separately in accordance with U.S. Securities and Exchange Commission ("SEC") requirements: to provide for a single class of Pubco Ordinary Shares and increase the number of authorized Pubco Ordinary Shares to 499,000,000 authorized shares. | Management | For | For | |||
| 3b. | The Advisory Charter Amendments Proposals - to consider and vote upon, on a nonbinding advisory basis, certain governance provisions in the Proposed Charter, presented separately in accordance with U.S. Securities and Exchange Commission ("SEC") requirements: to increase the number of authorized shares of Pubco "blank check" preferred stock to 1,000,000 authorized shares. | Management | For | For | |||
| 3c. | The Advisory Charter Amendments Proposals - to consider and vote upon, on a nonbinding advisory basis, certain governance provisions in the Proposed Charter, presented separately in accordance with U.S. Securities and Exchange Commission ("SEC") requirements: to establish that the board of directors of Pubco following the Closing of the Business Combination (the "Pubco Board") will not be divided into classes (with the number of directors of the Pubco Board being initially fixed at seven, as ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 4. | The Nasdaq Stock Issuance Proposal - RESOLVED, that for the purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635, the issuance of Pubco Ordinary Shares pursuant to the Business Combination Agreement, including to Chijet members, be approved, and that for purposes of complying with the applicable provisions of Nasdaq Listing Rule 3635, the potential issuance of the Earnout Shares pursuant to the terms and conditions of the Business Combination Agreement, be approved. | Management | For | For | |||
| 5. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve the Chijet Motors 2023 Stock Incentive Plan (the "Incentive Plan), effective upon the consummation of the Business Combination, including the authorization of the shares reserve under the Incentive Plan, in substantially the form attached to the accompanying proxy statement/prospectus as Annex C. | Management | For | For | |||
| 6. | The Adjournment Proposal - RESOLVED, that the adjournment of the meeting to a later date or dates, if necessary, be determined by the chairman of the meeting to permit further solicitation and vote of proxies if it is determined by the Board that more time is necessary or appropriate to approve one or more Proposals at the meeting be adopted and approved in all respects. | Management | For | For | |||
| 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 | 44,245 | 0 | 12-Apr-2023 | 12-Apr-2023 |
| BARINGS BDC, INC. | |||||||
| Security | 06759L103 | Meeting Type | Annual | ||||
| Ticker Symbol | BBDC | Meeting Date | 04-May-2023 | ||||
| ISIN | US06759L1035 | Agenda | 935787183 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class II Director who will serve until 2026 Annual Meeting: Steve Byers | Management | Split | Split | |||
| 1b. | Election of Class II Director who will serve until 2026 Annual Meeting: Valerie Lancaster-Beal | Management | Split | Split | |||
| 1c. | Election of Class II Director who will serve until 2026 Annual Meeting: John A. Switzer | Management | Split | Split | |||
| 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 30% of its then outstanding common stock immediately prior to each such offering). | 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 | 114,259 | 0 | 03-May-2023 | 03-May-2023 |
| TG VENTURE ACQUISITION CORP. | |||||||
| Security | 87251T109 | Meeting Type | Special | ||||
| Ticker Symbol | TGVC | Meeting Date | 04-May-2023 | ||||
| ISIN | US87251T1097 | Agenda | 935829044 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Charter Amendment Proposal - a proposal to amend our Amended and Restated Certificate of Incorporation to extend the time period we have to consummate a business combination for an additional six months, from May 5, 2023 to November 5, 2023. | Management | For | For | |||
| 2. | The Trust Amendment Proposal - a proposal to amend the Investment Management Trust Agreement, dated November 2, 2021, by and between Continental Stock Transfer & Trust Company and the Company, to extend the business combination period for an additional six months, from May 5, 2023 to November 5, 2023. | Management | For | For | |||
| 3. | The Adjournment Proposal - a 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 one or more proposals presented to stockholders for vote. | Management | For | For | |||
