UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED
MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-23179
The Relative Value Fund
(Exact name of registrant as specified in charter)
c/o UMB Fund Services, Inc.
235 West Galena Street
Milwaukee, WI 53212
(Address of principal executive offices) (Zip code)
Ann Maurer
235 W. Galena Street
Milwaukee, WI 53212
(414) 299-2217
(Name and address of agent for service)
Registrant's telephone number, including area code: 414.299.2217
Date of fiscal year end: March 31
Date of reporting period: July 1, 2020 - June 30, 2021
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 (17CFR 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
For The Relative Value Fund
| 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 |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Thomas Benninger | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Jan Jones Blackhurst | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Juliana Chugg | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Denise Clark | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Keith Cozza | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director John Dionne | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director James Hunt | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Don Kornstein | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Courtney R. Mather | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director James Nelson | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Elect Director Anthony Rodio | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Caesars Entertainment Corporation | CZR | 127686AA1 | 24-Jul-20 | Ratify Deloitte & Touche LLP as Auditor | Yes | For | For |
| Advanced Disposal Services, Inc. | ADSW | 00790X101 | 25-Aug-20 | Approve Merger Agreement | Yes | For | For |
| Advanced Disposal Services, Inc. | ADSW | 00790X101 | 25-Aug-20 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Advanced Disposal Services, Inc. | ADSW | 00790X101 | 25-Aug-20 | Adjourn Meeting | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director Robert J. Palmisano | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director David D. Stevens | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director Gary D. Blackford | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director J. Patrick Mackin | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director John L. Miclot | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director Kevin C. O'Boyle | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director Amy S. Paul | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director Richard F. Wallman | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Elect Director Elizabeth H. Weatherman | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Ratify KPMG LLP as Auditor | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Ratify KPMG N.V. as Auditor | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Adopt Financial Statements and Statutory Reports | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Approve Discharge of Management Board | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Authorize Board to Issue Shares | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Authorize Board to Exclude Preemptive Rights from Share Issuances | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 28-Oct-20 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 30-Dec-20 | Approve Merger Agreement | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 30-Dec-20 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 30-Dec-20 | Adjourn Meeting | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director Vicky A. Bailey | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director Norman P. Becker | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director Patricia K. Collawn | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director E. Renae Conley | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director Alan J. Fohrer | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director Sidney M. Gutierrez | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director James A. Hughes | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director Maureen T. Mullarkey | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Elect Director Donald K. Schwanz | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Ratify KPMG LLP as Auditors | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| PNM Resources, Inc. | PNM | 69349H107 | 11-May-21 | Report on Costs and Benefits of Environmental Related Expenditures | Yes | Against | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Anna C. Catalano | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Victor F. Ganzi | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director John J. Haley | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Wendy E. Lane | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Brendan R. O'Neill | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Jaymin B. Patel | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Linda D. Rabbitt | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Paul D. Thomas | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Elect Director Wilhelm Zeller | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Ratify the Appointment of Deloitte & Touche LLP as Auditor and Deloitte Ireland LLP to audit the Irish Statutory Accounts, and Authorize the Board to Fix Their Remuneration | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Renew the Board's Authority to Issue Shares Under Irish Law | Yes | For | For |
| Willis Towers Watson Public Limited Company | WLTW | G96629103 | 11-May-21 | Renew the Board's Authority to Opt-Out of Statutory Pre-Emptions Rights | Yes | For | For |
| FLIR Systems, Inc. | FLIR | 302445101 | 13-May-21 | Approve Merger Agreement | Yes | For | For |
| FLIR Systems, Inc. | FLIR | 302445101 | 13-May-21 | Advisory Vote on Golden Parachutes | Yes | For | For |
| FLIR Systems, Inc. | FLIR | 302445101 | 13-May-21 | Adjourn Meeting | Yes | For | For |
