c/o UMB Fund Services, Inc.
235 W. Galena Street
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 (ss.ss. 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 30b1-4 thereunder (17 CFR 270.30b1-4). 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, 100 F Street, NE, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
ITEM 1. PROXY VOTING RECORD
| | TICKER | CUSIP | SHARE-HOLDER | | DID FUND | WHAT VOTE | FOR OR AGAINST |
| NAME OF ISSUER | SYMBOL | NUMBER | MEETING DATE | MATTER VOTED ON | VOTE | WAS CAST | MANAGEMENT |
| Electronics For Imaging, Inc. | EFII | 286082102 | 7/15/2019 | Approve Merger Agreement | Yes | For | For |
| Electronics For Imaging, Inc. | EFII | 286082102 | 7/15/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Electronics For Imaging, Inc. | EFII | 286082102 | 7/15/2019 | Adjourn Meeting | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Approve Merger Agreement | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Adjourn Meeting | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Glenda Dorchak | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Irwin Federman | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Amal M. Johnson | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Jack R. Lazar | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Jon A. Olson | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Umesh Padval | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director David Perlmutter | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Steve Sanghi | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Eyal Waldman | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Gregory L. Waters | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Amend Omnibus Stock Plan | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Approve Certain Changes to the Annual Retainer Fees and Equity Awards to Non-Employee Directors | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | If You Do Not Have a Personal Interest in Item 5b Please Select "FOR". If You Do Have a Personal Interest in Item 5b Please Select "AGAINST" | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Approve the Mellanox Technologies, Ltd. Compensation Philosophy | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Approve Kost Forer Gabbay & Kasierer as Auditors and Authorize Board to Fix Their Remuneration | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Approve Merger Agreement | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Adjourn Meeting | Yes | For | For |
| Andeavor Logistics LP | ANDX | FDSE332C9 | 7/29/2019 | Approve Merger Agreement | Yes | For | For |
| Andeavor Logistics LP | ANDX | FDSE332C9 | 7/29/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Buckeye Partners, L.P. | BPL | 118230101 | 7/31/2019 | Approve Merger Agreement | Yes | For | For |
| Buckeye Partners, L.P. | BPL | 118230101 | 7/31/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Anadarko Petroleum Corporation | APC | 032511107 | 8/8/2019 | Approve Merger Agreement | Yes | For | For |
| Anadarko Petroleum Corporation | APC | 032511107 | 8/8/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Medidata Solutions, Inc. | MDSO | 58471A105 | 8/16/2019 | Approve Merger Agreement | Yes | For | For |
| Medidata Solutions, Inc. | MDSO | 58471A105 | 8/16/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Medidata Solutions, Inc. | MDSO | 58471A105 | 8/16/2019 | Adjourn Meeting | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Approve Merger Agreement | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Adjourn Meeting | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| PCM, Inc. | PCMI | 69323K100 | 8/26/2019 | Approve Merger Agreement | Yes | For | For |
| PCM, Inc. | PCMI | 69323K100 | 8/26/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| PCM, Inc. | PCMI | 69323K100 | 8/26/2019 | Adjourn Meeting | Yes | For | For |
| Cray Inc. | CRAY | 225223304 | 8/27/2019 | Approve Merger Agreement | Yes | For | For |
| Cray Inc. | CRAY | 225223304 | 8/27/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Cray Inc. | CRAY | 225223304 | 8/27/2019 | Adjourn Meeting | Yes | For | For |
| Shutterfly, Inc. | SFLY | 82568P304 | 8/28/2019 | Approve Merger Agreement | Yes | For | For |
| Shutterfly, Inc. | SFLY | 82568P304 | 8/28/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Shutterfly, Inc. | SFLY | 82568P304 | 8/28/2019 | Adjourn Meeting | Yes | For | For |
| WageWorks, Inc. | WAGE | 930427109 | 8/28/2019 | Approve Merger Agreement | Yes | For | For |
| WageWorks, Inc. | WAGE | 930427109 | 8/28/2019 | Adjourn Meeting | Yes | For | For |
| WageWorks, Inc. | WAGE | 930427109 | 8/28/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Approve Merger Agreement | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Declassify the Board of Directors | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Adjourn Meeting | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Approve Merger Agreement | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Declassify the Board of Directors | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Adjourn Meeting | Yes | For | For |
| Del Frisco's Restaurant Group, Inc. | DFRG | 245077102 | 9/4/2019 | Approve Merger Agreement | Yes | For | For |
| Del Frisco's Restaurant Group, Inc. | DFRG | 245077102 | 9/4/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Del Frisco's Restaurant Group, Inc. | DFRG | 245077102 | 9/4/2019 | Adjourn Meeting | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Elect Director Anand Mehra | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Elect Director Robert J. Perez | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Elect Director Lota Zoth | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Ratify KPMG LLP as Auditors | Yes | For | For |
| EMC Insurance Group Inc. | EMCI | 268664109 | 9/18/2019 | Approve Merger Agreement | Yes | For | For |
| EMC Insurance Group Inc. | EMCI | 268664109 | 9/18/2019 | Adjourn Meeting | Yes | For | For |
| Peak Resorts, Inc. | SKIS | 70469L100 | 9/20/2019 | Approve Merger Agreement | Yes | For | For |
| Peak Resorts, Inc. | SKIS | 70469L100 | 9/20/2019 | Adjourn Meeting | Yes | For | For |
| DryShips Inc. | DRYS | Y2109Q705 | 10/9/2019 | Approve Merger Agreement | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Approve Merger Agreement | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Adjourn Meeting | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Approve Merger Agreement | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Adjourn Meeting | Yes | For | For |
| Presidio, Inc. | PSDO | 74102M103 | 11/6/2019 | Approve Merger Agreement | Yes | For | For |
| Presidio, Inc. | PSDO | 74102M103 | 11/6/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Presidio, Inc. | PSDO | 74102M103 | 11/6/2019 | Adjourn Meeting | Yes | For | For |
| ForeScout Technologies, Inc. | FSCT | 34553D101 | 4/23/2020 | Approve Merger Agreement | Yes | For | For |
| ForeScout Technologies, Inc. | FSCT | 34553D101 | 4/23/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| ForeScout Technologies, Inc. | FSCT | 34553D101 | 4/23/2020 | Adjourn Meeting | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Discuss the Tender Offer by Stryker B.V. on all Outstanding Ordinary Shares of the Company | Yes | | |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Spencer S. Stiles | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director William E. Berry, Jr. | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Dean H. Bergy | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Jeanne M. Blondia | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director David G. Furgason | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Robert J. Palmisano as Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of J. Patrick Mackin as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of John L. Miclot as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Kevin O'Boyle as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Amy S. Paul as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Richard F. Wallman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Elizabeth H. Weatherman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Discharge of Management and Supervisory Boards | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Conditional Sale of Company Assets | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Appoint Stichting Vereffening Wright Medical Group as the Liquidator; Appoint Purchaser as the Custodian of the Books and Records of Wright; and Approve Reimbursement of the Liquidator's Salary and Costs | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Compensation of Dissenting Shareholders | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approval of the Mergers | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Proposal to Resolve on the Demerger of the Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Change the Company Form to a Privately Held Limited Liability Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Association | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Delisting from The Nasdaq Stock Market LLC | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Change Financial Year | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Discuss the Tender Offer by Stryker B.V. on all Outstanding Ordinary Shares of the Company | Yes | | |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Spencer S. Stiles | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director William E. Berry, Jr. | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Dean H. Bergy | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Jeanne M. Blondia | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director David G. Furgason | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Robert J. Palmisano as Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of J. Patrick Mackin as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of John L. Miclot as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Kevin O'Boyle as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Amy S. Paul as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Richard F. Wallman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Elizabeth H. Weatherman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Discharge of Management and Supervisory Boards | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Conditional Sale of Company Assets | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Appoint Stichting Vereffening Wright Medical Group as the Liquidator; Appoint Purchaser as the Custodian of the Books and Records of Wright; and Approve Reimbursement of the Liquidator's Salary and Costs | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Compensation of Dissenting Shareholders | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approval of the Mergers | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Proposal to Resolve on the Demerger of the Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Change the Company Form to a Privately Held Limited Liability Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Association | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Delisting from The Nasdaq Stock Market LLC | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Change Financial Year | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Legg Mason, Inc. | LM | 524901105 | 5/15/2020 | Approve Merger Agreement | Yes | For | For |
| Legg Mason, Inc. | LM | 524901105 | 5/15/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Legg Mason, Inc. | LM | 524901105 | 5/15/2020 | Adjourn Meeting | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Alessandro Bogliolo | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Rose Marie Bravo | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Hafize Gaye Erkan | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Roger N. Farah | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Jane Hertzmark Hudis | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Abby F. Kohnstamm | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director James E. Lillie | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director William A. Shutzer | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Robert S. Singer | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Elect Director Annie Young-Scrivner | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 6/1/2020 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Elect Director David J. Henshall | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Elect Director Peter J. Sacripanti | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Elect Director William R. Wagner | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Ratify Deloitte & Touche LLP as Auditors | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| | VOYA PRIME RATE TRUST | |
| | Security | 92913A100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PPR | | | | | | | Meeting Date | 09-Jul-2019 |
| | ISIN | US92913A1007 | | | | | | | Agenda | 935033415 - Management |
| | Record Date | 15-Apr-2019 | | | | | | | Holding Recon Date | 15-Apr-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Colleen D. Baldwin | Split | | For | | | | |
| | | | 2 | John V. Boyer | Split | | For | | | | |
| | | | 3 | Patricia W. Chadwick | Split | | For | | | | |
| | | | 4 | Martin J. Gavin | Split | | For | | | | |
| | | | 5 | Russell H. Jones | Split | | For | | | | |
| | | | 6 | Joseph E. Obermeyer | Split | | For | | | | |
| | | | 7 | Sheryl K. Pressler | Split | | For | | | | |
| | | | 8 | Dina Santoro | Split | | For | | | | |
| | | | 9 | Christopher P. Sullivan | Split | | For | | | | |
| | | | 10 | Roger B. Vincent | Split | | For | | | | |
| | VOYA PRIME RATE TRUST | |
| | Security | 92913A100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PPR | | | | | | | Meeting Date | 09-Jul-2019 |
| | ISIN | US92913A1007 | | | | | | | Agenda | 935033415 - Management |
| | Record Date | 15-Apr-2019 | | | | | | | Holding Recon Date | 15-Apr-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Colleen D. Baldwin | Split | | For | | | | |
| | | | 2 | John V. Boyer | Split | | For | | | | |
| | | | 3 | Patricia W. Chadwick | Split | | For | | | | |
| | | | 4 | Martin J. Gavin | Split | | For | | | | |
| | | | 5 | Russell H. Jones | Split | | For | | | | |
| | | | 6 | Joseph E. Obermeyer | Split | | For | | | | |
| | | | 7 | Sheryl K. Pressler | Split | | For | | | | |
| | | | 8 | Dina Santoro | Split | | For | | | | |
| | | | 9 | Christopher P. Sullivan | Split | | For | | | | |
| | | | 10 | Roger B. Vincent | Split | | For | | | | |
| | BLACK RIDGE ACQUISITION CORP. | |
| | Security | 09216T107 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | BRAC | | | | | | | Meeting Date | 09-Jul-2019 |
| | ISIN | US09216T1079 | | | | | | | Agenda | 935058316 - Management |
| | Record Date | 10-Jun-2019 | | | | | | | Holding Recon Date | 10-Jun-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension of Corporate Life: Amend the
Company's amended and restated
certificate of incorporation to extend the
date that the Company has to consummate
a business combination to August 10, 2019. | Management | For | | For | | | | |
| | ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST | |
| | Security | 01883A107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NFJ | | | | | | | Meeting Date | 11-Jul-2019 |
| | ISIN | US01883A1079 | | | | | | | Agenda | 935051653 - Opposition |
| | Record Date | 16-May-2019 | | | | | | | Holding Recon Date | 16-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 10-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a. | Election of Trustee: Deborah A. DeCotis | Management | Split | | For | | | | |
| | 1b. | Election of Trustee: Bradford K. Gallagher | Management | Split | | For | | | | |
| | 1c. | Election of Trustee: James A. Jacobson | Management | Split | | For | | | | |
| | 1d. | Election of Trustee: Erick R. Holt | Management | Split | | For | | | | |
| | 1e. | Election of Trustee: Sarah E. Cogan | Management | Split | | For | | | | |
| | 1f. | Election of Trustee: Thomas J Fuccillo | Management | Split | | For | | | | |
| | ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST | |
| | Security | 01883A107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NFJ | | | | | | | Meeting Date | 11-Jul-2019 |
| | ISIN | US01883A1079 | | | | | | | Agenda | 935051653 - Opposition |
| | Record Date | 16-May-2019 | | | | | | | Holding Recon Date | 16-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 10-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a. | Election of Trustee: Deborah A. DeCotis | Management | Split | | For | | | | |
| | 1b. | Election of Trustee: Bradford K. Gallagher | Management | Split | | For | | | | |
| | 1c. | Election of Trustee: James A. Jacobson | Management | Split | | For | | | | |
| | 1d. | Election of Trustee: Erick R. Holt | Management | Split | | For | | | | |
| | 1e. | Election of Trustee: Sarah E. Cogan | Management | Split | | For | | | | |
| | 1f. | Election of Trustee: Thomas J Fuccillo | Management | Split | | For | | | | |
| | ALLIANZGI CONVERTIBLE & INCOME 2024 | |
| | Security | 01883H102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CBH | | | | | | | Meeting Date | 11-Jul-2019 |
| | ISIN | US01883H1023 | | | | | | | Agenda | 935051665 - Opposition |
| | Record Date | 16-May-2019 | | | | | | | Holding Recon Date | 16-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 10-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a. | Election of Trustee: F. Ford Drummond | Management | Split | | For | | | | |
| | 1b. | Election of Trustee: James A. Jacobson | Management | Split | | For | | | | |
| | 1c. | Election of Trustee: James S. MacLeod | Management | Split | | For | | | | |
| | 1d. | Election of Trustee: Sarah E. Cogan | Management | Split | | For | | | | |
| | 1e. | Election of Trustee: Thomas J. Fuccillo | Management | Split | | For | | | | |
| | ALLIANZGI CONVERTIBLE & INCOME 2024 | |
| | Security | 01883H102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CBH | | | | | | | Meeting Date | 11-Jul-2019 |
| | ISIN | US01883H1023 | | | | | | | Agenda | 935051665 - Opposition |
| | Record Date | 16-May-2019 | | | | | | | Holding Recon Date | 16-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 10-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a. | Election of Trustee: F. Ford Drummond | Management | Split | | For | | | | |
| | 1b. | Election of Trustee: James A. Jacobson | Management | Split | | For | | | | |
| | 1c. | Election of Trustee: James S. MacLeod | Management | Split | | For | | | | |
| | 1d. | Election of Trustee: Sarah E. Cogan | Management | Split | | For | | | | |
| | 1e. | Election of Trustee: Thomas J. Fuccillo | Management | Split | | For | | | | |
| | CLOUGH GLOBAL OPPORTUNITIES FUND | |
| | Security | 18914E106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GLO | | | | | | | Meeting Date | 16-Jul-2019 |
| | ISIN | US18914E1064 | | | | | | | Agenda | 935049228 - Management |
| | Record Date | 20-May-2019 | | | | | | | Holding Recon Date | 20-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 3. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Adam D. Crescenzi | Split | | For | | | | |
| | | | 2 | Jerry G. Rutledge | Split | | For | | | | |
| | CLOUGH GLOBAL OPPORTUNITIES FUND | |
| | Security | 18914E106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GLO | | | | | | | Meeting Date | 16-Jul-2019 |
| | ISIN | US18914E1064 | | | | | | | Agenda | 935049228 - Management |
| | Record Date | 20-May-2019 | | | | | | | Holding Recon Date | 20-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 3. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Adam D. Crescenzi | Split | | For | | | | |
| | | | 2 | Jerry G. Rutledge | Split | | For | | | | |
| | BLACKROCK RESOURCES & COMMODITIES STRAT | |
| | Security | 09257A108 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BCX | | | | | | | Meeting Date | 29-Jul-2019 |
| | ISIN | US09257A1088 | | | | | | | Agenda | 935052592 - Management |
| | Record Date | 30-May-2019 | | | | | | | Holding Recon Date | 30-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | |
| | | | 2 | Cynthia L. Egan | Split | | For | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | |
| | BLACKROCK CALIFORNIA MUNICIPAL INCOME TR | |
| | Security | 09248E102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BFZ | | | | | | | Meeting Date | 29-Jul-2019 |
| | ISIN | US09248E1029 | | | | | | | Agenda | 935052592 - Management |
| | Record Date | 30-May-2019 | | | | | | | Holding Recon Date | 30-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | |
| | | | 2 | Cynthia L. Egan | Split | | For | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | |
| | BLACKROCK RESOURCES & COMMODITIES STRAT | |
| | Security | 09257A108 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BCX | | | | | | | Meeting Date | 29-Jul-2019 |
| | ISIN | US09257A1088 | | | | | | | Agenda | 935052592 - Management |
| | Record Date | 30-May-2019 | | | | | | | Holding Recon Date | 30-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | |
| | | | 2 | Cynthia L. Egan | Split | | For | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | |
| | BLACKROCK NY INSURED MUNICIPAL INCOME TR | |
| | Security | 09249U105 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BSE | | | | | | | Meeting Date | 29-Jul-2019 |
| | ISIN | US09249U1051 | | | | | | | Agenda | 935052592 - Management |
| | Record Date | 30-May-2019 | | | | | | | Holding Recon Date | 30-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | |
| | | | 2 | Cynthia L. Egan | Split | | For | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | |
| | BLACKROCK DEBT STRATEGIES FD INC | |
| | Security | 09255R202 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DSU | | | | | | | Meeting Date | 29-Jul-2019 |
| | ISIN | US09255R2022 | | | | | | | Agenda | 935052605 - Management |
| | Record Date | 30-May-2019 | | | | | | | Holding Recon Date | 30-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-Jul-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Richard E. Cavanagh | Split | | For | | | | |
| | | | 2 | Frank J. Fabozzi | Split | | For | | | | |
| | | | 3 | Robert Fairbairn | Split | | For | | | | |
| | | | 4 | Henry Gabbay | Split | | For | | | | |
| | BLACK RIDGE ACQUISITION CORP. | |
| | Security | 09216T107 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | BRAC | | | | | | | Meeting Date | 09-Aug-2019 |
| | ISIN | US09216T1079 | | | | | | | Agenda | 935053455 - Management |
| | Record Date | 10-Jun-2019 | | | | | | | Holding Recon Date | 10-Jun-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To consider and vote upon a proposal to
approve and adopt the Agreement and Plan
of Reorganization, dated as of December
19, 2018, and to approve the transactions
contemplated thereby. | Management | Split | | For | | | | |
| | 2a. | To approve amendments to the amended
and restated certificate of incorporation of
BRAC, effective following the business
combination, to: change the name of BRAC
from "Black Ridge Acquisition Corp." to
"Allied Esports Entertainment, Inc." | Management | Split | | For | | | | |
| | 2b. | To approve amendments to the amended
and restated certificate of incorporation of
BRAC, effective following the business
combination, to: increase the number of
authorized shares of BRAC Common Stock. | Management | Split | | For | | | | |
| | 2c. | To approve amendments to the amended
and restated certificate of incorporation of
BRAC, effective following the business
combination, to: remove provisions that will
no longer be applicable to BRAC after the
business combination. | Management | Split | | For | | | | |
| | 3a. | To Elect the following Class A Director to
serve until 2020 annual meeting: Ken
DeCubellis | Management | Split | | For | | | | |
| | 3b. | To Elect the following Class A Director to
serve until 2020 annual meeting: Lyle
Berman | Management | Split | | For | | | | |
| | 3c. | To Elect the following Class A Director to
serve until 2020 annual meeting: Benjamin
Oehler | Management | Split | | For | | | | |
| | 3d. | To Elect the following Class B Director to
serve until 2021 annual meeting: Dr. Kan
Hee Anthony Tyen | Management | Split | | For | | | | |
| | 3e. | To Elect the following Class B Director to
serve until 2021 annual meeting: Ho min
Kim | Management | Split | | For | | | | |
| | 3f. | To Elect the following Class B Director to
serve until 2021 annual meeting: Bradley
Berman | Management | Split | | For | | | | |
| | 3g. | To Elect the following Class B Director to
serve until 2021 annual meeting: Joseph
Lahti | Management | Split | | For | | | | |
| | 3h. | To Elect the following Class C Director to
serve until 2022 annual meeting: Frank Ng | Management | Split | | For | | | | |
| | 3i. | To Elect the following Class C Director to
serve until 2022 annual meeting: Eric Yang | Management | Split | | For | | | | |
| | 3j. | To Elect the following Class C Director to
serve until 2022 annual meeting: Adam
Pliska | Management | Split | | For | | | | |
| | 3k. | To Elect the following Class C Director to
serve until 2022 annual meeting: Maya
Rogers | Management | Split | | For | | | | |
| | 4. | To approve an equity incentive plan to be
effective upon consummation of the
business combination. | Management | Split | | For | | | | |
| | 5. | To adjourn the annual meeting to a later
date or dates if determined by the officer
presiding over the meeting. | Management | Split | | For | | | | |
| | BIG ROCK PARTNERS ACQUISITION CORP | |
| | Security | 089482103 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | BRPA | | | | | | | Meeting Date | 21-Aug-2019 |
| | ISIN | US0894821034 | | | | | | | Agenda | 935071073 - Management |
| | Record Date | 31-Jul-2019 | | | | | | | Holding Recon Date | 31-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 20-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension of Corporate Life: Amend the
Company's amended and restated
certificate of incorporation to extend the
date that the Company has to consummate
a business combination to November 22,
2019. | Management | For | | For | | | | |
| | 2. | Early Termination: Approve the Company's
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors. | Management | For | | For | | | | |
| | LIBERTY ALL-STAR GROWTH FUND, INC. | |
| | Security | 529900102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ASG | | | | | | | Meeting Date | 22-Aug-2019 |
| | ISIN | US5299001025 | | | | | | | Agenda | 935059279 - Management |
| | Record Date | 10-Jun-2019 | | | | | | | Holding Recon Date | 10-Jun-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 2. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | George R. Gaspari | Split | | For | | | | |
| | | | 2 | Edmund J. Burke | Split | | For | | | | |
| | LIBERTY ALL-STAR GROWTH FUND, INC. | |
| | Security | 529900102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ASG | | | | | | | Meeting Date | 22-Aug-2019 |
| | ISIN | US5299001025 | | | | | | | Agenda | 935059279 - Management |
| | Record Date | 10-Jun-2019 | | | | | | | Holding Recon Date | 10-Jun-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 2. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | George R. Gaspari | Split | | For | | | | |
| | | | 2 | Edmund J. Burke | Split | | For | | | | |
| | INVESCO | |
| | Security | 46131H107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VVR | | | | | | | Meeting Date | 23-Aug-2019 |
| | ISIN | US46131H1077 | | | | | | | Agenda | 935062151 - Management |
| | Record Date | 13-May-2019 | | | | | | | Holding Recon Date | 13-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | |
| | VAN KAMPEN FUNDS | |
| | Security | 46132C107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VMO | | | | | | | Meeting Date | 23-Aug-2019 |
| | ISIN | US46132C1071 | | | | | | | Agenda | 935062151 - Management |
| | Record Date | 13-May-2019 | | | | | | | Holding Recon Date | 13-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | |
| | VAN KAMPEN FUNDS | |
| | Security | 46132C107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VMO | | | | | | | Meeting Date | 23-Aug-2019 |
| | ISIN | US46132C1071 | | | | | | | Agenda | 935062151 - Management |
| | Record Date | 13-May-2019 | | | | | | | Holding Recon Date | 13-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | |
| | INVESCO | |
| | Security | 46131H107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VVR | | | | | | | Meeting Date | 23-Aug-2019 |
| | ISIN | US46131H1077 | | | | | | | Agenda | 935062151 - Management |
| | Record Date | 13-May-2019 | | | | | | | Holding Recon Date | 13-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | |
| | INVESCO | |
| | Security | 46132R104 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VTA | | | | | | | Meeting Date | 23-Aug-2019 |
| | ISIN | US46132R1041 | | | | | | | Agenda | 935062151 - Management |
| | Record Date | 13-May-2019 | | | | | | | Holding Recon Date | 13-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | |
| | | | 3 | Ann Barnett Stern | Split | | For | | | | |
| | | | 4 | Raymond Stickel, Jr. | Split | | For | | | | |
| | INVESCO | |
| | Security | 46131F101 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VLT | | | | | | | Meeting Date | 23-Aug-2019 |
| | ISIN | US46131F1012 | | | | | | | Agenda | 935062163 - Management |
| | Record Date | 13-May-2019 | | | | | | | Holding Recon Date | 13-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1c | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | |
| | | | 3 | Prema Mathai-Davis | Split | | For | | | | |
| | | | 4 | Ann Barnett Stern | Split | | For | | | | |
| | | | 5 | Raymond Stickel, Jr. | Split | | For | | | | |
| | INVESCO | |
| | Security | 46131F101 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | VLT | | | | | | | Meeting Date | 23-Aug-2019 |
| | ISIN | US46131F1012 | | | | | | | Agenda | 935062163 - Management |
| | Record Date | 13-May-2019 | | | | | | | Holding Recon Date | 13-May-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1c | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Cynthia Hostetler | Split | | For | | | | |
| | | | 2 | Eli Jones | Split | | For | | | | |
| | | | 3 | Prema Mathai-Davis | Split | | For | | | | |
| | | | 4 | Ann Barnett Stern | Split | | For | | | | |
| | | | 5 | Raymond Stickel, Jr. | Split | | For | | | | |
| | NUVEEN MORTGAGE OPPORTUNITY TERM FUND | |
| | Security | 670735109 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | JLS | | | | | | | Meeting Date | 29-Aug-2019 |