| 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 | 32,164 | 0 | 17-Apr-2023 | 17-Apr-2023 |
| FINNOVATE ACQUISITION CORP. | |||||||
| Security | G3R34K103 | Meeting Type | Special | ||||
| Ticker Symbol | FNVT | Meeting Date | 08-May-2023 | ||||
| ISIN | KYG3R34K1037 | Agenda | 935860115 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | To approve, by way of special resolution, an amendment to the Company's amended and restated memorandum and articles of association in the form set forth in Annex A of the accompanying proxy statement, to extend the date by which the Company would be permitted to consummate an initial business combination from May 8, 2023 to May 8, 2024, as well as to permit the Board, in its sole discretion, to elect to wind up the Company's operations on an earlier date, pursuant to the resolution set forth in Proposal No. 1 of the accompanying proxy statement. | Management | For | For | |||
| 2. | To approve, by way of special resolution, an amendment to the Company's amended and restated memorandum and articles of association in the form set forth in Annex B of the accompanying proxy statement to provide for the right of a holder of Class B ordinary shares, par value $0.0001 per share to convert such shares into Class A ordinary shares, par value $0.0001 per share on a one- for-one basis prior to closing of a business combination at election of the holder pursuant to the resolution set forth in Proposal No. 2 of accompanying proxy statement. | Management | For | For | |||
| 3. | Adjournment Proposal - A proposal to approve, by way of ordinary resolution, the adjournment of the 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 Proposal No. 1 or Proposal No. 2, pursuant to the resolution set forth in Proposal No. 3 of the accompanying proxy statement. | Management | For | For | |||
| 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 | 40,085 | 0 | 04-May-2023 | 04-May-2023 |
| NABORS ENERGY TRANSITION CORP. | |||||||
| Security | 629567108 | Meeting Type | Special | ||||
| Ticker Symbol | NETC | Meeting Date | 11-May-2023 | ||||
| ISIN | US6295671084 | Agenda | 935846949 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | Extension Amendment Proposal - To amend and restate the Company's Amended and Restated Certificate of Incorporation (the "Certificate of Incorporation") to allow the Company's board of directors, without another stockholder vote, to elect 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, involving the Company and one or more businesses or entities (an "initial ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2. | Trust Amendment Proposal - To amend and restate the Investment Management Trust Agreement, dated as of November 16, 2021, by and between the Company and Continental Stock Transfer & Trust Company, as trustee, to reflect the Monthly Extension Option (the "Trust Amendment Proposal"). A copy of the form of the proposed Amended and Restated Investment Management Trust Agreement is set forth in Annex B to the accompanying proxy statement. | Management | For | For | |||
| 3. | Redemption Limitation Amendment Proposal - To amend and restate the Certificate of Incorporation to eliminate (i) the limitation that the Company shall not redeem its Public Stock to the extent that such redemption would result in the Class A Common Stock, or the securities of any entity that succeeds the Company as a public company, becoming "penny stock" (as defined in accordance with Rule 3a51-1 of the Securities Exchange Act of 1934, as amended), or cause the Company to not meet any greater net ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 4. | Adjournment Proposal - To adjourn the Stockholder 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 Stockholder Meeting, there are insufficient shares of Class A Common Stock, shares of Class B common stock, par value $0.0001 per share, and shares of Class F common stock, par value $0.0001 per share, in the capital of the Company represented (either virtually or by proxy) to constitute ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 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 | 58,756 | 0 | 04-May-2023 | 04-May-2023 |
| ARISZ ACQUISITION CORP. | |||||||
| Security | 040450108 | Meeting Type | Special | ||||
| Ticker Symbol | ARIZ | Meeting Date | 11-May-2023 | ||||