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Paul S. Atkins | Yes | Withhold | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Paul S. Atkins | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Paul S. Atkins | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Dominic Garcia | Yes | Withhold | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Dominic Garcia | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Dominic Garcia | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Paul J. Williams | Yes | Withhold | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Paul J. Williams | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Paul J. Williams | Yes | Withhold | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Stephen L. Nesbitt | Yes | Withhold | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Stephen L. Nesbitt | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Elect Director Stephen L. Nesbitt | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crescent Capital Group LP | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Barings, LLC | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and HPS Investment Partners, LLC | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Crestline Management, L.P. | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | For | For | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Abstain | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Against | Against | ||
| Cliffwater Corporate Lending Fund | 27-May-21 | Approve Sub-Advisory Agreement with Cliffwater LLC and Commonwealth Credit Advisors, LLC | Yes | Against | Against |
Vote Summary
| ||||||||||||||||||||||||||||||||
| LEGG MASON | ||||||||||||||||||||||||||||||||
| Security | 18469Q108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | CTR | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US18469Q1085 | Agenda | 935194706 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | Split | Split | ||||||||||||||||||||||||||||
| 2B. | To approve a New Subadvisory Agreement with: ClearBridge Investments, LLC | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,830 | 0 | 04-Jun-2020 | 04-Jun-2020 | |||||||||||||||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | ||||||||||||||||||||||||||||||||
| Security | 95766B109 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US95766B1098 | Agenda | 935196116 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | ||||||||||||||||||||||||||||||
| 2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | ||||||||||||||||||||||||||||||
| 2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | ||||||||||||||||||||||||||||||
| 2F. | To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,575 | 0 | |||||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 8,678 | 0 | |||||||||||||||||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | ||||||||||||||||||||||||||||||||
| Security | 95766B109 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US95766B1098 | Agenda | 935196116 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | ||||||||||||||||||||||||||||||
| 2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | ||||||||||||||||||||||||||||||
| 2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | ||||||||||||||||||||||||||||||
| 2F. | To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,575 | 0 | 15-May-2020 | 15-May-2020 | |||||||||||||||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | ||||||||||||||||||||||||||||||||
| Security | 95766B109 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US95766B1098 | Agenda | 935196116 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | ||||||||||||||||||||||||||||||
| 2C. | To approve a New Subadvisory Agreement with: Western Asset Management Company, LLC. | Management | ||||||||||||||||||||||||||||||
| 2D. | To approve a New Subadvisory Agreement with: Western Asset Management Company Limited. | Management | ||||||||||||||||||||||||||||||
| 2F. | To approve a New Subadvisory Agreement with: Western Asset Management Company Pte. Ltd. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 8,678 | 0 | 15-May-2020 | 15-May-2020 | |||||||||||||||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | ||||||||||||||||||||||||||||||||
| Security | 95766B109 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US95766B1098 | Agenda | 935196128 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a New Management Agreement with Legg Mason Partners Fund Advisor, LLC. | Management | ||||||||||||||||||||||||||||||
| 2C. | To approve a New Subadvisory Agreement with Western Asset Management Company, LLC. | Management | ||||||||||||||||||||||||||||||
| 2D. | To approve a New Subadvisory Agreement with Western Asset Management Company Limited. | Management | ||||||||||||||||||||||||||||||
| 2F. | To approve a New Subadvisory Agreement with Western Asset Management Company Pte. Ltd. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,575 | 0 | |||||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 8,678 | 0 | |||||||||||||||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | ||||||||||||||||||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US10537L1044 | Agenda | 935196178 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC | Management | ||||||||||||||||||||||||||||||
| 2A. | To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,421 | 0 | |||||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 20,578 | 0 | |||||||||||||||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | ||||||||||||||||||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US10537L1044 | Agenda | 935196178 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC | Management | ||||||||||||||||||||||||||||||
| 2A. | To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 20,578 | 0 | 15-May-2020 | 15-May-2020 | |||||||||||||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | ||||||||||||||||||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US10537L1044 | Agenda | 935196178 - Management | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a new management agreement with Legg Mason Partners Fund Advisor, LLC | Management | ||||||||||||||||||||||||||||||
| 2A. | To approve a New Subadvisory Agreement with: Brandywine Global Investment Management, LLC. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,421 | 0 | 15-May-2020 | 15-May-2020 | |||||||||||||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | ||||||||||||||||||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 06-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US10537L1044 | Agenda | 935196180 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 09-Mar-2020 | Holding Recon Date | 09-Mar-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT WITH LEGG MASON PARTNERS FUND ADVISOR, LLC. | Management | ||||||||||||||||||||||||||||||