| | ISIN | US6707351093 | | | | | | | Agenda | 935049874 - Management |
| | Record Date | 29-Mar-2019 | | | | | | | Holding Recon Date | 29-Mar-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 28-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To approve an amendment to the Fund's
Declaration of Trust that would eliminate the
provision requiring the automatic
termination of the Fund on November 30,
2019. | Management | Split | | For | | | | |
| | 2. | To approve the adoption of a new
investment objective. | Management | Split | | For | | | | |
| | 3a. | To approve a new investment management
agreement with Nuveen Fund Advisors,
LLC. | Management | Split | | For | | | | |
| | 3b. | To approve a new investment sub-advisory
agreement between Nuveen Fund Advisors,
LLC and Teachers Advisors, LLC on behalf
of the Fund. | Management | Split | | For | | | | |
| | 4. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | |
| | | | 4 | William C. Hunter | Split | | For | | | | |
| | NUVEEN MORTGAGE OPPORTUNITY TERM FUND | |
| | Security | 670735109 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | JLS | | | | | | | Meeting Date | 29-Aug-2019 |
| | ISIN | US6707351093 | | | | | | | Agenda | 935049874 - Management |
| | Record Date | 29-Mar-2019 | | | | | | | Holding Recon Date | 29-Mar-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 28-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To approve an amendment to the Fund's
Declaration of Trust that would eliminate the
provision requiring the automatic
termination of the Fund on November 30,
2019. | Management | Split | | For | | | | |
| | 2. | To approve the adoption of a new
investment objective. | Management | Split | | For | | | | |
| | 3a. | To approve a new investment management
agreement with Nuveen Fund Advisors,
LLC. | Management | Split | | For | | | | |
| | 3b. | To approve a new investment sub-advisory
agreement between Nuveen Fund Advisors,
LLC and Teachers Advisors, LLC on behalf
of the Fund. | Management | Split | | For | | | | |
| | 4. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | |
| | | | 4 | William C. Hunter | Split | | For | | | | |
| | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 | |
| | Security | 67074R100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | JMT | | | | | | | Meeting Date | 29-Aug-2019 |
| | ISIN | US67074R1005 | | | | | | | Agenda | 935049886 - Management |
| | Record Date | 29-Mar-2019 | | | | | | | Holding Recon Date | 29-Mar-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 28-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To approve an amendment to the Fund's
Declaration of Trust that would eliminate the
provision requiring the automatic
termination of the Fund on February 28,
2020. | Management | Split | | For | | | | |
| | 2. | To approve the adoption of a new
investment objective. | Management | Split | | For | | | | |
| | 3a. | To approve a new investment management
agreement with Nuveen Fund Advisors,
LLC. | Management | Split | | For | | | | |
| | 3b. | To approve a new investment sub-advisory
agreement between Nuveen Fund Advisors,
LLC and Teachers Advisors, LLC on behalf
of the Fund. | Management | Split | | For | | | | |
| | 4. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | |
| | | | 4 | William C. Hunter | Split | | For | | | | |
| | NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 | |
| | Security | 67074R100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | JMT | | | | | | | Meeting Date | 29-Aug-2019 |
| | ISIN | US67074R1005 | | | | | | | Agenda | 935049886 - Management |
| | Record Date | 29-Mar-2019 | | | | | | | Holding Recon Date | 29-Mar-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 28-Aug-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To approve an amendment to the Fund's
Declaration of Trust that would eliminate the
provision requiring the automatic
termination of the Fund on February 28,
2020. | Management | Split | | For | | | | |
| | 2. | To approve the adoption of a new
investment objective. | Management | Split | | For | | | | |
| | 3a. | To approve a new investment management
agreement with Nuveen Fund Advisors,
LLC. | Management | Split | | For | | | | |
| | 3b. | To approve a new investment sub-advisory
agreement between Nuveen Fund Advisors,
LLC and Teachers Advisors, LLC on behalf
of the Fund. | Management | Split | | For | | | | |
| | 4. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | |
| | | | 4 | William C. Hunter | Split | | For | | | | |
| | DELAWARE INVESTMENTS | |
| | Security | 246060107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DEX | | | | | | | Meeting Date | 20-Sep-2019 |
| | ISIN | US2460601071 | | | | | | | Agenda | 935064763 - Management |
| | Record Date | 10-Jul-2019 | | | | | | | Holding Recon Date | 10-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-Sep-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas L. Bennett | Split | | For | | | | |
| | | | 2 | Jerome D. Abernathy | Split | | For | | | | |
| | | | 3 | Ann D. Borowiec | Split | | For | | | | |
| | | | 4 | Joseph W. Chow | Split | | For | | | | |
| | | | 5 | John A. Fry | Split | | For | | | | |
| | | | 6 | Lucinda S. Landreth | Split | | For | | | | |
| | | | 7 | Shawn K. Lytle | Split | | For | | | | |
| | | | 8 | F.A. Sevilla-Sacasa | Split | | For | | | | |
| | | | 9 | Thomas K. Whitford | Split | | For | | | | |
| | | | 10 | Christianna Wood | Split | | For | | | | |
| | | | 11 | Janet L. Yeomans | Split | | For | | | | |
| | 2. | To approve sub-advisory agreements
between Delaware Management Company
and each of Macquarie Investment
Management Europe Limited, Macquarie
Investment Management Global Limited,
Macquarie Investment Management Austria
Kapitalanlage AG, and Macquarie Funds
Management Hong Kong Limited. | Management | Split | | For | | | | |
| | DELAWARE INVESTMENTS | |
| | Security | 246060107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DEX | | | | | | | Meeting Date | 20-Sep-2019 |
| | ISIN | US2460601071 | | | | | | | Agenda | 935064763 - Management |
| | Record Date | 10-Jul-2019 | | | | | | | Holding Recon Date | 10-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-Sep-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas L. Bennett | Split | | For | | | | |
| | | | 2 | Jerome D. Abernathy | Split | | For | | | | |
| | | | 3 | Ann D. Borowiec | Split | | For | | | | |
| | | | 4 | Joseph W. Chow | Split | | For | | | | |
| | | | 5 | John A. Fry | Split | | For | | | | |
| | | | 6 | Lucinda S. Landreth | Split | | For | | | | |
| | | | 7 | Shawn K. Lytle | Split | | For | | | | |
| | | | 8 | F.A. Sevilla-Sacasa | Split | | For | | | | |
| | | | 9 | Thomas K. Whitford | Split | | For | | | | |
| | | | 10 | Christianna Wood | Split | | For | | | | |
| | | | 11 | Janet L. Yeomans | Split | | For | | | | |
| | 2. | To approve sub-advisory agreements
between Delaware Management Company
and each of Macquarie Investment
Management Europe Limited, Macquarie
Investment Management Global Limited,
Macquarie Investment Management Austria
Kapitalanlage AG, and Macquarie Funds
Management Hong Kong Limited. | Management | Split | | For | | | | |
| | ROYCE MICRO-CAP TRUST, INC. | |
| | Security | 780915104 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | RMT | | | | | | | Meeting Date | 24-Sep-2019 |
| | ISIN | US7809151043 | | | | | | | Agenda | 935069624 - Management |
| | Record Date | 18-Jul-2019 | | | | | | | Holding Recon Date | 18-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 23-Sep-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Patricia W. Chadwick | Split | | For | | | | |
| | | | 2 | Arthur S. Mehlman | Split | | For | | | | |
| | | | 3 | Michael K. Shields | Split | | For | | | | |
| | GUGGENHEIM FUNDS | |
| | Security | 00764C109 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AVK | | | | | | | Meeting Date | 25-Sep-2019 |
| | ISIN | US00764C1099 | | | | | | | Agenda | 935073990 - Management |
| | Record Date | 22-Jul-2019 | | | | | | | Holding Recon Date | 22-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 24-Sep-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a. | Election of Trustee: Mr. Randall C. Barnes | Management | Split | | For | | | | |
| | 1b. | Election of Trustee: Mr. Derek Medina | Management | Split | | For | | | | |
| | 1c. | Election of Trustee: Mr. Gerald L. Seizert | Management | Split | | For | | | | |
| | GUGGENHEIM FUNDS | |
| | Security | 00764C109 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AVK | | | | | | | Meeting Date | 25-Sep-2019 |
| | ISIN | US00764C1099 | | | | | | | Agenda | 935073990 - Management |
| | Record Date | 22-Jul-2019 | | | | | | | Holding Recon Date | 22-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 24-Sep-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1a. | Election of Trustee: Mr. Randall C. Barnes | Management | Split | | For | | | | |
| | 1b. | Election of Trustee: Mr. Derek Medina | Management | Split | | For | | | | |
| | 1c. | Election of Trustee: Mr. Gerald L. Seizert | Management | Split | | For | | | | |
| | FRANKLIN TEMPLETON LTD DURATION INC TR | |
| | Security | 35472T101 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | FTF | | | | | | | Meeting Date | 03-Oct-2019 |
| | ISIN | US35472T1016 | | | | | | | Agenda | 935074548 - Management |
| | Record Date | 24-Jul-2019 | | | | | | | Holding Recon Date | 24-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Harris J. Ashton | Split | | For | | | | |
| | | | 2 | Edith E. Holiday | Split | | For | | | | |
| | FRANKLIN TEMPLETON LTD DURATION INC TR | |
| | Security | 35472T101 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | FTF | | | | | | | Meeting Date | 03-Oct-2019 |
| | ISIN | US35472T1016 | | | | | | | Agenda | 935074548 - Management |
| | Record Date | 24-Jul-2019 | | | | | | | Holding Recon Date | 24-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Harris J. Ashton | Split | | For | | | | |
| | | | 2 | Edith E. Holiday | Split | | For | | | | |
| | NEUBERGER BERMAN HI/YLD STRATEGY | |
| | Security | 64128C106 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | NHS | | | | | | | Meeting Date | 03-Oct-2019 |
| | ISIN | US64128C1062 | | | | | | | Agenda | 935074788 - Management |
| | Record Date | 15-Jul-2019 | | | | | | | Holding Recon Date | 15-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Michael J. Cosgrove | Split | | For | | | | |
| | | | 2 | Deborah C. McLean | Split | | For | | | | |
| | | | 3 | Tom D. Seip | Split | | For | | | | |
| | 2. | STOCKHOLDER PROPOSAL: If properly
presented, to vote on a stockholder
proposal that the Fund terminate the
investment management agreement
between the Fund and Neuberger Berman
Investment Advisers LLC ("NBIA"), the
Fund's investment manager, and all other
advisory and management agreements
between the Fund and NBIA. | Shareholder | Split | | Against | | | | |
| | 3. | STOCKHOLDER PROPOSAL: If properly
presented, to vote on a non- binding
stockholder proposal asking the Board of
Directors of the Fund to consider a self-
tender offer for all outstanding common
stock of the Fund, and, if more than 50% of
the Fund's outstanding shares are
submitted for tender, to cancel the tender
offer and either liquidate the Fund or
convert it to an open-end fund. | Shareholder | Split | | Against | | | | |
| | NEUBERGER BERMAN HI/YLD STRATEGY | |
| | Security | 64128C106 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | NHS | | | | | | | Meeting Date | 03-Oct-2019 |
| | ISIN | US64128C1062 | | | | | | | Agenda | 935075540 - Opposition |
| | Record Date | 15-Jul-2019 | | | | | | | Holding Recon Date | 15-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Frederic Gabriel | Split | | For | | | | |
| | | | 2 | Thomas H. McGlade | Split | | For | | | | |
| | | | 3 | Arthur D. Lipson | Split | | For | | | | |
| | 2. | Proposal 2- Termination of the
Management Agreement between the Fund
and Neuberger Berman Management LLC,
dated August 6, 2010, as amended or
novated and all other advisory and
management agreements between the
Fund and Neuberger Berman Investment
Advisers LLC. | Management | Split | | For | | | | |
| | 3. | Proposal 3- For the Board to consider
authorizing a self-tender offer for all
outstanding shares of the Fund at or close
to net asset value ("NAV'). If more than 50%
of the Fund's outstanding shares are
submitted for tender, the tender offer should
be cancelled and the Board should take the
steps necessary to liquidate or convert the
Fund into an open-end mutual fund. | Management | Split | | For | | | | |
| | NEUBERGER BERMAN NY INTERM MUNI FD | |
| | Security | 64124K102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NBO | | | | | | | Meeting Date | 03-Oct-2019 |
| | ISIN | US64124K1025 | | | | | | | Agenda | 935078394 - Management |
| | Record Date | 30-Jul-2019 | | | | | | | Holding Recon Date | 30-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Michael J. Cosgrove | Split | | For | | | | |
| | | | 2 | Deborah C. McLean | Split | | For | | | | |
| | | | 3 | Tom D. Seip | Split | | For | | | | |
| | NEUBERGER BERMAN CA INTERM FD | |
| | Security | 64123C101 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NBW | | | | | | | Meeting Date | 03-Oct-2019 |
| | ISIN | US64123C1018 | | | | | | | Agenda | 935078394 - Management |
| | Record Date | 30-Jul-2019 | | | | | | | Holding Recon Date | 30-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Michael J. Cosgrove | Split | | For | | | | |
| | | | 2 | Deborah C. McLean | Split | | For | | | | |
| | | | 3 | Tom D. Seip | Split | | For | | | | |
| | ABERDEEN FUNDS | |
| | Security | 00326L100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AOD | | | | | | | Meeting Date | 09-Oct-2019 |
| | ISIN | US00326L1008 | | | | | | | Agenda | 935074803 - Management |
| | Record Date | 19-Jul-2019 | | | | | | | Holding Recon Date | 19-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Class II Trustee to serve a term
of three years until the 2022 Annual
Meeting: P. Gerald Malone | Management | Split | | For | | | | |
| | ABERDEEN FUNDS | |
| | Security | 00326L100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AOD | | | | | | | Meeting Date | 09-Oct-2019 |
| | ISIN | US00326L1008 | | | | | | | Agenda | 935074803 - Management |
| | Record Date | 19-Jul-2019 | | | | | | | Holding Recon Date | 19-Jul-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Class II Trustee to serve a term
of three years until the 2022 Annual
Meeting: P. Gerald Malone | Management | Split | | For | | | | |
| | PURE ACQUISITION CORP. | |
| | Security | 74621Q106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PACQ | | | | | | | Meeting Date | 10-Oct-2019 |
| | ISIN | US74621Q1067 | | | | | | | Agenda | 935084183 - Management |
| | Record Date | 13-Sep-2019 | | | | | | | Holding Recon Date | 13-Sep-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 09-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1) | The Extension Proposal - To amend the
Company's second amended and restated
certificate of incorporation to extend the
date by which the Company has to
consummate a business combination from
October 17, 2019 to February 21, 2020. | Management | For | | For | | | | |
| | 2) | The Election of Director - To elect Jared S.