| ISIN | US0404501084 | Agenda | 935849034 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | CHARTER AMENDMENT-APPROVAL OF AN AMENDMENT TO CERTIFICATE OF INCORPORATION TO: (A) EXTEND THE DATE BY WHICH ARISZ MUST CONSUMMATE A BUSINESS COMBINATION FROM 05/22/23 TO 02/22/24, OR SUCH EARLIER DATE AS DETERMINED BY THE BOARD OF DIRECTORS, PROVIDED THAT ARISZ DEPOSITS INTO THE TRUST ACCOUNT $120,000 FOR EACH MONTH EXTENDED, AND (B) CHANGE SECTION 6(D) OF THE CHARTER TO STATE THAT ARISZ WILL NOT CONSUMMATE ANY BUSINESS COMBINATION UNLESS IT (I) HAS NET TANGIBLE ASSETS OF AT LEAST $5,000,001, OR (II) IS OTHERWISE EXEMPT FROM RULE 419 UNDER THE 1933 ACT. | Management | For | For | |||
| 2. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S INVESTMENT MANAGEMENT TRUST AGREEMENT, DATED AS OF NOVEMBER 17, 2021 (THE "TRUST AGREEMENT"), BY AND BETWEEN THE COMPANY AND CONTINENTAL STOCK TRANSFER & TRUST COMPANY TO PROVIDE THAT THE TIME FOR THE COMPANY TO COMPLETE ITS INITIAL BUSINESS COMBINATION (THE "BUSINESS COMBINATION PERIOD") UNDER THE TRUST AGREEMENT SHALL BE EXTENDED FROM 05/22/2023 TO 02/22/2024 & TO THE EXTENT THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION IS AMENDED TO EXTEND THE BUSINESS COMBINATION. | Management | For | For | |||
| 3. | ADJOURNMENT - APPROVAL 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 PROPOSAL 1 AND PROPOSAL 2. | Management | For | For | |||
| 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 | 36,781 | 0 | 01-May-2023 | 01-May-2023 |
| LAMF GLOBAL VENTURES CORP I | |||||||
| Security | G5338L108 | Meeting Type | Special | ||||
| Ticker Symbol | LGVC | Meeting Date | 11-May-2023 | ||||
| ISIN | KYG5338L1086 | Agenda | 935855948 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1) | The Extension Proposal - as a special resolution, to amend the Company's Amended and Restated Memorandum and Articles of Association (the "Charter") pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to extend the date by which the Company must consummate a merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination (a "business combination") from May 16, 2023 (the "Current Outside ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2) | The Redemption Limitation Amendment Proposal - as a special resolution, to amend the Charter pursuant to an amendment to the Charter in the form set forth in Annex B of the accompanying proxy statement to eliminate (i) the limitation that the Company may not redeem public shares in an amount that would cause the Company's net tangible assets to be less than $5,000,001 and (ii) the limitation that the Company shall not consummate a business combination unless the Company has net tangible assets ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 3) | The Founder Share Amendment Proposal - as a special resolution, to amend the Charter pursuant to an amendment to the Charter in the form set forth in Annex C of the accompanying proxy statement to provide for the right of a holder of the Company's Class B ordinary shares, par value $0.0001 per share (the "Class B Ordinary Shares"), to convert into Class A ordinary shares, par value $0.0001 per share, of the Company (the "Class A Ordinary Shares" or "public shares") on a one-for-one basis ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 4) | The Adjournment Proposal - as an ordinary resolution, to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary or convenient, (i) 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 Proposal, the Redemption Limitation Amendment Proposal or the Founder Share Amendment Proposal, or if we otherwise determine that additional time is necessary ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 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 | 51,780 | 0 | 09-May-2023 | 09-May-2023 |
| MOUNTAIN CREST ACQUISITION CORP. V | |||||||
| Security | 62404B107 | Meeting Type | Special | ||||
| Ticker Symbol | MCAG | Meeting Date | 12-May-2023 | ||||
| ISIN | US62404B1070 | Agenda | 935858134 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | SECOND EXTENSION AMENDMENT - APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION, AS AMENDED, TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION FROM MAY 16, 2023 TO FEBRUARY 16, 2024. | Management | For | For | |||
| 2. | ADJOURNMENT - APPROVAL 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 PROPOSAL 1. | Management | For | For | |||
| 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 | 63,000 | 0 | 04-May-2023 | 04-May-2023 |
| CRESCERA CAPITAL ACQUISITION CORP | |||||||
| Security | G26507106 | Meeting Type | Special | ||||
| Ticker Symbol | CREC | Meeting Date | 16-May-2023 | ||||