| 2. | TO AUTHORIZE THE PROXYHOLDERS TO DECLINE TO ATTEND THE MEETING IF THEY BELIEVE THAT PROPOSAL NO. 1 IS LESS LIKELY TO BE APPROVED IF YOUR SHARES ARE NOT REPRESENTED AT THE MEETING (BY MAKING IT MORE DIFFICULT FOR MORE THAN 50% OF THE OUTSTANDING SHARES TO BE PRESENT IN PERSON OR BY PROXY) THAN IF THEY ARE REPRESENTED AT THE MEETING. FOR= Authorize ; AGAINST = Do Not Authorize. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,421 | 0 | |||||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 20,578 | 0 | |||||||||||||||||||||||||||
| VOYA PRIME RATE TRUST | ||||||||||||||||||||||||||||||||
| Security | 92913A100 | Meeting Type | Contested-Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | PPR | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US92913A1007 | Agenda | 935217869 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Colleen D. Baldwin | |||||||||||||||||||||||||||||||
| 2 | John V. Boyer | |||||||||||||||||||||||||||||||
| 3 | Patricia W. Chadwick | |||||||||||||||||||||||||||||||
| 4 | Martin J. Gavin | |||||||||||||||||||||||||||||||
| 5 | Joseph E. Obermeyer | |||||||||||||||||||||||||||||||
| 6 | Sheryl K. Pressler | |||||||||||||||||||||||||||||||
| 7 | Dina Santoro | |||||||||||||||||||||||||||||||
| 8 | Christopher P. Sullivan | |||||||||||||||||||||||||||||||
| 2. | If properly presented at the Annual Meeting, to vote on a shareholder's precatory proposal relating to a tender offer. | Shareholder | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 62,381 | 0 | |||||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 7,994 | 0 | |||||||||||||||||||||||||||
| VOYA PRIME RATE TRUST | ||||||||||||||||||||||||||||||||
| Security | 92913A100 | Meeting Type | Contested-Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | PPR | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US92913A1007 | Agenda | 935217871 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Aditya Bindal | |||||||||||||||||||||||||||||||
| 2 | Peter Borish | |||||||||||||||||||||||||||||||
| 3 | Karen Caldwell | |||||||||||||||||||||||||||||||
| 4 | Charles Clarvit | |||||||||||||||||||||||||||||||
| 5 | Ketu Desai | |||||||||||||||||||||||||||||||
| 6 | Kieran Goodwin | |||||||||||||||||||||||||||||||
| 7 | Andrew Kellerman | |||||||||||||||||||||||||||||||
| 8 | Neal Nellinger | |||||||||||||||||||||||||||||||
| 2 | Termination of the Management Agreement between the Fund and Voya Investments, LLC, as amended and restated on May 1, 2015 (the "Management Agreement"), and all other advisory and management agreements between the Fund and Voya Investments, LLC. | Shareholder | ||||||||||||||||||||||||||||||
| 3 | To request that the Board consider authorizing a self- tender offer for 40% of the outstanding shares of the Fund at or close to net asset value. | Shareholder | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 62,381 | 0 | 07-Jul-2020 | 07-Jul-2020 | |||||||||||||||||||||||||
| VOYA PRIME RATE TRUST | ||||||||||||||||||||||||||||||||
| Security | 92913A100 | Meeting Type | Contested-Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | PPR | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US92913A1007 | Agenda | 935217871 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1 | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Aditya Bindal | |||||||||||||||||||||||||||||||
| 2 | Peter Borish | |||||||||||||||||||||||||||||||
| 3 | Karen Caldwell | |||||||||||||||||||||||||||||||
| 4 | Charles Clarvit | |||||||||||||||||||||||||||||||
| 5 | Ketu Desai | |||||||||||||||||||||||||||||||
| 6 | Kieran Goodwin | |||||||||||||||||||||||||||||||
| 7 | Andrew Kellerman | |||||||||||||||||||||||||||||||
| 8 | Neal Nellinger | |||||||||||||||||||||||||||||||
| 2 | Termination of the Management Agreement between the Fund and Voya Investments, LLC, as amended and restated on May 1, 2015 (the "Management Agreement"), and all other advisory and management agreements between the Fund and Voya Investments, LLC. | Shareholder | ||||||||||||||||||||||||||||||
| 3 | To request that the Board consider authorizing a self- tender offer for 40% of the outstanding shares of the Fund at or close to net asset value. | Shareholder | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 7,994 | 0 | 07-Jul-2020 | 07-Jul-2020 | |||||||||||||||||||||||||
| VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD | ||||||||||||||||||||||||||||||||
| Security | 92912T100 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | IGD | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US92912T1007 | Agenda | 935223785 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Martin J. Gavin | Split | Split | |||||||||||||||||||||||||||||
| 2 | Dina Santoro | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 9,059 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD | ||||||||||||||||||||||||||||||||
| Security | 92912T100 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | IGD | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US92912T1007 | Agenda | 935223785 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Martin J. Gavin | Split | Split | |||||||||||||||||||||||||||||
| 2 | Dina Santoro | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 7,194 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| VOYA RISK MANAGED NATURAL RESOURCES FD | ||||||||||||||||||||||||||||||||
| Security | 92913C106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | IRR | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US92913C1062 | Agenda | 935223800 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Martin J. Gavin | Split | Split | |||||||||||||||||||||||||||||
| 2 | Dina Santoro | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 4,881 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| VOYA RISK MANAGED NATURAL RESOURCES FD | ||||||||||||||||||||||||||||||||