Sturdivant to serve as the Class A director
on the Company's Board of Directors until
the 2022 annual meeting of stockholders or
until his successor is elected and qualified. | Management | For | | For | | | | |
| | 3) | The Auditor Proposal - To ratify the
selection by the Company's audit committee
of WithumSmith+Brown, PC to serve as the
Company's independent registered public
accounting firm for the year ending
December 31, 2019. | Management | For | | For | | | | |
| | 4) | The Adjournment Proposal - to approve the
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of proposal 1. | Management | For | | For | | | | |
| | LAZARD WORLD DIVIDEND & INCOME FD, INC. | |
| | Security | 521076109 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LOR | | | | | | | Meeting Date | 18-Oct-2019 |
| | ISIN | US5210761095 | | | | | | | Agenda | 935077188 - Management |
| | Record Date | 20-Aug-2019 | | | | | | | Holding Recon Date | 20-Aug-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 17-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Approval of the merger of LOR with and into
LGI, pursuant to an Agreement and Plan of
Merger between LOR and LGI. | Management | Split | | For | | | | |
| | 2. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Robert M. Solmson | Split | | For | | | | |
| | | | 2 | Nathan A. Paul | Split | | For | | | | |
| | LAZARD WORLD DIVIDEND & INCOME FD, INC. | |
| | Security | 521076109 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | LOR | | | | | | | Meeting Date | 18-Oct-2019 |
| | ISIN | US5210761095 | | | | | | | Agenda | 935077188 - Management |
| | Record Date | 20-Aug-2019 | | | | | | | Holding Recon Date | 20-Aug-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 17-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Approval of the merger of LOR with and into
LGI, pursuant to an Agreement and Plan of
Merger between LOR and LGI. | Management | Split | | For | | | | |
| | 2. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Robert M. Solmson | Split | | For | | | | |
| | | | 2 | Nathan A. Paul | Split | | For | | | | |
| | LEGACY ACQUISITION CORP. | |
| | Security | 524643103 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | LGC | | | | | | | Meeting Date | 22-Oct-2019 |
| | ISIN | US5246431036 | | | | | | | Agenda | 935086478 - Management |
| | Record Date | 06-Sep-2019 | | | | | | | Holding Recon Date | 06-Sep-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To amend the Company's amended and
restated certificate of incorporation to
extend the date by which the Company has
to consummate a business combination
from November 21, 2019 to December 21,
2019, plus an option for the Company to
further extend such date up to five times,
initially to January 21, 2020 and thereafter
by additional 30 day periods each to May
20, 2020 (the "Extended Date"), a copy of
which is attached as Exhibit A to the proxy
statement and as more fully described
therein. | Management | For | | For | | | | |
| | 2. | To amend the Company's investment
management trust agreement, dated as of
November 16, 2017, by and between the
Company and Continental Stock Transfer &
Trust Company to extend the date on which
to commence liquidating the trust account
established in connection with the
Company's initial public offering in the event
the Company has not consummated a
business combination from November 21,
2019 to the Extended Date, a copy of which
is attached as Exhibit B to the proxy
statement and as more fully described
therein. | Management | For | | For | | | | |
| | CHARDAN HEALTHCARE ACQUISITION CORP. | |
| | Security | 15957A108 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | CHAC | | | | | | | Meeting Date | 23-Oct-2019 |
| | ISIN | US15957A1088 | | | | | | | Agenda | 935085034 - Management |
| | Record Date | 17-Sep-2019 | | | | | | | Holding Recon Date | 17-Sep-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 22-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 7. | To elect redemption rights, please check
'FOR' box or see the proxy for alternative
methods of electing to exercise your
redemption rights. You do not need to vote
on any of the proposals set out below to
elect redemption rights. However,
regardless of whether you elect redemption,
your vote is important and we encourage
you to vote on the below proposals. | Management | For | | None | | | | |
| | 1. | To approve the Merger Agreement, dated
as of July 16, 2019 by and among CHAC,
BiomX Ltd. and CHAC Merger Sub Ltd., an
Israeli company and wholly-owned
subsidiary of CHAC, and the transactions
contemplated thereby. This proposal is
referred to as the "Business Combination
Proposal" or "Proposal No. 1." | Management | For | | For | | | | |
| | 2. | To approve the amendment of the
Amended and Restated Certificate of
Incorporation of CHAC to increase the
number of authorized shares of Common
Stock from 30,000,000 to 60,000,000. This
proposal is referred to as the "Share
Increase Proposal" or "Proposal No. 2." | Management | For | | For | | | | |
| | 3. | To approve the amendment of the
Amended and Restated Certificate of
Incorporation of CHAC to classify the Board
of Directors into three classes. This
proposal is referred to as the "Classified
Board Proposal" or "Proposal No. 3," and
together with the Share Increase Proposal,
they are referred to as the "Amendment
Proposals." | Management | For | | For | | | | |
| | 4. | To approve the Chardan Healthcare
Acquisition Corp. 2019 Omnibus Long-Term
Incentive Plan. This proposal is referred to
as the "Equity Plan Adoption Proposal" or
"Proposal No. 4." | Management | For | | For | | | | |
| | 5. | To approve the issuance of more than 20%
of the issued and outstanding Common
Stock of CHAC pursuant to the terms of the
Merger Agreement, as required by NYSE
American Listed Company Guide Sections
712 and 713. This proposal is referred to as
the "NYSE Proposal" or "Proposal No. 5." | Management | For | | For | | | | |
| | 6. | To approve the adjournment of the special
meeting, if necessary or advisable, in the
event CHAC does not receive the requisite
stockholder vote to approve the Business
Combination. This proposal is called the
"Business Combination Adjournment
Proposal" or "Proposal No. 6." | Management | For | | For | | | | |
| | WESTERN ASSET GBL HIGH INC FD INC. | |
| | Security | 95766B109 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | EHI | | | | | | | Meeting Date | 25-Oct-2019 |
| | ISIN | US95766B1098 | | | | | | | Agenda | 935078940 - Management |
| | Record Date | 01-Aug-2019 | | | | | | | Holding Recon Date | 01-Aug-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 24-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Robert D. Agdern | Split | | For | | | | |
| | | | 2 | Eileen A. Kamerick | Split | | For | | | | |
| | 2. | A non-binding proposal put forth by Saba
Capital Management, L.P., if properly
presented before the Meeting, requesting
that the Board of Directors take all
necessary steps in its power to declassify
the Board of Directors. | Shareholder | Split | | Against | | | | |
| | WESTERN ASSET GBL HIGH INC FD INC. | |
| | Security | 95766B109 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | EHI | | | | | | | Meeting Date | 25-Oct-2019 |
| | ISIN | US95766B1098 | | | | | | | Agenda | 935078940 - Management |
| | Record Date | 01-Aug-2019 | | | | | | | Holding Recon Date | 01-Aug-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 24-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Robert D. Agdern | Split | | For | | | | |
| | | | 2 | Eileen A. Kamerick | Split | | For | | | | |
| | 2. | A non-binding proposal put forth by Saba
Capital Management, L.P., if properly
presented before the Meeting, requesting
that the Board of Directors take all
necessary steps in its power to declassify
the Board of Directors. | Shareholder | Split | | Against | | | | |
| | WESTERN ASSET GBL HIGH INC FD INC. | |
| | Security | 95766B109 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | EHI | | | | | | | Meeting Date | 25-Oct-2019 |
| | ISIN | US95766B1098 | | | | | | | Agenda | 935078952 - Opposition |
| | Record Date | 01-Aug-2019 | | | | | | | Holding Recon Date | 01-Aug-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 24-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | David Basile | Split | | For | | | | |
| | | | 2 | Frederic Gabriel | Split | | For | | | | |
| | 2. | For the board to consider declassifying the
board so that all directors are elected on an
annual basis starting at the next annual
meeting of stockholders. | Management | Split | | For | | | | |
| | VIRTUS MUTUAL FUNDS | |
| | Security | 92837G100 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | ZF | | | | | | | Meeting Date | 01-Nov-2019 |
| | ISIN | US92837G1004 | | | | | | | Agenda | 935074295 - Management |
| | Record Date | 05-Aug-2019 | | | | | | | Holding Recon Date | 05-Aug-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 31-Oct-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Reorganization of Virtus Total Return Fund
Inc. into Virtus Global Dividend & Income
Fund Inc. | Management | Split | | For | | | | |
| | 5. | DIRECTOR | Management | Split | | | | | | |
| �� | | | 1 | Donald C. Burke* | Split | | For | | | | |
| | | | 2 | Sidney E. Harris* | Split | | For | | | | |
| | | | 3 | John R. Mallin# | Split | | For | | | | |
| | | | 4 | Connie D. McDaniel+ | Split | | For | | | | |
| | | | 5 | Geraldine M. McNamara+ | Split | | For | | | | |
| | BIG ROCK PARTNERS ACQUISITION CORP | |
| | Security | 089482103 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | BRPA | | | | | | | Meeting Date | 21-Nov-2019 |
| | ISIN | US0894821034 | | | | | | | Agenda | 935103351 - Management |
| | Record Date | 04-Nov-2019 | | | | | | | Holding Recon Date | 04-Nov-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 20-Nov-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension of Corporate Life: Amend the
Company's amended and restated
certificate of incorporation to extend the
date that the Company has to consummate
a business combination to March 23, 2020. | Management | For | | For | | | | |
| | 2. | Early Termination: Approve the Company's
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors. | Management | For | | For | | | | |
| | LEISURE ACQUISITION CORP. | |
| | Security | 52539T206 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | LACQU | | | | | | | Meeting Date | 26-Nov-2019 |
| | ISIN | US52539T2069 | | | | | | | Agenda | 935098170 - Management |
| | Record Date | 18-Oct-2019 | | | | | | | Holding Recon Date | 18-Oct-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 25-Nov-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension Amendment: Proposal to amend
the Company's Second Amended and
Restated Certificate of Incorporation to
extend the date by which the Company
must consummate a business combination
from December 5, 2019 to April 5, 2020. | Management | For | | For | | | | |
| | 2. | Trust Amendment: Proposal to amend the
Company's investment management trust
agreement, dated December 1, 2017, by
and between the Company and Continental
Stock Transfer & Trust Company to extend
the date on which to commence liquidating
the trust account established in connection
with the Company's initial public offering in
the event the Company has not
consummated a business combination by
April 5, 2020. | Management | For | | For | | | | |
| | 3. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Steven M. Rittvo | For | | For | | | | |
| | | | 2 | David L. Weinstein | For | | For | | | | |
| | 4. | Auditor Proposal: Proposal to ratify the
selection by our Audit Committee of
Marcum LLP to serve as our independent
registered public accounting firm for the
year ending December 31, 2019. | Management | For | | For | | | | |
| | 5. | Adjournment Proposal: Proposal to adjourn
the Special Meeting to a later date or dates,
if necessary, to permit further solicitation
and vote of proxies if, based upon the
tabulated vote at the time of the Special
Meeting, there are not sufficient votes to
approve any of the foregoing proposals. | Management | For | | For | | | | |
| | LEISURE ACQUISITION CORP. | |
| | Security | 52539T107 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | LACQ | | | | | | | Meeting Date | 26-Nov-2019 |
| | ISIN | US52539T1079 | | | | | | | Agenda | 935098170 - Management |
| | Record Date | 18-Oct-2019 | | | | | | | Holding Recon Date | 18-Oct-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 25-Nov-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension Amendment: Proposal to amend
the Company's Second Amended and
Restated Certificate of Incorporation to
extend the date by which the Company
must consummate a business combination
from December 5, 2019 to April 5, 2020. | Management | For | | For | | | | |
| | 2. | Trust Amendment: Proposal to amend the
Company's investment management trust
agreement, dated December 1, 2017, by
and between the Company and Continental
Stock Transfer & Trust Company to extend
the date on which to commence liquidating
the trust account established in connection
with the Company's initial public offering in
the event the Company has not
consummated a business combination by
April 5, 2020. | Management | For | | For | | | | |
| | 3. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Steven M. Rittvo | For | | For | | | | |
| | | | 2 | David L. Weinstein | For | | For | | | | |
| | 4. | Auditor Proposal: Proposal to ratify the
selection by our Audit Committee of
Marcum LLP to serve as our independent
registered public accounting firm for the
year ending December 31, 2019. | Management | For | | For | | | | |
| | 5. | Adjournment Proposal: Proposal to adjourn
the Special Meeting to a later date or dates,
if necessary, to permit further solicitation
and vote of proxies if, based upon the
tabulated vote at the time of the Special
Meeting, there are not sufficient votes to
approve any of the foregoing proposals. | Management | For | | For | | | | |
| | NUVEEN OHIO QUALITY MUNICIPAL INCOME FD | |
| | Security | 670980101 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | NUO | | | | | | | Meeting Date | 05-Dec-2019 |
| | ISIN | US6709801012 | | | | | | | Agenda | 935086303 - Management |
| | Record Date | 19-Sep-2019 | | | | | | | Holding Recon Date | 19-Sep-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 04-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Judith M. Stockdale | Split | | For | | | | |
| | | | 2 | Carole E. Stone | Split | | For | | | | |
| | | | 3 | Margaret L. Wolff | Split | | For | | | | |
| | 2. | If properly presented at the meeting, a
shareholder proposal to declassify the
Board of Trustees, so that all Trustees are
elected on an annual basis. | Shareholder | Split | | Against | | | | |
| | NUVEEN OHIO QUALITY MUNICIPAL INCOME FD | |
| | Security | 670980101 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | NUO | | | | | | | Meeting Date | 05-Dec-2019 |
| | ISIN | US6709801012 | | | | | | | Agenda | 935087216 - Opposition |
| | Record Date | 19-Sep-2019 | | | | | | | Holding Recon Date | 19-Sep-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 04-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1 | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | David Basile | Split | | For | | | | |
| | | | 2 | Peter Borish | Split | | For | | | | |
| | | | 3 | Charles Clarvit | Split | | For | | | | |
| | 2 | For the Board to consider declassifying the
Board so that all trustees are elected on an
annual basis starting at the next annual
meeting of shareholders. | Management | Split | | For | | | | |
| | SPECIAL OPPORTUNITIES FUND, INC | |
| | Security | 84741T104 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | SPE | | | | | | | Meeting Date | 11-Dec-2019 |
| | ISIN | US84741T1043 | | | | | | | Agenda | 935098954 - Management |
| | Record Date | 15-Oct-2019 | | | | | | | Holding Recon Date | 15-Oct-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 10-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Mr. Andrew Dakos | Split | | For | | | | |
| | | | 2 | Mr. Gerald Hellerman | Split | | For | | | | |
| | | | 3 | Mr. Charles Walden | Split | | For | | | | |
| | | | 4 | Mr. Ben Harris | Split | | For | | | | |
| | SPECIAL OPPORTUNITIES FUND, INC | |
| | Security | 84741T104 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | SPE | | | | | | | Meeting Date | 11-Dec-2019 |
| | ISIN | US84741T1043 | | | | | | | Agenda | 935098954 - Management |
| | Record Date | 15-Oct-2019 | | | | | | | Holding Recon Date | 15-Oct-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 10-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Mr. Andrew Dakos | Split | | For | | | | |
| | | | 2 | Mr. Gerald Hellerman | Split | | For | | | | |
| | | | 3 | Mr. Charles Walden | Split | | For | | | | |
| | | | 4 | Mr. Ben Harris | Split | | For | | | | |
| | HEALTH SCIENCES ACQUISITIONS CORPORATION | |
| | Security | 42227C102 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | HSAC | | | | | | | Meeting Date | 16-Dec-2019 |
| | ISIN | US42227C1027 | | | | | | | Agenda | 935113388 - Management |
| | Record Date | 20-Nov-2019 | | | | | | | Holding Recon Date | 20-Nov-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 13-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Adopt the Share Exchange Agreement,
dated as of September 29, 2019 ("Share
Exchange Agreement"), by and among