| ISIN | KYG265071061 | Agenda | 935853639 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Amendment Proposal -To amend, by way of special resolution, CCAP's Articles to extend the date (the "Termination Date") by which CCAP has to consummate a Business Combination (the "Extension Amendment") from May 23, 2023 (the date which is 18 months from the closing date of the Company's initial public offering of shares of Class A shares (the "IPO") (the "Original Termination Date") to November 23, 2023 (the date which is 24 months from the closing date of the Company's IPO) (the "Articles Extension Date"). | Management | For | For | |||
| 2. | The Redemption Limitation Amendment Proposal - To amend, by way of special resolution, the Company's Articles, as provided by the second resolution in the form set forth in Annex A to the accompanying proxy statement (the "Redemption Limitation Amendment" and such proposal, the "Redemption Limitation Amendment Proposal") to eliminate from the Articles the limitation that the Company shall not redeem Class A Ordinary Shares included as part of the units sold in the IPO (including any shares issued in exchange thereof. | Management | For | For | |||
| 3. | The Founder Conversion Amendment Proposal - To amend, by way of special resolution, the Company's Articles, as provided by the third resolution in the form set forth in Annex A to the accompanying proxy statement (the "Founder Conversion Amendment" and such proposal, the "Founder Conversion Amendment Proposal") to provide that the Class B Ordinary Shares may be converted either at the time of the consummation of the Company's initial Business Combination or at any earlier date at the option of the holders of the Class B Ordinary Shares. | Management | For | For | |||
| 4. | The Adjournment Proposal - To adjourn, by way of ordinary resolution, the Shareholder Meeting to a later date or dates, if necessary, (i) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Shareholder Meeting, (ii) if the holders of Public Shares (as defined below) have elected to redeem an amount of shares in connection with the Extension Amendment such that CCAP would not adhere to the continued listing requirements of the Nasdaq Stock Market LLC ("Nasdaq"). | Management | For | For | |||
| 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 | 22,012 | 0 | 04-May-2023 | 04-May-2023 |
| ROTH CH ACQUISITION V CO. | |||||||
| Security | 77867R100 | Meeting Type | Special | ||||
| Ticker Symbol | ROCL | Meeting Date | 17-May-2023 | ||||
| ISIN | US77867R1005 | Agenda | 935862866 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | EXTENSION AMENDMENT - APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO ALLOW THE COMPANY TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION UP TO SIX (6) TIMES, EACH SUCH EXTENSION FOR AN ADDITIONAL ONE (1) MONTH PERIOD, FROM JUNE 3, 2023 TO DECEMBER 4, 2023. | Management | For | For | |||
| 2. | ADJOURNMENT - APPROVAL TO DIRECT THE CHAIRPERSON 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 | |||
| 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 | 58,888 | 0 | 09-May-2023 | 09-May-2023 |
| PROOF ACQUISITION CORP I | |||||||
| Security | 74349W203 | Meeting Type | Special | ||||
| Ticker Symbol | PACIU | Meeting Date | 19-May-2023 | ||||
| ISIN | US74349W2035 | Agenda | 935849022 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1) | The Extension Amendment Proposal - A proposal (the "Extension Amendment Proposal") to amend the Company's Amended and Restated Certificate of Incorporation (the "Certificate of Incorporation"), as set forth in Annex A of the accompanying Proxy Statement, to change the timing of and payment required to extend the date by which the Company must consummate an initial Business Combination. | Management | For | For | |||
| 2) | The Trust Agreement Amendment Proposal - A proposal (the "Trust Agreement Amendment Proposal") to approve the amendment to the Company's Investment Management Trust Agreement, dated as of November 30, 2021, by and between the Company and Continental Stock Transfer & Trust Company, as set forth in Annex B of the accompanying Proxy Statement to allow for the Extension Amendment. | Management | For | For | |||
| 3) | The Adjournment Proposal - To adjourn the Special Meeting to a later date or dates, if necessary, either (x) to permit further solicitation and vote of proxies if, based on the tabulated vote at the time of the Special Meeting: (i) there are insufficient shares of Class A common stock and Class B common stock represented to constitute a quorum or (ii) there are insufficient votes to approve the Extension Amendment Proposal and the Trust Agreement Amendment Proposal or (y) if the board determines before the Special Meeting that it is not necessary. | Management | For | For | |||