| Security | 92913C106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | IRR | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US92913C1062 | Agenda | 935223800 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Apr-2020 | Holding Recon Date | 24-Apr-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Martin J. Gavin | Split | Split | |||||||||||||||||||||||||||||
| 2 | Dina Santoro | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 10,899 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| CLOUGH GLOBAL OPPORTUNITIES FUND | ||||||||||||||||||||||||||||||||
| Security | 18914E106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GLO | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US18914E1064 | Agenda | 935228127 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 3. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Robert L. Butler | Split | Split | |||||||||||||||||||||||||||||
| 2 | Karen DiGravio | Split | Split | |||||||||||||||||||||||||||||
| 3 | Kevin McNally | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,089 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| CLOUGH GLOBAL OPPORTUNITIES FUND | ||||||||||||||||||||||||||||||||
| Security | 18914E106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GLO | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US18914E1064 | Agenda | 935228127 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 3. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Robert L. Butler | Split | Split | |||||||||||||||||||||||||||||
| 2 | Karen DiGravio | Split | Split | |||||||||||||||||||||||||||||
| 3 | Kevin McNally | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 15,329 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| CLOUGH GLOBAL EQUITY FUND | ||||||||||||||||||||||||||||||||
| Security | 18914C100 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GLQ | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US18914C1009 | Agenda | 935228139 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 2. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Edmund J. Burke | Split | Split | |||||||||||||||||||||||||||||
| 2 | Vincent W. Versaci | Split | Split | |||||||||||||||||||||||||||||
| 3 | Clifford J. Weber | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,974 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| CLOUGH GLOBAL EQUITY FUND | ||||||||||||||||||||||||||||||||
| Security | 18914C100 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GLQ | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US18914C1009 | Agenda | 935228139 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 2. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Edmund J. Burke | Split | Split | |||||||||||||||||||||||||||||
| 2 | Vincent W. Versaci | Split | Split | |||||||||||||||||||||||||||||
| 3 | Clifford J. Weber | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 8,563 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| ALLIANZGI ARTIFICIAL | ||||||||||||||||||||||||||||||||
| Security | 01883M101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AIO | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US01883M1018 | Agenda | 935238673 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 14-May-2020 | Holding Recon Date | 14-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Trustee: Hans W. Kertess | Management | Split | Split | ||||||||||||||||||||||||||||
| 1B. | Election of Trustee: William B. Ogden, IV | Management | Split | Split | ||||||||||||||||||||||||||||
| 1C. | Election of Trustee: Alan Rappaport | Management | Split | Split | ||||||||||||||||||||||||||||
| 1D. | Election of Trustee: Davey S. Scoon | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 2,050 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST | ||||||||||||||||||||||||||||||||
| Security | 01883A107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NFJ | Meeting Date | 09-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US01883A1079 | Agenda | 935238685 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 14-May-2020 | Holding Recon Date | 14-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Trustee: Sarah E. Cogan | Management | Split | Split | ||||||||||||||||||||||||||||
| 1B. | Election of Trustee: F. Ford Drummond | Management | Split | Split | ||||||||||||||||||||||||||||
| 1C. | Election of Trustee: Alan Rappaport | Management | Split | Split | ||||||||||||||||||||||||||||
| 1D. | Election of Trustee: Davey S. Scoon | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 13,825 | 0 | 08-Jul-2020 | 08-Jul-2020 | |||||||||||||||||||||||||
| ROYCE MICRO-CAP TRUST, INC. | ||||||||||||||||||||||||||||||||
| Security | 780915104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | RMT | Meeting Date | 14-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US7809151043 | Agenda | 935221541 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-May-2020 | Holding Recon Date | 01-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Micro-Cap Trust, Inc. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 674 | 0 | 13-Jul-2020 | 13-Jul-2020 | |||||||||||||||||||||||||
| ROYCE MICRO-CAP TRUST, INC. | ||||||||||||||||||||||||||||||||
| Security | 780915104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | RMT | Meeting Date | 14-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US7809151043 | Agenda | 935221541 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-May-2020 | Holding Recon Date | 01-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Micro-Cap Trust, Inc. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 11,937 | 0 | 13-Jul-2020 | 13-Jul-2020 | |||||||||||||||||||||||||
| NEXPOINT FUNDS | ||||||||||||||||||||||||||||||||
| Security | 65340G205 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NHF | Meeting Date | 14-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US65340G2057 | Agenda | 935242836 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Jun-2020 | Holding Recon Date | 19-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Dr. Bob Froehlich | Split | Split | |||||||||||||||||||||||||||||
| 2 | Edward Constantino | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 5,663 | 0 | 13-Jul-2020 | 13-Jul-2020 | |||||||||||||||||||||||||
| NEXPOINT FUNDS | ||||||||||||||||||||||||||||||||