Health Sciences Acquisitions Corporation
("HSAC"), Immunovant Sciences Ltd., a
Bermuda exempted limited company
("Immunovant"), stockholders of
Immunovant ("Sellers") and Roivant
Sciences Ltd., a Bermuda exempted limited
company, as representative of the Sellers,
and thereby approve the transactions
contemplated under the Share Exchange
Agreement ("Business Combination"). This
proposal is referred to as the "Business
Combination Proposal". | Management | For | | For | | | | |
| | 2A. | To approve, subject to and with immediate
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current
Amended and Restated Certificate of
Incorporation as set forth in the proposed
Second Amended and Restated Certificate
of Incorporation of HSAC (the "Amended
Charter") to: change name of the combined
company after the Business Combination
(the "Combined Company") to
"Immunovant, Inc." from "Health Sciences
Acquisition Corporation". | Management | For | | For | | | | |
| | 2B. | To approve, subject to and with immediate
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current
Amended and Restated Certificate of
Incorporation as set forth in the proposed
Second Amended and Restated Certificate
of Incorporation of HSAC (the "Amended
Charter") to: the authorized number of
shares of common stock from 30,000,000
shares to 500,000,000 shares. | Management | For | | For | | | | |
| | 2C. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to authorize the issuance of
up to 10,000,000 shares of "blank check"
preferred stock, the rights, preferences and
privileges of which may be designated from
time to time by the Combined Company's
board of directors to increase the number of
outstanding shares and discourage a
takeover attempt. | Management | For | | For | | | | |
| | 2D. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to authorize the issuance of
up to 10,000 shares of Series A Preferred
Stock ("Series A Preferred Stock") and
designate the rights, preferences and
privileges of the Series A Preferred Stock,
including that the holder(s) of a majority of
the outstanding shares of Series A
Preferred Stock will be entitled to elect: (1)
four directors (the "Series A Preferred
Directors"), (2) three Series A Preferred
Directors and (3) two Series A Preferred
Directors. | Management | For | | For | | | | |
| | 2E. | To approve, subject to and with immediate
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current
Amended and Restated Certificate of
Incorporation as set forth in the proposed
Second Amended and Restated Certificate
of Incorporation of HSAC (the "Amended
Charter") to: provide that the number of
directors constituting the board of directors
of the Combined Company will be fixed at
no less than seven. | Management | For | | For | | | | |
| | 2F. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to provide that directors may
be removed with or without cause by the
affirmative vote of the holders of at least 66
2/3% of the voting power of all then-
outstanding shares of the Combined
Company's capital stock entitled to vote
generally at an election of directors;
provided that the Series A Preferred
Directors may be removed without cause
only by the holder(s) of Series A Preferred
Stock. | Management | For | | For | | | | |
| | 2G. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to declassify the Combined
Company's board of directors and provide
that each director will serve for a one-year
term, until his or her successor is duly
elected and qualified or until his or her
earlier death, resignation or removal. | Management | For | | For | | | | |
| | 2H. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to provide that, as long as the
Combined Company is a "controlled
company," the chairperson of the broad of
directors of the Combined Company will be
entitled to a casting vote and be entitled to
two votes on any matter or resolution
presented to the full board of directors or
any committee on which he or she then
serves for which a majority vote cannot be
obtained. | Management | For | | For | | | | |
| | 2I. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to provide that from and after
such time as the Combined Company is no
longer a "controlled company," no action
shall be taken by the stockholders of the
Combined Company except at an annual or
special meeting of stockholders called in
accordance with the Combined Company's
bylaws, and no action shall be taken by the
stockholders by written consent or
electronic transmission. | Management | For | | For | | | | |
| | 2J. | To approve, subject to and with immediate
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current
Amended and Restated Certificate of
Incorporation as set forth in the proposed
Second Amended and Restated Certificate
of Incorporation of HSAC (the "Amended
Charter") to: provide that the Combined
Company opts out of Section 203 of the
Delaware General Corporation Law. | Management | For | | For | | | | |
| | 2K. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to provide that, from and after
such time as the Combined Company is no
longer a "controlled company," as such term
is defined under the rules of the exchange
on which the Combined Company's
securities are listed, any amendment to the
Combined Company's bylaws will require
the approval of the holders of at least 66
2/3% of the Combined Company's then-
outstanding shares of capital stock entitled
to vote generally at an election of directors. | Management | For | | For | | | | |
| | 2L. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to provide that, from and after
such time as the Combined Company is no
longer a "controlled company," any
amendment to certain provisions of the
Amended Charter will require the approval
of the holders of at least 66 2/3% of the
Combined Company's then-outstanding
shares of capital stock entitled to vote
generally at an election of directors. | Management | For | | For | | | | |
| | 2M. | To approve, subject to and with immediate
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current
Amended and Restated Certificate of
Incorporation as set forth in the proposed
Second Amended and Restated Certificate
of Incorporation of HSAC (the "Amended
Charter") to: remove various provisions
related to its operations as a blank check
company prior to the consummation of an
initial business combination. | Management | For | | For | | | | |
| | 2N. | To approve to amend HSAC's current
Amended and Restated Certificate of
Incorporation to provide that the federal
district courts of the United States of
America will be the exclusive forum for
resolving any complaint asserting a cause
of action arising under the Securities Act of
1933, as amended. | Management | For | | For | | | | |
| | 3. | To approve the issuance of more than 20%
of the issued and outstanding shares of
HSAC's common stock pursuant to the
terms of the Share Exchange Agreement,
resulting in a change of control, as required
by Nasdaq Listing Rules 5635(a), (b) and
(d). This proposal is referred to as the
"Nasdaq Proposal" or "Proposal No. 3." | Management | For | | For | | | | |
| | 4. | To approve the 2019 HSAC Equity
Incentive Plan. This proposal is referred to
as the "Equity Incentive Plan Proposal" or
"Proposal No. 4". | Management | For | | For | | | | |
| | 5. | To approve the adjournment of the special
meeting for the purpose of soliciting
additional proxies in favor of the adoption of
the Share Exchange Agreement in the
event HSAC does not receive the requisite
shareholder vote to approve the Business
Combination. This proposal is called the
"Business Combination Adjournment
Proposal" or "Proposal No. 5." | Management | For | | For | | | | |
| | FINTECH ACQUISITION CORP. III | |
| | Security | 31811A309 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | FTACU | | | | | | | Meeting Date | 17-Dec-2019 |
| | ISIN | US31811A3095 | | | | | | | Agenda | 935105507 - Management |
| | Record Date | 24-Oct-2019 | | | | | | | Holding Recon Date | 24-Oct-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 16-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Proposal To approve the selection of
WithumSmith+Brown, PC as the
independent registered public accounting
firm for the Company for the fiscal year
ending December 31, 2019. | Management | For | | For | | | | |
| | PIVOTAL ACQUISITION CORP. | |
| | Security | 72583A101 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PVT | | | | | | | Meeting Date | 18-Dec-2019 |
| | ISIN | US72583A1016 | | | | | | | Agenda | 935109163 - Management |
| | Record Date | 18-Nov-2019 | | | | | | | Holding Recon Date | 18-Nov-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 17-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To approve and adopt the Agreement and
Plan of Reorganization, dated as of May 20,
2019, as amended by and among Pivotal
Acquisition Corp., Pivotal Merger Sub
Corp., LD Topco, Inc., and, solely in its
capacity as representative of the
stockholders of LD Topco, Carlyle Equity
Opportunity GP, L.P., and the transactions
contemplated thereby. | Management | For | | For | | | | |
| | 2A. | To approve the following amendment to
Pivotal's current amended and restated
certificate of incorporation: to change the
name of the company to "KLDiscovery Inc." | Management | For | | For | | | | |
| | 2B. | To approve the following amendment to
Pivotal's current amended and restated
certificate of incorporation: to incurease
Pivotal's capitalization so that it will have
200,000,000 authorized shares of a single
class of common stock and 1,000,000
authorized shares of preferred stock. | Management | For | | For | | | | |
| | 2C. | To approve the following amendment to
Pivotal's current amended and restated
certificate of incorporation: to delete the
various provisions applicable only to special
purpose acquisition corporations. | Management | For | | For | | | | |
| | 3. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Richard J. Williams+ | For | | For | | | | |
| | | | 2 | Kevin Griffin+ | For | | For | | | | |
| | | | 3 | Donna Morea++ | For | | For | | | | |
| | | | 4 | Jonathan J. Ledecky++ | For | | For | | | | |
| | | | 5 | Evan Morgan++ | For | | For | | | | |
| | | | 6 | Christopher J Weiler+++ | For | | For | | | | |
| | | | 7 | Daniel F. Akerson+++ | For | | For | | | | |
| | | | 8 | William Darman+++ | For | | For | | | | |
| | 4. | To approve the adoption of the 2019
Incentive Award Plan. | Management | For | | For | | | | |
| | 5. | To approve the adoption of the 2019
Employee Stock Purchase Plan. | Management | For | | For | | | | |
| | 6. | To adjourn the special meeting to a later
date or dates, if necessary, if Pivotal is
unable to consummate the business
combination for any reason. | Management | For | | For | | | | |
| | CF FINANCE ACQUISITION CORP. | |
| | Security | 12528N206 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CFFAU | | | | | | | Meeting Date | 18-Dec-2019 |
| | ISIN | US12528N2062 | | | | | | | Agenda | 935112526 - Management |
| | Record Date | 15-Nov-2019 | | | | | | | Holding Recon Date | 15-Nov-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 17-Dec-2019 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Steven Bisgay | For | | For | | | | |
| | | | 2 | Anshu Jain | For | | For | | | | |
| | | | 3 | Robert G. Sharp | For | | For | | | | |
| | 2. | Ratification of independent registered public
accounting firm. | Management | For | | For | | | | |
| | EATON VANCE LIMITED DURATION INCOME FD | |
| | Security | 27828H105 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | EVV | | | | | | | Meeting Date | 16-Jan-2020 |
| | ISIN | US27828H1059 | | | | | | | Agenda | 935112211 - Management |
| | Record Date | 21-Nov-2019 | | | | | | | Holding Recon Date | 21-Nov-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Jan-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | |
| | | | 2 | Mark R. Fetting | Split | | For | | | | |
| | | | 3 | Keith Quinton | Split | | For | | | | |
| | 2. | A non-binding shareholder proposal that the
Board take the necessary steps to
declassify the Board of Trustees of the
Fund so that all Trustees are elected on an
annual basis. | Shareholder | Split | | Against | | | | |
| | EATON VANCE LIMITED DURATION INCOME FD | |
| | Security | 27828H105 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | EVV | | | | | | | Meeting Date | 16-Jan-2020 |
| | ISIN | US27828H1059 | | | | | | | Agenda | 935112211 - Management |
| | Record Date | 21-Nov-2019 | | | | | | | Holding Recon Date | 21-Nov-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Jan-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | |
| | | | 2 | Mark R. Fetting | Split | | For | | | | |
| | | | 3 | Keith Quinton | Split | | For | | | | |
| | 2. | A non-binding shareholder proposal that the
Board take the necessary steps to
declassify the Board of Trustees of the
Fund so that all Trustees are elected on an
annual basis. | Shareholder | Split | | Against | | | | |
| | JOHN HANCOCK FUNDS | |
| | Security | 41013P749 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | HTY | | | | | | | Meeting Date | 03-Feb-2020 |
| | ISIN | US41013P7490 | | | | | | | Agenda | 935116067 - Management |
| | Record Date | 12-Nov-2019 | | | | | | | Holding Recon Date | 12-Nov-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 31-Jan-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | James R. Boyle | Split | | For | | | | |
| | | | 2 | William H. Cunningham | Split | | For | | | | |
| | | | 3 | Grace K. Fey | Split | | For | | | | |
| | | | 4 | Hassell H. McClellan | Split | | For | | | | |
| | | | 5 | Gregory A. Russo | Split | | For | | | | |
| | B. RILEY PRINCIPAL MERGER CORP. | |
| | Security | 05586Y106 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | BRPM | | | | | | | Meeting Date | 11-Feb-2020 |
| | ISIN | US05586Y1064 | | | | | | | Agenda | 935126347 - Management |
| | Record Date | 16-Jan-2020 | | | | | | | Holding Recon Date | 16-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 10-Feb-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | The Business Combination Proposal -
approve and adopt the Agreement and Plan
of Merger, dated as of December 12, 2019
(as the same may be amended from time to
time, the "Merger Agreement"), by and
among BRPM, BR Canyon Merger Sub
Corp., a wholly-owned subsidiary of the
Company and a Michigan corporation
("Merger Sub"), Alta Equipment Holdings,
Inc., a Michigan corporation ("Alta"), and
Ryan Greenawalt ("Greenawalt"), pursuant
to which Merger Sub will merge with & into
Alta (the "Merger") in accordance with
Merger Agreement. | Management | For | | For | | | | |
| | 2. | The Charter Amendment Proposal -
approve and adopt, assuming the business
combination proposal is approved and
adopted, the third amended and restated
certificate of incorporation of the Company
(the "Proposed Charter"), which, if
approved, would take effect upon the
closing of the business combination (the
"Closing") (we refer to this proposal as the
"charter amendment proposal") The
Advisory Charter Proposals - approve and
adopt, on a nonbinding advisory basis,
certain amendments to the amended and
restated certificate of incorporation. | Management | For | | For | | | | |
| | 3. | Advisory Charter Proposal A - to, upon
completion of the business combination and
the conversion of the Company's Class B
common stock, par value $0.0001 per share
("Class B common stock"), into the
Company's Class A common stock, par
value $0.0001 per share ("Class A common
stock"), increase the authorized capital
stock of the Company from 126,000,000
shares, consisting of 100,000,000 shares of
Class A common stock, 25,000,000 shares
of Class B common stock and 1,000,000
shares of preferred stock to 201,000,000
shares. | Management | For | | For | | | | |
| | 4. | Advisory Charter Proposal B - to change
the stockholder vote required to amend
certain provisions of the Proposed Charter
and the Company's bylaws (we refer to this
proposal as "advisory charter proposal B"). | Management | For | | For | | | | |
| | 5. | Advisory Charter Proposal C - to clarify that
the current exclusive forum provision in the
Charter adopting Delaware as the exclusive
forum for certain stockholder litigation does
not apply to claims (i) arising under the
Securities Act of 1933, as amended (the
"Securities Act"), as to which the Court of
Chancery of the State of Delaware and the
federal district court for the District of
Delaware have concurrent jurisdiction under
Section 22 of the Securities Act, or (ii)
brought to enforce a duty or liability created
by Securities Exchange act. | Management | For | | For | | | | |
| | 6. | Advisory Charter Proposal D - to remove
the waiver of the corporate opportunity
doctrine (we refer to this proposal as
"advisory charter proposal D"). | Management | For | | For | | | | |
| | 7. | Advisory Charter Proposal E - to provide
that Section 203 of the Delaware General
Corporation Law, which governs business
combinations between the Company and
certain interested stockholders, does not
apply to the Company (we refer to this
proposal as "advisory charter proposal E"). | Management | For | | For | | | | |
| | 8. | Advisory Charter Proposal F - to provide for
certain additional changes, including,
among other things, (i) changing the post-
business combination company's corporate
name from "B. Riley Principal Merger Corp."