| 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 | 64,779 | 0 | 09-May-2023 | 09-May-2023 |
| ROC ENERGY ACQUISITION CORP. | |||||||
| Security | 77118V108 | Meeting Type | Special | ||||
| Ticker Symbol | ROC | Meeting Date | 01-Jun-2023 | ||||
| ISIN | US77118V1089 | Agenda | 935871663 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal - to consider and vote upon a proposal to (a) approve and adopt the Agreement and Plan of Merger, dated as of February 13, 2023 (the "Business Combination Agreement"), among ROC, ROC Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of ROC ("Merger Sub"), and Drilling Tools International Holdings, Inc., a Delaware corporation ("DTI"), pursuant to which Merger Sub will merge with and into DTI, with DTI surviving merger as a wholly owned subsidiary of ROC & b) approve such merger & other transactions. | Management | For | For | |||
| 2. | The Nasdaq Proposal - to consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the Nasdaq Global Market, (a) the issuance of up to 23,253,533 shares of common stock, par value $0.0001 per share, of ROC (the "Common Stock") pursuant to the Business Combination Agreement and (b) the issuance and sale of up to 7,042,254 shares of Common Stock in a private offering of securities to certain investors. | Management | For | For | |||
| 3. | The Charter Proposal - to consider and vote upon a proposal to approve the proposed amended and restated certificate of incorporation of ROC (the "Proposed Charter"), which will replace ROC's Amended and Restated Certificate of Incorporation, dated December 1, 2021, and will be in effect upon the closing (the "Closing") of the Business Combination. A copy of the Proposed Charter is attached to the accompanying proxy statement/prospectus/consent solicitation statement as Annex B. | Management | For | For | |||
| 4. | The Incentive Plan Proposal - to consider and vote upon a proposal to approve the 2023 Omnibus Incentive Plan (the "2023 Plan"), a copy of which is attached to the accompanying proxy statement/prospectus/consent solicitation statement as Annex C, including the authorization of the initial share reserve under the 2023 Plan. The Incentive Plan Proposal is conditioned on the approval of the Business Combination Proposal, the Nasdaq Proposal and the Charter Proposal. | Management | For | For | |||
| 5. | The Director Election Proposal - to consider and vote upon a proposal to elect C. Richard Vermillion, Thomas O. Hicks, Wayne Prejean, Eric Neuman, Curt Crofford, Jack Furst and Daniel J. Kimes to serve as directors to serve staggered terms on the board, effective upon the Closing until the 2024, 2025 and 2026 annual meetings, as applicable, or, in each case, until their respective successors are duly elected and qualified. The Director Election Proposal is conditioned on the approval of the Business Combination Proposal. | Management | For | For | |||
| 6. | The Adjournment Proposal - to consider and vote upon a 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 Nasdaq Proposal, the Charter Proposal, the Incentive Plan Proposal, or the Director Election Proposal. The Adjournment Proposal is not conditioned on the approval of any other proposal. | Management | For | For | |||
| 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 | 87,648 | 0 | 26-May-2023 | 26-May-2023 |
| ROC ENERGY ACQUISITION CORP. | |||||||
| Security | 77118V108 | Meeting Type | Special | ||||
| Ticker Symbol | ROC | Meeting Date | 01-Jun-2023 | ||||
| ISIN | US77118V1089 | Agenda | 935876663 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Charter Amendment Proposal - a proposal to amend the Company's amended and restated certificate of incorporation (the "Existing Charter") in the form set forth in Annex A to the accompanying Proxy Statement (the "Amended Charter"). We refer to this amendment throughout the Proxy Statement as the "Charter Amendment" and such proposal as the "Charter Amendment Proposal." The Charter Amendment proposes to extend the date by which the Company must consummate a business combination ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 2. | Trust Amendment Proposal - a proposal to amend the Investment Management Trust Agreement, dated December 1, 2021, between us and Continental Stock Transfer & Trust Company ("Continental" and such agreement the "Trust Agreement") pursuant to an amendment in the form set forth in Annex B (the "Trust Amendment") of the accompanying proxy statement, to change the initial date on which Continental must commence liquidation of the Trust Account to the Extended Date or such later date as may ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 3. | The Adjournment Proposal - 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 the Charter Amendment Proposal and the Trust Amendment Proposal, which we refer to as the "Adjournment Proposal." The Adjournment Proposal will only be presented at the Special Meeting if there are not sufficient ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||