| Security | 65340G205 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NHF | Meeting Date | 14-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US65340G2057 | Agenda | 935242836 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Jun-2020 | Holding Recon Date | 19-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Dr. Bob Froehlich | Split | Split | |||||||||||||||||||||||||||||
| 2 | Edward Constantino | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 6,031 | 0 | 13-Jul-2020 | 13-Jul-2020 | |||||||||||||||||||||||||
| EATON VANCE INSD. MUN BD FD | ||||||||||||||||||||||||||||||||
| Security | 27827X101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EIM | Meeting Date | 16-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US27827X1019 | Agenda | 935225006 - Management | |||||||||||||||||||||||||||||
| Record Date | 05-May-2020 | Holding Recon Date | 05-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | George J. Gorman | Split | Split | |||||||||||||||||||||||||||||
| 2 | Helen Frame Peters | Split | Split | |||||||||||||||||||||||||||||
| 3 | Marcus L. Smith | Split | Split | |||||||||||||||||||||||||||||
| 4 | Susan J. Sutherland | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 13,757 | 0 | 15-Jul-2020 | 15-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK DEBT STRATEGIES FD INC | ||||||||||||||||||||||||||||||||
| Security | 09255R202 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | DSU | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09255R2022 | Agenda | 935237330 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Cynthia L. Egan | Split | Split | |||||||||||||||||||||||||||||
| 2 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 3 | Catherine A. Lynch | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 8,989 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK DEBT STRATEGIES FD INC | ||||||||||||||||||||||||||||||||
| Security | 09255R202 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | DSU | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09255R2022 | Agenda | 935237330 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Cynthia L. Egan | Split | Split | |||||||||||||||||||||||||||||
| 2 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 3 | Catherine A. Lynch | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 19,960 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK RESOURCES & COMMODITIES STRAT | ||||||||||||||||||||||||||||||||
| Security | 09257A108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BCX | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09257A1088 | Agenda | 935237823 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 2 | R. Glenn Hubbard | Split | Split | |||||||||||||||||||||||||||||
| 3 | John M. Perlowski | Split | Split | |||||||||||||||||||||||||||||
| 4 | W. Carl Kester | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 3,234 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK RESOURCES & COMMODITIES STRAT | ||||||||||||||||||||||||||||||||
| Security | 09257A108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BCX | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09257A1088 | Agenda | 935237823 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 2 | R. Glenn Hubbard | Split | Split | |||||||||||||||||||||||||||||
| 3 | John M. Perlowski | Split | Split | |||||||||||||||||||||||||||||
| 4 | W. Carl Kester | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 21,733 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK NY INSURED MUNICIPAL INCOME TR | ||||||||||||||||||||||||||||||||
| Security | 09249U105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BSE | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09249U1051 | Agenda | 935237835 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 2 | R. Glenn Hubbard | Split | Split | |||||||||||||||||||||||||||||
| 3 | John M. Perlowski | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,922 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK CALIFORNIA MUNICIPAL INCOME TR | ||||||||||||||||||||||||||||||||
| Security | 09248E102 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BFZ | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09248E1029 | Agenda | 935237835 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 2 | R. Glenn Hubbard | Split | Split | |||||||||||||||||||||||||||||
| 3 | John M. Perlowski | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1,108 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK CALIFORNIA MUNICIPAL INCOME TR | ||||||||||||||||||||||||||||||||
| Security | 09248E102 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BFZ | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09248E1029 | Agenda | 935237835 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 2 | R. Glenn Hubbard | Split | Split | |||||||||||||||||||||||||||||
| 3 | John M. Perlowski | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 253 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| BLACKROCK NY INSURED MUNICIPAL INCOME TR | ||||||||||||||||||||||||||||||||
| Security | 09249U105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BSE | Meeting Date | 27-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | US09249U1051 | Agenda | 935237835 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-May-2020 | Holding Recon Date | 29-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Michael J. Castellano | Split | Split | |||||||||||||||||||||||||||||
| 2 | R. Glenn Hubbard | Split | Split | |||||||||||||||||||||||||||||
| 3 | John M. Perlowski | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 5,949 | 0 | 24-Jul-2020 | 24-Jul-2020 | |||||||||||||||||||||||||
| ANDINA ACQUISITION CORP. III | ||||||||||||||||||||||||||||||||
| Security | G04415108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ANDA | Meeting Date | 29-Jul-2020 | |||||||||||||||||||||||||||||
| ISIN | KYG044151085 | Agenda | 935247470 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Jul-2020 | Holding Recon Date | 01-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Jul-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from July 31, 2020 to October 31, 2020 (or December 31, 2020 if the Company has executed a definitive agreement for a business combination by October31, 2020). | Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjourn the Special Meeting of shareholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 713 | 0 | 10-Jul-2020 | 10-Jul-2020 | |||||||||||||||||||||||||