to "Alta Equipment Group Inc." and making
the Company's corporate existence
perpetual and (ii) removing certain
provisions related to our status as a blank
check company that will no longer apply
upon consummation of business
combination, all of which our board believes
are necessary to adequately address the
needs of the post-business. | Management | For | | For | | | | |
| | 9. | The NYSE Proposal - approve, assuming
the business combination proposal and the
charter amendment proposal are approved
and adopted, for the purposes of complying
with the applicable provisions of Section
312.03 of the Listed Company Manual of
the New York Stock Exchange (the
"NYSE"), (i) the issuance of shares of
common stock to Alta's equityholders,
which include Greenawalt, pursuant to the
terms of the Merger Agreement, (ii) the
issuance of shares of common stock to the
PIPE investors (as defined in the
accompanying proxy statement). | Management | For | | For | | | | |
| | 10. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Katherine E. White | For | | For | | | | |
| | | | 2 | Daniel Shribman | For | | For | | | | |
| | | | 3 | Zachary E. Savas | For | | For | | | | |
| | | | 4 | Ryan Greenawalt | For | | For | | | | |
| | | | 5 | Andrew Studdert | For | | For | | | | |
| | 11. | The Incentive Plan Proposal - approve and
adopt, assuming the condition precedent
proposals are approved and adopted, the
Alta Equipment Group Inc. 2020 Omnibus
Incentive Plan, a copy of which is attached
to the accompanying proxy statement as
Annex C (we refer to this proposal as the
"incentive plan proposal"). | Management | For | | For | | | | |
| | 12. | The Adjournment Proposal - approve the
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of any of the
condition precedent proposals or the
incentive plan proposal (we refer to this
proposal as the "adjournment proposal"). | Management | For | | For | | | | |
| | PURE ACQUISITION CORP. | |
| | Security | 74621Q106 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | PACQ | | | | | | | Meeting Date | 20-Feb-2020 |
| | ISIN | US74621Q1067 | | | | | | | Agenda | 935129836 - Management |
| | Record Date | 29-Jan-2020 | | | | | | | Holding Recon Date | 29-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-Feb-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1) | The Extension Amendment Proposal - To
amend the Company's second amended
and restated certificate of incorporation to
extend the date by which the Company has
to consummate a business combination
from February 21. 2020 to May 21, 2020. | Management | For | | For | | | | |
| | 2) | The Adjournment Proposal - to approve the
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of proposal 1. | Management | For | | For | | | | |
| | ABERDEEN FUNDS | |
| | Security | 00301W105 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AEF | | | | | | | Meeting Date | 04-Mar-2020 |
| | ISIN | US00301W1053 | | | | | | | Agenda | 935126082 - Management |
| | Record Date | 31-Dec-2019 | | | | | | | Holding Recon Date | 31-Dec-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 03-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Election of Class III Director to serve for a
term expiring in 2023: Steven N. Rappaport | Management | Split | | For | | | | |
| | PGIM INVESTMENTS | |
| | Security | 69346H100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ISD | | | | | | | Meeting Date | 09-Mar-2020 |
| | ISIN | US69346H1005 | | | | | | | Agenda | 935122616 - Management |
| | Record Date | 18-Dec-2019 | | | | | | | Holding Recon Date | 18-Dec-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 06-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Kevin J. Bannon | Split | | For | | | | |
| | | | 2 | Keith F. Hartstein | Split | | For | | | | |
| | | | 3 | Grace C. Torres | Split | | For | | | | |
| | PGIM INVESTMENTS | |
| | Security | 69346H100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ISD | | | | | | | Meeting Date | 09-Mar-2020 |
| | ISIN | US69346H1005 | | | | | | | Agenda | 935122616 - Management |
| | Record Date | 18-Dec-2019 | | | | | | | Holding Recon Date | 18-Dec-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 06-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Kevin J. Bannon | Split | | For | | | | |
| | | | 2 | Keith F. Hartstein | Split | | For | | | | |
| | | | 3 | Grace C. Torres | Split | | For | | | | |
| | PGIM INVESTMENTS | |
| | Security | 69346J106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GHY | | | | | | | Meeting Date | 09-Mar-2020 |
| | ISIN | US69346J1060 | | | | | | | Agenda | 935122628 - Management |
| | Record Date | 18-Dec-2019 | | | | | | | Holding Recon Date | 18-Dec-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 06-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Kevin J. Bannon | Split | | For | | | | |
| | | | 2 | Keith F. Hartstein | Split | | For | | | | |
| | | | 3 | Grace C. Torres | Split | | For | | | | |
| | PGIM INVESTMENTS | |
| | Security | 69346J106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GHY | | | | | | | Meeting Date | 09-Mar-2020 |
| | ISIN | US69346J1060 | | | | | | | Agenda | 935122628 - Management |
| | Record Date | 18-Dec-2019 | | | | | | | Holding Recon Date | 18-Dec-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 06-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Kevin J. Bannon | Split | | For | | | | |
| | | | 2 | Keith F. Hartstein | Split | | For | | | | |
| | | | 3 | Grace C. Torres | Split | | For | | | | |
| | BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |
| | Security | 10537L104 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | BWG | | | | | | | Meeting Date | 20-Mar-2020 |
| | ISIN | US10537L1044 | | | | | | | Agenda | 935128632 - Management |
| | Record Date | 07-Jan-2020 | | | | | | | Holding Recon Date | 07-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1.1 | Election of Class II Director: Nisha Kumar | Management | | | For | | | | |
| | 1.2 | Election of Class II Director: Jane E. Trust,
CFA | Management | | | For | | | | |
| | 2. | To ratify the selection of
PricewaterhouseCoopers LLP ("PwC") as
independent registered public accountants
of the Fund for the fiscal year ended
October 31, 2020. | Management | | | For | | | | |
| | 3. | A non-binding proposal put forth by an
affiliate of Bulldog Investors, LLC
requesting that the Board consider a self-
tender offer for all outstanding shares of the
Fund at or close to net asset value, if
properly presented before the Meeting. | Shareholder | | | Against | | | | |
| | 4. | A non-binding proposal put forth by an
affiliate of Bulldog Investors, LLC
requesting that the Board amend the Fund's
bylaws to provide a majority of votes cast
voting standard for contested director
elections, if properly presented before the
Meeting. | Shareholder | | | Against | | | | |
| | BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |
| | Security | 10537L104 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | BWG | | | | | | | Meeting Date | 20-Mar-2020 |
| | ISIN | US10537L1044 | | | | | | | Agenda | 935128632 - Management |
| | Record Date | 07-Jan-2020 | | | | | | | Holding Recon Date | 07-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1.1 | Election of Class II Director: Nisha Kumar | Management | | | For | | | | |
| | 1.2 | Election of Class II Director: Jane E. Trust,
CFA | Management | | | For | | | | |
| | 2. | To ratify the selection of
PricewaterhouseCoopers LLP ("PwC") as
independent registered public accountants
of the Fund for the fiscal year ended
October 31, 2020. | Management | | | For | | | | |
| | 3. | A non-binding proposal put forth by an
affiliate of Bulldog Investors, LLC
requesting that the Board consider a self-
tender offer for all outstanding shares of the
Fund at or close to net asset value, if
properly presented before the Meeting. | Shareholder | | | Against | | | | |
| | 4. | A non-binding proposal put forth by an
affiliate of Bulldog Investors, LLC
requesting that the Board amend the Fund's
bylaws to provide a majority of votes cast
voting standard for contested director
elections, if properly presented before the
Meeting. | Shareholder | | | Against | | | | |
| | BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |
| | Security | 10537L104 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | BWG | | | | | | | Meeting Date | 20-Mar-2020 |
| | ISIN | US10537L1044 | | | | | | | Agenda | 935129937 - Opposition |
| | Record Date | 07-Jan-2020 | | | | | | | Holding Recon Date | 07-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1.1 | Election of Director: Rajeev Das | Management | | | For | | | | |
| | 1.2 | Election of Director: Andrew Dakos | Management | | | For | | | | |
| | 2. | Ratification of PricewaterhouseCoopers
LLP ("PwC")as the Fund's independent
registered public accountants. | Management | | | For | | | | |
| | 3. | To conduct a self-tender offer at or close to
NAV. | Management | | | For | | | | |
| | 4. | The Board should amend the bylaws to
provide that in a contested election, a
majority of the votes cast in the election of
Directors shall be required to elect a
Director. | Management | | | For | | | | |
| | BIG ROCK PARTNERS ACQUISITION CORP | |
| | Security | 089482103 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | BRPA | | | | | | | Meeting Date | 23-Mar-2020 |
| | ISIN | US0894821034 | | | | | | | Agenda | 935142428 - Management |
| | Record Date | 03-Mar-2020 | | | | | | | Holding Recon Date | 03-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 20-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension of Corporate Life: Amend the
Company's amended and restated
certificate of incorporation to extend the
date that the Company has to consummate
a business combination to July 23, 2020. | Management | For | | For | | | | |
| | 2. | Early Termination: Approve the Company's
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors. | Management | For | | For | | | | |
| | LEISURE ACQUISITION CORP. | |
| | Security | 52539T107 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | LACQ | | | | | | | Meeting Date | 26-Mar-2020 |
| | ISIN | US52539T1079 | | | | | | | Agenda | 935137491 - Management |
| | Record Date | 24-Feb-2020 | | | | | | | Holding Recon Date | 24-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 25-Mar-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension Amendment: Proposal to amend
the Company's Second Amended and
Restated Certificate of Incorporation, as
amended on December 5, 2019, to extend
the date by which the Company must
consummate a business combination from
April 5, 2020 to June 30, 2020. | Management | For | | For | | | | |
| | 2. | Trust Amendment: Proposal to amend the
Company's investment management trust
agreement, dated December 1, 2017, as
amended on December 5, 2019, by and
between the Company and Continental
Stock Transfer & Trust Company to extend
the date on which to commence liquidating
the trust account established in connection
with the Company's initial public offering in
the event the Company has not
consummated a business combination from
April 5, 2020 to June 30, 2020. | Management | For | | For | | | | |
| | 3. | Adjournment Proposal: Proposal to adjourn
the Special Meeting to a later date or dates,
if necessary, to permit further solicitation
and vote of proxies if, based upon the
tabulated vote at the time of the Special
Meeting, there are not sufficient votes to
approve any of the foregoing proposals. | Management | For | | For | | | | |
| | DUFF & PHELPS UTILITY & CORP BD TR INC. | |
| | Security | 26432K108 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | DUC | | | | | | | Meeting Date | 14-Apr-2020 |
| | ISIN | US26432K1088 | | | | | | | Agenda | 935123303 - Management |
| | Record Date | 27-Dec-2019 | | | | | | | Holding Recon Date | 27-Dec-2019 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 13-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Geraldine M. McNamara | Split | | For | | | | |
| | | | 2 | David J. Vitale | Split | | For | | | | |
| | 2. | Shareholder Proposal: BE IT RESOLVED,
the shareholders of the Duff & Phelps Utility
and Corporate Bond Trust Inc. ("DUC" or
"Fund") request that the Board of Directors
("Board") promptly consider authorizing a
self-tender offer for all outstanding common
shares of the Fund at or close to net asset
value ("NAV"). If more than 50% of Fund's
outstanding common shares are tendered,
the tender offer should be cancelled & the
Board should take the steps necessary to
liquidate, merge, or convert Fund to an
open-end mutual fund or exchange traded
fund. | Shareholder | Split | | Against | | | | |
| | EATON VANCE FUNDS | |
| | Security | 27829M103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | EXD | | | | | | | Meeting Date | 16-Apr-2020 |
| | ISIN | US27829M1036 | | | | | | | Agenda | 935132578 - Management |
| | Record Date | 04-Feb-2020 | | | | | | | Holding Recon Date | 04-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | |
| | | | 2 | Cynthia E. Frost | Split | | For | | | | |
| | | | 3 | Scott E. Wennerholm | Split | | For | | | | |
| | EATON VANCE FUNDS | |
| | Security | 27829M103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | EXD | | | | | | | Meeting Date | 16-Apr-2020 |
| | ISIN | US27829M1036 | | | | | | | Agenda | 935132578 - Management |
| | Record Date | 04-Feb-2020 | | | | | | | Holding Recon Date | 04-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | |
| | | | 2 | Cynthia E. Frost | Split | | For | | | | |
| | | | 3 | Scott E. Wennerholm | Split | | For | | | | |
| | EATON VANCE FLOATING RATE | |
| | Security | 278284104 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | EFF | | | | | | | Meeting Date | 16-Apr-2020 |
| | ISIN | US2782841041 | | | | | | | Agenda | 935149458 - Management |
| | Record Date | 02-Mar-2020 | | | | | | | Holding Recon Date | 02-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | |
| | | | 2 | Cynthia E. Frost | Split | | For | | | | |
| | | | 3 | Scott E. Wennerholm | Split | | For | | | | |
| | 2. | A non-binding shareholder proposal that the
Board take the necessary steps to
declassify the Board of Trustees of the
Fund so that all Trustees are elected on an
annual basis. | Shareholder | Split | | Against | | | | |
| | EATON VANCE FLOATING RATE | |
| | Security | 278284104 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | EFF | | | | | | | Meeting Date | 16-Apr-2020 |
| | ISIN | US2782841041 | | | | | | | Agenda | 935149458 - Management |
| | Record Date | 02-Mar-2020 | | | | | | | Holding Recon Date | 02-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Thomas E. Faust Jr. | Split | | For | | | | |
| | | | 2 | Cynthia E. Frost | Split | | For | | | | |
| | | | 3 | Scott E. Wennerholm | Split | | For | | | | |
| | 2. | A non-binding shareholder proposal that the
Board take the necessary steps to
declassify the Board of Trustees of the
Fund so that all Trustees are elected on an
annual basis. | Shareholder | Split | | Against | | | | |
| | EATON VANCE FLOATING RATE | |
| | Security | 278284104 | | | | | | | Meeting Type | Contested-Annual |
| | Ticker Symbol | EFF | | | | | | | Meeting Date | 16-Apr-2020 |
| | ISIN | US2782841041 | | | | | | | Agenda | 935149460 - Opposition |
| | Record Date | 02-Mar-2020 | | | | | | | Holding Recon Date | 02-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 15-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | David Basile | Split | | For | | | | |
| | | | 2 | Peter Borish | Split | | For | | | | |
| | | | 3 | Charles Clarvit | Split | | For | | | | |
| | 2. | For the Board to consider declassifying the
Board so that all trustees are elected on an
annual basis starting at the next annual
meeting of shareholders. | Management | Split | | For | | | | |
| | CORNERSTONE STRATEGIC VALUE FUND, INC. | |
| | Security | 21924B302 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | CLM | | | | | | | Meeting Date | 21-Apr-2020 |
| | ISIN | US21924B3024 | | | | | | | Agenda | 935135598 - Management |
| | Record Date | 18-Feb-2020 | | | | | | | Holding Recon Date | 18-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 20-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | | | | | | | |
| | | | 1 | Marcia E. Malzahn | | | For | | | | |
| | | | 2 | Ralph W. Bradshaw | | | For | | | | |
| | 2. | In their discretion, the proxies are
authorized to consider and vote upon such
other matters as may properly come before
the said Meeting or any adjournment
thereof. | Management | | | For | | | | |
| | NUVEEN PREFERED & CONVERTIBLE INCOME 2 | |
| | Security | 67073D102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | JQC | | | | | | | Meeting Date | 22-Apr-2020 |
| | ISIN | US67073D1028 | | | | | | | Agenda | 935139382 - Management |
| | Record Date | 13-Jan-2020 | | | | | | | Holding Recon Date | 13-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1B. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | John K. Nelson | Split | | For | | | | |
| | | | 2 | Terence J. Toth | Split | | For | | | | |
| | | | 3 | Robert L. Young | Split | | For | | | | |
| | NUVEEN PREFERED & CONVERTIBLE INCOME 2 | |
| | Security | 67073D102 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | JQC | | | | | | | Meeting Date | 22-Apr-2020 |
| | ISIN | US67073D1028 | | | | | | | Agenda | 935139382 - Management |
| | Record Date | 13-Jan-2020 | | | | | | | Holding Recon Date | 13-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1B. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | John K. Nelson | Split | | For | | | | |
| | | | 2 | Terence J. Toth | Split | | For | | | | |
| | | | 3 | Robert L. Young | Split | | For | | | | |
| | NUVEEN INTER DUR QLTY MUNI TERM FD | |
| | Security | 670677103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NIQ | | | | | | | Meeting Date | 22-Apr-2020 |
| | ISIN | US6706771036 | | | | | | | Agenda | 935139394 - Management |
| | Record Date | 13-Jan-2020 | | | | | | | Holding Recon Date | 13-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | John K. Nelson | Split | | For | | | | |
| | | | 2 | Terence J. Toth | Split | | For | | | | |
| | | | 3 | Robert L. Young | Split | | For | | | | |
| | NUVEEN GEORGIA QUALITY MUNICIPAL INC FD | |
| | Security | 67072B107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NKG | | | | | | | Meeting Date | 22-Apr-2020 |
| | ISIN | US67072B1070 | | | | | | | Agenda | 935139394 - Management |
| | Record Date | 13-Jan-2020 | | | | | | | Holding Recon Date | 13-Jan-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | John K. Nelson | Split | | For | | | | |
| | | | 2 | Terence J. Toth | Split | | For | | | | |
| | | | 3 | Robert L. Young | Split | | For | | | | |
| | PUTNAM MUNICIPAL OPPORTUNITIES TRUST | |
| | Security | 746922103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PMO | | | | | | | Meeting Date | 24-Apr-2020 |
| | ISIN | US7469221037 | | | | | | | Agenda | 935168890 - Management |
| | Record Date | 06-Feb-2020 | | | | | | | Holding Recon Date | 06-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 23-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Fixing the number of Trustees at 11. | Management | Split | | For | | | | |
| | 1B. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Liaquat Ahamed | Split | | For | | | | |
| | | | 2 | Ravi Akhoury | Split | | For | | | | |
| | | | 3 | Barbara M. Baumann | Split | | For | | | | |
| | | | 4 | Catharine Bond Hill | Split | | For | | | | |
| | | | 5 | Paul L. Joskow | Split | | For | | | | |
| | | | 6 | Kenneth R. Leibler | Split | | For | | | | |
| | | | 7 | Robert L. Reynolds | Split | | For | | | | |
| | | | 8 | Manoj P. Singh | Split | | For | | | | |
| | | | 9 | Mona K. Sutphen | Split | | For | | | | |
| | PUTNAM MUNICIPAL OPPORTUNITIES TRUST | |
| | Security | 746922103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | PMO | | | | | | | Meeting Date | 24-Apr-2020 |
| | ISIN | US7469221037 | | | | | | | Agenda | 935168890 - Management |
| | Record Date | 06-Feb-2020 | | | | | | | Holding Recon Date | 06-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 23-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Fixing the number of Trustees at 11. | Management | Split | | For | | | | |
| | 1B. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Liaquat Ahamed | Split | | For | | | | |
| | | | 2 | Ravi Akhoury | Split | | For | | | | |
| | | | 3 | Barbara M. Baumann | Split | | For | | | | |
| | | | 4 | Catharine Bond Hill | Split | | For | | | | |
| | | | 5 | Paul L. Joskow | Split | | For | | | | |
| | | | 6 | Kenneth R. Leibler | Split | | For | | | | |
| | | | 7 | Robert L. Reynolds | Split | | For | | | | |
| | | | 8 | Manoj P. Singh | Split | | For | | | | |
| | | | 9 | Mona K. Sutphen | Split | | For | | | | |
| | BARINGS BDC, INC. | |
| | Security | 06759L103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BBDC | | | | | | | Meeting Date | 30-Apr-2020 |
| | ISIN | US06759L1035 | | | | | | | Agenda | 935146046 - Management |
| | Record Date | 03-Mar-2020 | | | | | | | Holding Recon Date | 03-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 29-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Class II Director: Michael Freno | Management | Split | | For | | | | |
| | 1B. | Election of Class II Director: John A.