| 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 | 87,648 | 0 | 26-May-2023 | 26-May-2023 |
| BIOPLUS ACQUISITION CORP. | |||||||
| Security | G11217109 | Meeting Type | Special | ||||
| Ticker Symbol | BIOSU | Meeting Date | 02-Jun-2023 | ||||
| ISIN | KYG112171098 | Agenda | 935871675 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1) | The Extension Amendment Proposal - RESOLVED, as a special resolution, that the Amended and Restated Memorandum of Association and Articles of Association be amended in the form attached to the proxy statement as Annex A, with immediate effect, in order to extend the date by which the Company has to consummate a Business Combination from June 7, 2023 to December 7, 2023 (or such earlier date as determined by the Board). | Management | For | For | |||
| 2) | The Founder Share Amendment Proposal - RESOLVED, as a special resolution, that the Amended and Restated Memorandum of Association and Articles of Association be amended in the form attached to the proxy statement as Annex A, with immediate effect, in order to provide for the right of a holder of Class B Ordinary Shares to convert into Class A Ordinary Shares on a one-for-one basis at any time prior to the closing of a Business Combination at the option of a holder of the Class B Ordinary Shares. | Management | For | For | |||
| 3) | The Auditor Ratification Proposal - RESOLVED, as an ordinary resolution, that the appointment of WithumSmith+Brown, PC as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2023 be ratified, approved and confirmed in all respects. | Management | For | For | |||
| 4) | The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the extraordinary general meeting in lieu of an annual general meeting to a later date or dates to be determined by the chairman of the extraordinary general meeting in lieu of an annual general meeting, or indefinitely, if necessary or convenient, to permit further solicitation and vote of proxies be confirmed, ratified and approved in all respects. | Management | For | For | |||
| 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 | 29,282 | 0 | 30-May-2023 | 30-May-2023 |
| AVALON ACQUISITION INC. | |||||||
| Security | 05338E101 | Meeting Type | Special | ||||
| Ticker Symbol | AVAC | Meeting Date | 06-Jun-2023 | ||||
| ISIN | US05338E1010 | Agenda | 935873148 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of September 21, 2022, as amended (the "Business Combination Agreement"), by and among Avalon Acquisition Inc ("Avalon"), The Beneficient Company Group, L.P., a Delaware limited partnership ("BCG," and as converted into a Nevada corporation, "Beneficient"), Beneficient Merger Sub I, Inc., a Delaware corporation and subsidiary of BCG ...(due to space limits, see proxy statement for full proposal). | Management | For | For | |||
| 2. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the special meeting of Avalon (the "Avalon Special Meeting") to a later date or time, if necessary, to permit further solicitation of proxies if, based upon the tabulated vote at the time of the Avalon Special Meeting, there are not sufficient votes to approve the Business Combination Proposal or holders of Class A common stock of Avalon, par value $0.0001 per share (the "Avalon Class A common stock"), have elected to ...(due to space limits, see proxy statement for full proposal). | Management | For | For | |||
| 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 | 138,896 | 0 | 30-May-2023 | 30-May-2023 |
| BLUE OCEAN ACQUISITION CORP. | |||||||
| Security | G1330L113 | Meeting Type | Special | ||||
| Ticker Symbol | BOCNU | Meeting Date | 06-Jun-2023 | ||||
| ISIN | KYG1330L1133 | Agenda | 935874645 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1. | The Extension Amendment Proposal - Amend the Company's amended and restated memorandum and articles of association to: (a) extend the date by which the Company must (i) consummate an initial business combination; (ii) cease its operations, except for the purpose of winding up, if it fails to complete such initial business combination; and (iii) redeem 100% of the public shares from June 7, 2023 to June 7, 2024, by electing to extend the date to consummate an initial business combination. | Management | For | For | |||