| NUVEEN QUALITY MUNICIPAL INCOME FUND | ||||||||||||||||||||||||||||||||
| Security | 67066V101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NAD | Meeting Date | 05-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US67066V1017 | Agenda | 935245541 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Jun-2020 | Holding Recon Date | 08-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1C. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | John K. Nelson | Split | Split | |||||||||||||||||||||||||||||
| 2 | Terence J. Toth | Split | Split | |||||||||||||||||||||||||||||
| 3 | Robert L. Young | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 5,499 | 0 | 04-Aug-2020 | 04-Aug-2020 | |||||||||||||||||||||||||
| NUVEEN AMT-FREE MUNICIPAL CREDIT INC FD | ||||||||||||||||||||||||||||||||
| Security | 67071L106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NVG | Meeting Date | 05-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US67071L1061 | Agenda | 935245541 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Jun-2020 | Holding Recon Date | 08-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1C. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | John K. Nelson | Split | Split | |||||||||||||||||||||||||||||
| 2 | Terence J. Toth | Split | Split | |||||||||||||||||||||||||||||
| 3 | Robert L. Young | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 3,730 | 0 | 04-Aug-2020 | 04-Aug-2020 | |||||||||||||||||||||||||
| INVESCO DYNAMIC CREDIT OPP FUND | ||||||||||||||||||||||||||||||||
| Security | 46132R104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VTA | Meeting Date | 07-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US46132R1041 | Agenda | 935248319 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Beth Ann Brown | Split | Split | |||||||||||||||||||||||||||||
| 2 | Anthony J. LaCava, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 3 | Joel W. Motley | Split | Split | |||||||||||||||||||||||||||||
| 4 | Teresa M. Ressel | Split | Split | |||||||||||||||||||||||||||||
| 5 | Christopher L. Wilson | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 3,031 | 0 | 06-Aug-2020 | 06-Aug-2020 | |||||||||||||||||||||||||
| INVESCO DYNAMIC CREDIT OPP FUND | ||||||||||||||||||||||||||||||||
| Security | 46132R104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VTA | Meeting Date | 07-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US46132R1041 | Agenda | 935248319 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Beth Ann Brown | Split | Split | |||||||||||||||||||||||||||||
| 2 | Anthony J. LaCava, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 3 | Joel W. Motley | Split | Split | |||||||||||||||||||||||||||||
| 4 | Teresa M. Ressel | Split | Split | |||||||||||||||||||||||||||||
| 5 | Christopher L. Wilson | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 3,032 | 0 | 06-Aug-2020 | 06-Aug-2020 | |||||||||||||||||||||||||
| INVESCO SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 46131H107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VVR | Meeting Date | 07-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US46131H1077 | Agenda | 935248319 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Beth Ann Brown | Split | Split | |||||||||||||||||||||||||||||
| 2 | Anthony J. LaCava, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 3 | Joel W. Motley | Split | Split | |||||||||||||||||||||||||||||
| 4 | Teresa M. Ressel | Split | Split | |||||||||||||||||||||||||||||
| 5 | Christopher L. Wilson | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 18,063 | 0 | 06-Aug-2020 | 06-Aug-2020 | |||||||||||||||||||||||||
| INVESCO SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 46131H107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VVR | Meeting Date | 07-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US46131H1077 | Agenda | 935248319 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Beth Ann Brown | Split | Split | |||||||||||||||||||||||||||||
| 2 | Anthony J. LaCava, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 3 | Joel W. Motley | Split | Split | |||||||||||||||||||||||||||||
| 4 | Teresa M. Ressel | Split | Split | |||||||||||||||||||||||||||||
| 5 | Christopher L. Wilson | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 3,154 | 0 | 06-Aug-2020 | 06-Aug-2020 | |||||||||||||||||||||||||
| INVESCO | ||||||||||||||||||||||||||||||||
| Security | 46131F101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VLT | Meeting Date | 07-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US46131F1012 | Agenda | 935248333 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1C | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | David C. Arch | Split | Split | |||||||||||||||||||||||||||||
| 2 | Beth Ann Brown | Split | Split | |||||||||||||||||||||||||||||
| 3 | Anthony J. LaCava, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 4 | Joel W. Motley | Split | Split | |||||||||||||||||||||||||||||
| 5 | Teresa M. Ressel | Split | Split | |||||||||||||||||||||||||||||
| 6 | Christopher L. Wilson | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,772 | 0 | 06-Aug-2020 | 06-Aug-2020 | |||||||||||||||||||||||||
| INVESCO | ||||||||||||||||||||||||||||||||
| Security | 46131F101 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | VLT | Meeting Date | 07-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US46131F1012 | Agenda | 935248333 - Management | |||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1C | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | David C. Arch | Split | Split | |||||||||||||||||||||||||||||
| 2 | Beth Ann Brown | Split | Split | |||||||||||||||||||||||||||||
| 3 | Anthony J. LaCava, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 4 | Joel W. Motley | Split | Split | |||||||||||||||||||||||||||||
| 5 | Teresa M. Ressel | Split | Split | |||||||||||||||||||||||||||||
| 6 | Christopher L. Wilson | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 4,936 | 0 | 06-Aug-2020 | 06-Aug-2020 | |||||||||||||||||||||||||
| WELLS FARGO ADVANTAGE INCOME OPP FUND | ||||||||||||||||||||||||||||||||
| Security | 94987B105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EAD | Meeting Date | 10-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US94987B1052 | Agenda | 935246036 - Management | |||||||||||||||||||||||||||||