Switzer | Management | Split | | For | | | | |
| | 2. | To authorize the Company, with
subsequent approval of its Board of
Directors, to issue and sell shares of its
common stock at a price below its then
current net asset value per share in one or
more offerings, subject to certain limitations
(including, without limitation, that the
number of shares does not exceed 25% of
its then outstanding common stock
immediately prior to each such offering). | Management | Split | | For | | | | |
| | BARINGS BDC, INC. | |
| | Security | 06759L103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | BBDC | | | | | | | Meeting Date | 30-Apr-2020 |
| | ISIN | US06759L1035 | | | | | | | Agenda | 935146046 - Management |
| | Record Date | 03-Mar-2020 | | | | | | | Holding Recon Date | 03-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 29-Apr-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Class II Director: Michael Freno | Management | Split | | For | | | | |
| | 1B. | Election of Class II Director: John A.
Switzer | Management | Split | | For | | | | |
| | 2. | To authorize the Company, with
subsequent approval of its Board of
Directors, to issue and sell shares of its
common stock at a price below its then
current net asset value per share in one or
more offerings, subject to certain limitations
(including, without limitation, that the
number of shares does not exceed 25% of
its then outstanding common stock
immediately prior to each such offering). | Management | Split | | For | | | | |
| | WEALTHBRIDGE ACQUISITION LIMITED | |
| | Security | G4887W110 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | HHHH | | | | | | | Meeting Date | 05-May-2020 |
| | ISIN | VGG4887W1106 | | | | | | | Agenda | 935193615 - Management |
| | Record Date | 09-Apr-2020 | | | | | | | Holding Recon Date | 09-Apr-2020 |
| | City / | Country | | | / | Hong Kong | | | | | Vote Deadline Date | 04-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | | | | | | | | | | | | | | | | | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To approve the share exchange agreement
dated as of October 28, 2019 (as may be
amended or supplemented from time to
time, the "Share Exchange Agreement")
among Wealthbridge, Scienjoy Inc.
("Scienjoy"), Lavacano Holdings Limited
("Lavacano"), WBY Entertainment Holdings
Ltd. ("WBY," together with Lavacano, the
"Sellers", and each "Seller") and the
transactions contemplated thereunder,
including but not limited to the acquisition of
all of the issued and outstanding shares
and ...(due to space limits, see proxy
material for full proposal). | Management | For | | For | | | | |
| | 2. | To approve as a shareholder resolution to
change of Wealthbridge's name to Scienjoy
Holding Corporation and the adoption of the
Third Amended and Restated Memorandum
and Articles of Association of Wealthbridge
as further described herein. This proposal is
referred to as the "Amendment Proposal" or
"Proposal No. 2." | Management | For | | For | | | | |
| | 3. | To approve the issuance of more than 20%
of the issued and outstanding ordinary
shares of Wealthbridge pursuant to the
terms of the Share Exchange Agreement,
as required by Nasdaq Listing Rules
5635(a) and (d). This proposal is referred to
as the "Nasdaq Proposal" or "Proposal 3." | Management | For | | For | | | | |
| | 4. | To approve the adjournment of the
extraordinary general meeting in the event
Wealthbridge does not receive the requisite
shareholder vote to approve the Business
Combination. This proposal is called the
"Business Combination Adjournment
Proposal" or "Proposal 4". | Management | For | | For | | | | |
| | ABERDEEN FUNDS | |
| | Security | 00326L100 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | AOD | | | | | | | Meeting Date | 06-May-2020 |
| | ISIN | US00326L1008 | | | | | | | Agenda | 935157683 - Management |
| | Record Date | 27-Feb-2020 | | | | | | | Holding Recon Date | 27-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 05-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Class III Trustee to serve until
the 2023 Annual Meeting of Shareholders:
Nancy Yao Maasbach | Management | Split | | For | | | | |
| | 1B. | Election of Class III Trustee to serve until
the 2023 Annual Meeting of Shareholders:
Martin J. Gilbert | Management | Split | | For | | | | |
| | KAYNE ANDERSON MLP/MIDSTREAM INV CO | |
| | Security | 486606106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | KYN | | | | | | | Meeting Date | 07-May-2020 |
| | ISIN | US4866061066 | | | | | | | Agenda | 935138114 - Management |
| | Record Date | 14-Feb-2020 | | | | | | | Holding Recon Date | 14-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 06-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | | For | | | | |
| | 1B. | Election of Director: BARRY R. PEARL | Management | Split | | For | | | | |
| | 2. | THE RATIFICATION OF THE SELECTION
OF PRICEWATERHOUSECOOPERS LLP
AS KYN'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING NOVEMBER 30,
2020. | Management | Split | | For | | | | |
| | KAYNE ANDERSON MLP/MIDSTREAM INV CO | |
| | Security | 486606106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | KYN | | | | | | | Meeting Date | 07-May-2020 |
| | ISIN | US4866061066 | | | | | | | Agenda | 935138114 - Management |
| | Record Date | 14-Feb-2020 | | | | | | | Holding Recon Date | 14-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 06-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | | For | | | | |
| | 1B. | Election of Director: BARRY R. PEARL | Management | Split | | For | | | | |
| | 2. | THE RATIFICATION OF THE SELECTION
OF PRICEWATERHOUSECOOPERS LLP
AS KYN'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING NOVEMBER 30,
2020. | Management | Split | | For | | | | |
| | KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC | |
| | Security | 48661E108 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | KMF | | | | | | | Meeting Date | 07-May-2020 |
| | ISIN | US48661E1082 | | | | | | | Agenda | 935138126 - Management |
| | Record Date | 14-Feb-2020 | | | | | | | Holding Recon Date | 14-Feb-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 06-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | | For | | | | |
| | 1B. | Election of Director: BARRY R. PEARL | Management | Split | | For | | | | |
| | 2. | THE RATIFICATION OF THE SELECTION
OF PRICEWATERHOUSECOOPERS LLP
AS KMF'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING NOVEMBER 30,
2020. | Management | Split | | For | | | | |
| | COHEN & STEERS SELECT UTILITY FUND, INC. | |
| | Security | 19248A109 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | UTF | | | | | | | Meeting Date | 14-May-2020 |
| | ISIN | US19248A1097 | | | | | | | Agenda | 935144458 - Management |
| | Record Date | 02-Mar-2020 | | | | | | | Holding Recon Date | 02-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 13-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Michael G. Clark | Split | | For | | | | |
| | | | 2 | Dean A. Junkans | Split | | For | | | | |
| | COHEN & STEERS QUALITY INC RLTY, FD INC. | |
| | Security | 19247L106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | RQI | | | | | | | Meeting Date | 14-May-2020 |
| | ISIN | US19247L1061 | | | | | | | Agenda | 935144458 - Management |
| | Record Date | 02-Mar-2020 | | | | | | | Holding Recon Date | 02-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 13-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Michael G. Clark | Split | | For | | | | |
| | | | 2 | Dean A. Junkans | Split | | For | | | | |
| | PURE ACQUISITION CORP. | |
| | Security | 74621Q106 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | PACQ | | | | | | | Meeting Date | 15-May-2020 |
| | ISIN | US74621Q1067 | | | | | | | Agenda | 935214483 - Management |
| | Record Date | 28-Apr-2020 | | | | | | | Holding Recon Date | 28-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 14-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1) | The Extension Amendment Proposal - To
amend the Company's second amended
and restated certificate of incorporation to
extend the date by which the Company has
to consummate a business combination
from May 21, 2020 to August 21, 2020, or
such earlier date as determined by the
Board. | Management | For | | For | | | | |
| | 2) | The Adjournment Proposal - To approve the
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of proposal 1. | Management | For | | For | | | | |
| | SOURCE CAPITAL, INC. | |
| | Security | 836144105 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | SOR | | | | | | | Meeting Date | 22-May-2020 |
| | ISIN | US8361441053 | | | | | | | Agenda | 935152847 - Management |
| | Record Date | 16-Mar-2020 | | | | | | | Holding Recon Date | 16-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Atwood | Split | | For | | | | |
| | | | 2 | Brown | Split | | For | | | | |
| | | | 3 | Lipson | Split | | For | | | | |
| | | | 4 | Osborne | Split | | For | | | | |
| | | | 5 | Pisano | Split | | For | | | | |
| | | | 6 | Purcell | Split | | For | | | | |
| | 2A. | To approve the amendment or elimination
of the fundamental investment restrictions:
Commodities and Real Estate | Management | Split | | For | | | | |
| | 2B. | To approve the amendment or elimination
of the fundamental investment restrictions:
Senior Securities and Borrowing | Management | Split | | For | | | | |
| | 2C. | To approve the amendment or elimination
of the fundamental investment restrictions:
Concentration of Investments | Management | Split | | For | | | | |
| | 2D. | To approve the amendment or elimination
of the fundamental investment restrictions:
Making Loans | Management | Split | | For | | | | |
| | 2E. | To approve the amendment or elimination
of the fundamental investment restrictions:
Underwriting | Management | Split | | For | | | | |
| | 2F. | To approve the amendment or elimination
of the fundamental investment restrictions:
Concentration Limits | Management | Split | | For | | | | |
| | 2G. | To approve the amendment or elimination
of the fundamental investment restrictions:
Short Sales and Purchases of Securities on
Margin | Management | Split | | For | | | | |
| | 2H. | To approve the amendment or elimination
of the fundamental investment restrictions:
Investments in which a Director or Officer is
Invested | Management | Split | | For | | | | |
| | 2I. | To approve the amendment or elimination
of the fundamental investment restrictions:
Writing and Selling Options | Management | Split | | For | | | | |
| | 2J. | To approve the amendment or elimination
of the fundamental investment restrictions:
Investments in Other Investment
Companies | Management | Split | | For | | | | |
| | 2K. | To approve the amendment or elimination
of the fundamental investment restrictions:
Investments in Securities for Which Market
Quotations Are Not Readily Available | Management | Split | | For | | | | |
| | 2L. | To approve the amendment or elimination
of the fundamental investment restrictions:
Purchases of Certain Restricted Securities | Management | Split | | For | | | | |
| | SOURCE CAPITAL, INC. | |
| | Security | 836144105 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | SOR | | | | | | | Meeting Date | 22-May-2020 |
| | ISIN | US8361441053 | | | | | | | Agenda | 935152847 - Management |
| | Record Date | 16-Mar-2020 | | | | | | | Holding Recon Date | 16-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 21-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Atwood | Split | | For | | | | |
| | | | 2 | Brown | Split | | For | | | | |
| | | | 3 | Lipson | Split | | For | | | | |
| | | | 4 | Osborne | Split | | For | | | | |
| | | | 5 | Pisano | Split | | For | | | | |
| | | | 6 | Purcell | Split | | For | | | | |
| | 2A. | To approve the amendment or elimination
of the fundamental investment restrictions:
Commodities and Real Estate | Management | Split | | For | | | | |
| | 2B. | To approve the amendment or elimination
of the fundamental investment restrictions:
Senior Securities and Borrowing | Management | Split | | For | | | | |
| | 2C. | To approve the amendment or elimination
of the fundamental investment restrictions:
Concentration of Investments | Management | Split | | For | | | | |
| | 2D. | To approve the amendment or elimination
of the fundamental investment restrictions:
Making Loans | Management | Split | | For | | | | |
| | 2E. | To approve the amendment or elimination
of the fundamental investment restrictions:
Underwriting | Management | Split | | For | | | | |
| | 2F. | To approve the amendment or elimination
of the fundamental investment restrictions:
Concentration Limits | Management | Split | | For | | | | |
| | 2G. | To approve the amendment or elimination
of the fundamental investment restrictions:
Short Sales and Purchases of Securities on
Margin | Management | Split | | For | | | | |
| | 2H. | To approve the amendment or elimination
of the fundamental investment restrictions:
Investments in which a Director or Officer is
Invested | Management | Split | | For | | | | |
| | 2I. | To approve the amendment or elimination
of the fundamental investment restrictions:
Writing and Selling Options | Management | Split | | For | | | | |
| | 2J. | To approve the amendment or elimination
of the fundamental investment restrictions:
Investments in Other Investment
Companies | Management | Split | | For | | | | |
| | 2K. | To approve the amendment or elimination
of the fundamental investment restrictions:
Investments in Securities for Which Market
Quotations Are Not Readily Available | Management | Split | | For | | | | |
| | 2L. | To approve the amendment or elimination
of the fundamental investment restrictions:
Purchases of Certain Restricted Securities | Management | Split | | For | | | | |
| | THE INDIA FUND, INC. | |
| | Security | 454089103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | IFN | | | | | | | Meeting Date | 27-May-2020 |
| | ISIN | US4540891037 | | | | | | | Agenda | 935199441 - Management |
| | Record Date | 26-Mar-2020 | | | | | | | Holding Recon Date | 26-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1.1 | Election of Class II Director to serve until
the 2023 Annual Meeting of Stockholders:
Nisha Kumar | Management | Split | | For | | | | |
| | 1.2 | Election of Class II Director to serve until
the 2023 Annual Meeting of Stockholders:
Luis Rubio | Management | Split | | For | | | | |
| | THE INDIA FUND, INC. | |
| | Security | 454089103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | IFN | | | | | | | Meeting Date | 27-May-2020 |
| | ISIN | US4540891037 | | | | | | | Agenda | 935199441 - Management |
| | Record Date | 26-Mar-2020 | | | | | | | Holding Recon Date | 26-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1.1 | Election of Class II Director to serve until
the 2023 Annual Meeting of Stockholders:
Nisha Kumar | Management | Split | | For | | | | |
| | 1.2 | Election of Class II Director to serve until