| 2. | The Founder Share Amendment Proposal - Amend the Company's amended and restated memorandum and articles of association to permit for the issuance of Class A ordinary shares to holders of Class B ordinary shares upon the exercise of the right of a holder of the Company's Class B ordinary shares to convert such holder's Class B ordinary shares into Class A ordinary shares on a one-for-one basis at any time and from time to time prior to the closing of an initial business combination at the election of the holder. | Management | For | For | |||
| 3. | The Adjournment Proposal - Approve the adjournment of the extraordinary general 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 the Extension Amendment Proposal or the Founder Share Amendment Proposal or if the Board of Directors of the Company determines before the extraordinary general meeting that it is not necessary or no longer desirable to proceed with the other proposals. | Management | For | For | |||
| 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 | 109,883 | 0 | 30-May-2023 | 30-May-2023 |
| XAI OCTAGON FUNDS | |||||||
| Security | 98400T205 | Meeting Type | Annual | ||||
| Ticker Symbol | XFLTPR | Meeting Date | 08-Jun-2023 | ||||
| ISIN | US98400T2050 | Agenda | 935868325 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1a. | Election of Class III Trustee to serve until the 2026 annual meeting: Scott Craven Jones | 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 | 39,726 | 0 | 07-Jun-2023 | 07-Jun-2023 |
| INTELSAT S.A. | |||||||
| Security | L5217E120 | Meeting Type | Annual | ||||
| Ticker Symbol | Meeting Date | 21-Jun-2023 | |||||
| ISIN | LU2445093128 | Agenda | 935878491 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 2. | Approval of the statutory stand-alone financial statements | Management | Split | Split | |||
| 3. | Approval of the consolidated financial statements | Management | Split | Split | |||
| 4. | Approval of discharge (quitus) to directors for proper performance of their duties | Management | Split | Split | |||
| 5. | Approval of carry forward of net results | Management | Split | Split | |||
| 6. | Confirmation of David Wajsgras (co-opted) as director | Management | Split | Split | |||
| 7. | Confirmation of David Mack (co-opted) as director | Management | Split | Split | |||
| 8a. | Re-election of Director: Roy Chestnutt | Management | Split | Split | |||
| 8b. | Re-election of Director: Lisa Hammitt | Management | Split | Split | |||
| 8c. | Re-election of Director: David Mack | Management | Split | Split | |||
| 8d. | Re-election of Director: Marc Montagner | Management | Split | Split | |||
| 8e. | Re-election of Director: Easwaran Sundaram | Management | Split | Split | |||
| 8f. | Re-election of Director: David Wajsgras | Management | Split | Split | |||
| 8g. | Re-election of Director: Jinhy Yoon | Management | Split | Split | |||
| 9. | Ratification of directors' remuneration for 2022 | Management | Split | Split | |||
| 10. | Approval of directors' remuneration for 2023 | Management | Split | Split | |||
| 11. | Approval of re-appointment of KPMG Audit S.à r.l. as approved statutory auditor | Management | Split | Split | |||
| 12. | Approval of share repurchases and treasury share holdings, pursuant to and in line with Article 9 of the articles of association of the Company (relating to communication laws) | Management | Split | Split | |||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed |
| 997RV2L | RN DOUBLELINE STRAT OPP FD INC | 997RV2L | STATE STREET BANK & TRUST CO | 4,203 | 0 | 16-Jun-2023 | 16-Jun-2023 |
| PIMCO DYNAMIC INCOME FUND | |||||||
| Security | 72201Y101 | Meeting Type | Annual | ||||
| Ticker Symbol | PDI | Meeting Date | 29-Jun-2023 | ||||
| ISIN | US72201Y1010 | Agenda | 935880395 - Management | ||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||
| 1.1 | Election of Trustee: Kathleen A. McCartney | Management | Split | Split | |||
| 1.2 | Election of Trustee: E. Grace Vandecruze | Management | Split | Split | |||
| 1.3 | Election of Trustee: Joseph B. Kittredge, Jr. | Management | Split | Split | |||
| 1.4 | Election of Trustee: David Fisher | 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 | 128,696 | 0 | 28-Jun-2023 | 28-Jun-2023 |
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 18, 2023 | ||