| Record Date | 05-Jun-2020 | Holding Recon Date | 05-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Isaiah Harris, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 2 | David F. Larcker | Split | Split | |||||||||||||||||||||||||||||
| 3 | Olivia S. Mitchell | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 6,252 | 0 | 07-Aug-2020 | 07-Aug-2020 | |||||||||||||||||||||||||
| AGBA ACQUISITION LIMITED | ||||||||||||||||||||||||||||||||
| Security | G0120M133 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AGBAU | Meeting Date | 18-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | VGG0120M1335 | Agenda | 935256962 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Jul-2020 | Holding Recon Date | 28-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Gordon Lee | For | For | |||||||||||||||||||||||||||||
| 2 | Vera Tan | For | For | |||||||||||||||||||||||||||||
| 3 | Eric Lam | For | For | |||||||||||||||||||||||||||||
| 4 | Brian Chan | For | For | |||||||||||||||||||||||||||||
| 5 | Thomas Ng | For | For | |||||||||||||||||||||||||||||
| 2. | RATIFICATION OF THE APPOINTMENT OF MARCUM LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2020. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 2,247 | 0 | 05-Aug-2020 | 05-Aug-2020 | |||||||||||||||||||||||||
| FAR POINT ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 30734W109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | FPAC | Meeting Date | 24-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US30734W1099 | Agenda | 935257546 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Jul-2020 | Holding Recon Date | 24-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve and adopt Agreement and Plan of Merger, dated as of January 16, 2020 ("Merger Agreement"), and business combination contemplated by such agreement ("Business Combination"), by and among FPAC, SL Globetrotter, L.P., a Cayman Islands exempted limited partnership, Global Blue Group Holding AG, a stock corporation incorporated under Swiss law, with its registered office in Zürichstrasse 38, 8306 Brüttisellen, Switzerland, Global Blue US Holdco LLC, a Delaware limited liability company, Global Blue US Merger Sub Inc. | Management | For | Against | ||||||||||||||||||||||||||||
| 2. | The Adjournment Proposal: To approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or for any other reason in connection with, the approval of one or more of the other proposals at the Special Meeting. | Management | For | Against | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1,359 | 0 | 05-Aug-2020 | 05-Aug-2020 | |||||||||||||||||||||||||
| HENNESSY CAPITAL ACQUISITION CORP. IV | ||||||||||||||||||||||||||||||||
| Security | 42589C203 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | HCACU | Meeting Date | 27-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US42589C2035 | Agenda | 935260012 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Jul-2020 | Holding Recon Date | 28-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal - Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from September 5, 2020 to December 31, 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 or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 2 | 0 | 13-Aug-2020 | 13-Aug-2020 | |||||||||||||||||||||||||
| HENNESSY CAPITAL ACQUISITION CORP. IV | ||||||||||||||||||||||||||||||||
| Security | 42589C104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | HCAC | Meeting Date | 27-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US42589C1045 | Agenda | 935260012 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Jul-2020 | Holding Recon Date | 28-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal - Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from September 5, 2020 to December 31, 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 or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 524 | 0 | 13-Aug-2020 | 13-Aug-2020 | |||||||||||||||||||||||||
| NEXPOINT FUNDS | ||||||||||||||||||||||||||||||||
| Security | 65340G205 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | NHF | Meeting Date | 28-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US65340G2057 | Agenda | 935250388 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Jun-2020 | Holding Recon Date | 19-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a change in the Fund's business from a registered investment company that invests primarily in debt and equity securities to a diversified REIT and to amend the Fund's fundamental investment restrictions to permit the Fund to engage in its new business (the "Business Change Proposal"). | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To approve the amendment and restatement of the Fund's Agreement and Declaration of Trust (the "Amendment Proposal"). | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 5,663 | 0 | 27-Aug-2020 | 27-Aug-2020 | |||||||||||||||||||||||||
| NEXPOINT FUNDS | ||||||||||||||||||||||||||||||||
| Security | 65340G205 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | NHF | Meeting Date | 28-Aug-2020 | |||||||||||||||||||||||||||||
| ISIN | US65340G2057 | Agenda | 935250388 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Jun-2020 | Holding Recon Date | 19-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Aug-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve a change in the Fund's business from a registered investment company that invests primarily in debt and equity securities to a diversified REIT and to amend the Fund's fundamental investment restrictions to permit the Fund to engage in its new business (the "Business Change Proposal"). | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To approve the amendment and restatement of the Fund's Agreement and Declaration of Trust (the "Amendment Proposal"). | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 6,031 | 0 | 27-Aug-2020 | 27-Aug-2020 | |||||||||||||||||||||||||
| INSURANCE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 457867109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | INSU | Meeting Date | 10-Sep-2020 | |||||||||||||||||||||||||||||