the 2023 Annual Meeting of Stockholders:
Luis Rubio | Management | Split | | For | | | | |
| | TEMPLETON GLOBAL INCOME FUND | |
| | Security | 880198106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GIM | | | | | | | Meeting Date | 28-May-2020 |
| | ISIN | US8801981064 | | | | | | | Agenda | 935159093 - Management |
| | Record Date | 12-Mar-2020 | | | | | | | Holding Recon Date | 12-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 27-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Edith E. Holiday | Split | | For | | | | |
| | | | 2 | J. Michael Luttig | Split | | For | | | | |
| | | | 3 | C.D. Tseretopoulos | Split | | For | | | | |
| | 2. | The ratification of the selection of
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Fund for the fiscal year ending
December 31, 2020. | Management | Split | | For | | | | |
| | TEMPLETON GLOBAL INCOME FUND | |
| | Security | 880198106 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | GIM | | | | | | | Meeting Date | 28-May-2020 |
| | ISIN | US8801981064 | | | | | | | Agenda | 935159093 - Management |
| | Record Date | 12-Mar-2020 | | | | | | | Holding Recon Date | 12-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 27-May-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Edith E. Holiday | Split | | For | | | | |
| | | | 2 | J. Michael Luttig | Split | | For | | | | |
| | | | 3 | C.D. Tseretopoulos | Split | | For | | | | |
| | 2. | The ratification of the selection of
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Fund for the fiscal year ending
December 31, 2020. | Management | Split | | For | | | | |
| | PROFICIENT ALPHA ACQUISITION CORP. | |
| | Security | 74317H204 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | PAACU | | | | | | | Meeting Date | 03-Jun-2020 |
| | ISIN | US74317H2040 | | | | | | | Agenda | 935224408 - Management |
| | Record Date | 27-Apr-2020 | | | | | | | Holding Recon Date | 27-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | The Extension Amendment Proposal: To
amend the amended and restated articles
of incorporation of Proficient Alpha
Acquisition Corp. ("Proficient") to extend the
date by which Proficient has to
consummate a business combination from
June 3, 2020 to September 3, 2020. | Management | For | | For | | | | |
| | 2. | The Adjournment Proposal: To adjourn the
special meeting of Proficient stockholders to
a later date or dates, if necessary, to permit
further solicitation and vote of Proxies if,
based upon the tabulated vote at the time of
the special meeting, there are not sufficient
votes to approve the Extension Amendment
Proposal. | Management | For | | For | | | | |
| | PROFICIENT ALPHA ACQUISITION CORP. | |
| | Security | 74317H204 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | PAACU | | | | | | | Meeting Date | 03-Jun-2020 |
| | ISIN | US74317H2040 | | | | | | | Agenda | 935227353 - Management |
| | Record Date | 27-Apr-2020 | | | | | | | Holding Recon Date | 27-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 02-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | The Business Combination Proposal - To
consider and vote upon a proposal to
approve and adopt the First Amended and
Restated Business Combination
Agreement, dated as of May 12, 2020, by
and among Proficient Alpha Acquisition
Corp., Lion Group Holding Ltd., Lion
MergerCo I, Inc., Lion Financial Group
Limited and the other parties thereto, and
the transactions contemplated thereby (the
"Business Combination"). | Management | For | | For | | | | |
| | 2. | The Share Issuance Proposal - To consider
and vote upon a proposal, if necessary, to
approve, for purposes of complying with
applicable Nasdaq Stock Market LLC listing
rules, the issuance of more than 20% of the
issued and outstanding shares of common
stock of Proficient Alpha Acquisition Corp.
in financing transactions in connection with
the Business Combination. | Management | For | | For | | | | |
| | 3. | The Adjournment Proposal - To consider
and vote upon a proposal to adjourn the
special meeting of stockholders to a later
date or dates, if necessary, to permit further
solicitation and vote of proxies if, based
upon the tabulated vote at the time of the
meeting, there are not sufficient votes to
approve the Business Combination
Proposal and the Share Issuance Proposal,
as applicable. | Management | For | | For | | | | |
| | LEGACY ACQUISITION CORP. | |
| | Security | 524643111 | | | | | | | Meeting Type | Consent |
| | Ticker Symbol | LGCWS | | | | | | | Meeting Date | 08-Jun-2020 |
| | ISIN | US5246431119 | | | | | | | Agenda | 935222416 - Management |
| | Record Date | 20-Mar-2020 | | | | | | | Holding Recon Date | 20-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 05-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | To approve amendments to that certain
Warrant Agreement, dated as of November
16, 2017, between the Company and
Continental Stock Transfer & Trust
Company (the "Warrant Agreement"), which
amendments provide, among other things. | Management | For | | For | | | | |
| | SCHULTZE SPECIAL PURPOSE ACQUISITION | |
| | Security | 80821R109 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | SAMA | | | | | | | Meeting Date | 09-Jun-2020 |
| | ISIN | US80821R1095 | | | | | | | Agenda | 935224307 - Management |
| | Record Date | 08-May-2020 | | | | | | | Holding Recon Date | 08-May-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 08-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | The Charter Amendment: To amend the
Company's amended and restated
certificate of incorporation to extend the
date by which the Company has to
consummate a business combination from
June 13, 2020 to September 30, 2020. | Management | For | | For | | | | |
| | 2. | DIRECTOR | Management | | | | | | | |
| | | | 1 | William G. LaPerch | For | | For | | | | |
| | | | 2 | William T. Allen | For | | For | | | | |
| | 3. | The Auditor Proposal: To ratify the selection
by our audit committee of Marcum LLP to
serve as the Company's independent
registered public accounting firm for the
fiscal year ending December 31, 2020. | Management | For | | For | | | | |
| | HIGHLAND FUNDS | |
| | Security | 43010E404 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | HFRO | | | | | | | Meeting Date | 12-Jun-2020 |
| | ISIN | US43010E4044 | | | | | | | Agenda | 935209177 - Management |
| | Record Date | 16-Apr-2020 | | | | | | | Holding Recon Date | 16-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 11-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Dr. Bob Froehlich | Split | | For | | | | |
| | HIGHLAND FUNDS | |
| | Security | 43010E404 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | HFRO | | | | | | | Meeting Date | 12-Jun-2020 |
| | ISIN | US43010E4044 | | | | | | | Agenda | 935209177 - Management |
| | Record Date | 16-Apr-2020 | | | | | | | Holding Recon Date | 16-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 11-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Dr. Bob Froehlich | Split | | For | | | | |
| | HIGHLAND FUNDS | |
| | Security | 43010T104 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | HGLB | | | | | | | Meeting Date | 12-Jun-2020 |
| | ISIN | US43010T1043 | | | | | | | Agenda | 935212580 - Management |
| | Record Date | 16-Apr-2020 | | | | | | | Holding Recon Date | 16-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 11-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Dr. Bob Froehlich | Split | | For | | | | |
| | HIGHLAND FUNDS | |
| | Security | 43010T104 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | HGLB | | | | | | | Meeting Date | 12-Jun-2020 |
| | ISIN | US43010T1043 | | | | | | | Agenda | 935212580 - Management |
| | Record Date | 16-Apr-2020 | | | | | | | Holding Recon Date | 16-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 11-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Dr. Bob Froehlich | Split | | For | | | | |
| | CF FINANCE ACQUISITION CORP. | |
| | Security | 12528N107 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | CFFA | | | | | | | Meeting Date | 15-Jun-2020 |
| | ISIN | US12528N1072 | | | | | | | Agenda | 935222327 - Management |
| | Record Date | 06-May-2020 | | | | | | | Holding Recon Date | 06-May-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 12-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | Extension Amendment Proposal: Amend
the Company's amended and restated
certificate of incorporation to extend the
date that the Company has to consummate
a business combination from June 17, 2020
to September 17, 2020 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 | | | | |
| | ARES CAPITAL CORPORATION | |
| | Security | 04010L103 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | ARCC | | | | | | | Meeting Date | 22-Jun-2020 |
| | ISIN | US04010L1035 | | | | | | | Agenda | 935167999 - Management |
| | Record Date | 25-Mar-2020 | | | | | | | Holding Recon Date | 25-Mar-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 19-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1A. | Election of Director: Michael J Arougheti | Management | Split | | For | | | | |
| | 1B. | Election of Director: Ann Torre Bates | Management | Split | | For | | | | |
| | 1C. | Election of Director: Steven B McKeever | Management | Split | | For | | | | |
| | 2. | To ratify the selection of KPMG LLP as the
Company's independent registered public
accounting firm for the year ending
December 31, 2020. | Management | Split | | For | | | | |
| | ACT II GLOBAL ACQUISITION CORP | |
| | Security | G0080J104 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | ACTT | | | | | | | Meeting Date | 24-Jun-2020 |
| | ISIN | KYG0080J1040 | | | | | | | Agenda | 935222341 - Management |
| | Record Date | 01-May-2020 | | | | | | | Holding Recon Date | 01-May-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 23-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | E1. | The Business Combination Proposal - To
approve by ordinary resolution and adopt
the purchase agreement, dated as of
December 19, 2019 and as amended on
February 12, 2020 ("Purchase Agreement"),
by and among Act II, Flavors Holdings Inc.
("Flavors Holdings"), MW Holdings I LLC
("MW Holdings I"), MW Holdings III LLC
("MW Holdings III") and Mafco Foreign
Holdings, Inc. (together with Flavors
Holdings, MW Holdings I and MW Holdings
III, "Sellers"), & for purposes of Amendment
No. 2 to the Purchase Agreement, Project
Taste Intermediate LLC. | Management | For | | For | | | | |
| | E2. | The Domestication Proposal - To approve
by special resolution, the change of Act II's
jurisdiction of incorporation by deregistering
as an exempted company in the Cayman
Islands and continuing and domesticating
as a corporation incorporated under the
laws of the State of Delaware (the
"Domestication"). | Management | For | | For | | | | |
| | E3. | Organizational Documents Proposal - To
approve by special resolution, the following
material differences between Act II's
Amended and Restated Memorandum and
Articles of Association and the proposed
new certificate of incorporation and the
proposed new bylaws of Act II Global
Acquisition Corp., which will be renamed
"Whole Earth Brands, Inc." in connection
with the Business Combination (Act II after
the Domestication, including after such
change of name, is referred to herein as
"Whole Earth Brands, Inc."). | Management | For | | For | | | | |
| | E4. | The Stock Issuance Proposal - To approve
by ordinary resolution, for the purposes of
complying with the applicable provisions of
Nasdaq Listing Rule 5635, the issuance of
shares of Whole Earth Brands, Inc.
common stock to the Sellers in connection
with the Business Combination and any
person or entity in connection with any
incremental equity issuances, to the extent
such issuances would require a shareholder
vote under Nasdaq Listing Rule 5635. | Management | For | | For | | | | |
| | E5. | The Incentive Award Plan Proposal - To
approve by ordinary resolution, the Whole
Earth Brands, Inc. 2020 Long-Term
Incentive Award Plan. | Management | For | | For | | | | |
| | E6. | The Adjournment Proposal - To approve the
adjournment of the Shareholders Meeting to
a later date or dates, if necessary, to permit
further solicitation and vote of proxies in the
event that there are insufficient votes for the
approval of one or more proposals at the
Shareholders Meeting. | Management | For | | For | | | | |
| | ACT II GLOBAL ACQUISITION CORP | |
| | Security | G0080J120 | | | | | | | Meeting Type | Special |
| | Ticker Symbol | ACTTW | | | | | | | Meeting Date | 24-Jun-2020 |
| | ISIN | KYG0080J1206 | | | | | | | Agenda | 935222353 - Management |
| | Record Date | 01-May-2020 | | | | | | | Holding Recon Date | 01-May-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 23-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | S1. | The Warrant Amendment Proposal - To
approve and adopt an amendment (the
"Warrant Amendment") to the warrant
agreement that governs all of Act II's
outstanding warrants to provide that,
immediately prior to the consummation of
the Business Combination (as defined in
the proxy statement/prospectus). | Management | For | | For | | | | |
| | S2. | The Warrant Holders Adjournment Proposal
- To approve a proposal to adjourn the
Warrant Holders Meeting to a later date or
dates, if necessary, to permit further
solicitation and vote of proxies if it is
determined by Act II that more time is
necessary or appropriate to approve the
Warrant Amendment Proposal. | Management | For | | For | | | | |
| | PIMCO FUNDS | |
| | Security | 69346N107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NRGX | | | | | | | Meeting Date | 29-Jun-2020 |
| | ISIN | US69346N1072 | | | | | | | Agenda | 935224802 - Management |
| | Record Date | 30-Apr-2020 | | | | | | | Holding Recon Date | 30-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Sarah E. Cogan | Split | | For | | | | |
| | | | 2 | Joseph B. Kittredge, Jr | Split | | For | | | | |
| | | | 3 | John C. Maney | Split | | For | | | | |
| | | | 4 | William B. Ogden, IV | Split | | For | | | | |
| | PIMCO FUNDS | |
| | Security | 69346N107 | | | | | | | Meeting Type | Annual |
| | Ticker Symbol | NRGX | | | | | | | Meeting Date | 29-Jun-2020 |
| | ISIN | US69346N1072 | | | | | | | Agenda | 935224802 - Management |
| | Record Date | 30-Apr-2020 | | | | | | | Holding Recon Date | 30-Apr-2020 |
| | City / | Country | | | / | United
States | | | | | Vote Deadline Date | 26-Jun-2020 |
| | SEDOL(s) | | | | | Quick Code | |
| | Item | Proposal | | Proposed
by | Vote | Management
Recommendation | | | | |
| | 1. | DIRECTOR | Management | Split | | | | | | |
| | | | 1 | Sarah E. Cogan | Split | | For | | | | |
| | | | 2 | Joseph B. Kittredge, Jr | Split | | For | | | | |
| | | | 3 | John C. Maney | Split | | For | | | | |
| | | | 4 | William B. Ogden, IV | Split | | For | | | | |
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