| ISIN | US4578671095 | Agenda | 935263777 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-Jul-2020 | Holding Recon Date | 29-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Sep-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from September 22, 2020 to November 3, 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 | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 152 | 0 | 21-Aug-2020 | 21-Aug-2020 | |||||||||||||||||||||||||
| INSURANCE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 457867307 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | INSUU | Meeting Date | 10-Sep-2020 | |||||||||||||||||||||||||||||
| ISIN | US4578673075 | Agenda | 935263777 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-Jul-2020 | Holding Recon Date | 29-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Sep-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from September 22, 2020 to November 3, 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 | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1 | 0 | 21-Aug-2020 | 21-Aug-2020 | |||||||||||||||||||||||||
| CF FINANCE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 12528N107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | CFFA | Meeting Date | 10-Sep-2020 | |||||||||||||||||||||||||||||
| ISIN | US12528N1072 | Agenda | 935263830 - Management | |||||||||||||||||||||||||||||
| Record Date | 07-Aug-2020 | Holding Recon Date | 07-Aug-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Sep-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from September 17, 2020 to December 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 | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 415 | 0 | 21-Aug-2020 | 21-Aug-2020 | |||||||||||||||||||||||||
| 8I ENTERPRISES ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | G2956M104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | JFK | Meeting Date | 15-Sep-2020 | |||||||||||||||||||||||||||||
| ISIN | VGG2956M1041 | Agenda | 935135360 - Management | |||||||||||||||||||||||||||||
| Record Date | 20-Feb-2020 | Holding Recon Date | 20-Feb-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | Singapore | Vote Deadline Date | 14-Sep-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| I | THE REINCORPORATION MERGER PROPOSAL: To approve the Merger Agreement, by and among Singapore NewCo, BVI NewCo and JFK, and the Plan of Merger to be entered into between BVI NewCo and JFK, whereby BVI NewCo will merge with and into JFK with JFK being the surviving entity and a subsequent wholly- owned subsidiary of Singapore NewCo. | Management | For | For | ||||||||||||||||||||||||||||
| II | THE SHARE EXCHANGE PROPOSAL: To approve the Share Exchange Agreement, dated as of July 9, 2019, as amended by the Amendment, dated October 8, 2019, by and among JFK, the Sellers, the Representative, Singapore NewCo and BVI NewCo, pursuant to which JFK shall acquire all of the issued and outstanding ordinary shares of Diginex owned by the Sellers in exchange for the issuance to the Sellers of an aggregate of 20,000,000 Singapore NewCo Ordinary Shares. | Management | For | For | ||||||||||||||||||||||||||||
| III | THE ADJOURNMENT PROPOSAL: To consider and vote upon a proposal to adjourn the Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that, based upon the tabulated vote at the time of the Meeting, JFK would not have been authorized to consummate the Business Combination. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 574 | 0 | 02-Mar-2020 | 02-Mar-2020 | |||||||||||||||||||||||||
| ROYCE MICRO-CAP TRUST, INC. | ||||||||||||||||||||||||||||||||
| Security | 780915104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | RMT | Meeting Date | 24-Sep-2020 | |||||||||||||||||||||||||||||
| ISIN | US7809151043 | Agenda | 935263082 - Management | |||||||||||||||||||||||||||||
| Record Date | 31-Jul-2020 | Holding Recon Date | 31-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Sep-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Christopher D. Clark | Split | Split | |||||||||||||||||||||||||||||
| 2 | Christopher C. Grisanti | Split | Split | |||||||||||||||||||||||||||||
| 3 | Cecile B. Harper | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,305 | 0 | 23-Sep-2020 | 23-Sep-2020 | |||||||||||||||||||||||||
| ROYCE MICRO-CAP TRUST, INC. | ||||||||||||||||||||||||||||||||
| Security | 780915104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | RMT | Meeting Date | 24-Sep-2020 | |||||||||||||||||||||||||||||
| ISIN | US7809151043 | Agenda | 935263082 - Management | |||||||||||||||||||||||||||||
| Record Date | 31-Jul-2020 | Holding Recon Date | 31-Jul-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Sep-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Christopher D. Clark | Split | Split | |||||||||||||||||||||||||||||
| 2 | Christopher C. Grisanti | Split | Split | |||||||||||||||||||||||||||||
| 3 | Cecile B. Harper | Split | Split | |||||||||||||||||||||||||||||
| �� | ||||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 11,937 | 0 | 23-Sep-2020 | 23-Sep-2020 | |||||||||||||||||||||||||
| SCHULTZE SPECIAL PURPOSE ACQUISITION | ||||||||||||||||||||||||||||||||
| Security | 80821R109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SAMA | Meeting Date | 30-Sep-2020 | |||||||||||||||||||||||||||||
| ISIN | US80821R1095 | Agenda | 935270429 - Management | |||||||||||||||||||||||||||||
| Record Date | 24-Aug-2020 | Holding Recon Date | 24-Aug-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Sep-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 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 for an additional three months, from September 30, 2020 to December 31, 2020. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Adjournment Proposal: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the foregoing proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 732 | 0 | 16-Sep-2020 | 16-Sep-2020 | |||||||||||||||||||||||||
| DELAWARE INVESTMENTS | ||||||||||||||||||||||||||||||||
| Security | 246060107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | DEX | Meeting Date | 09-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US2460601071 | Agenda | 935251746 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Jun-2020 | Holding Recon Date | 19-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Thomas L. Bennett | Split | Split | |||||||||||||||||||||||||||||
| 2 | Jerome D. Abernathy | Split | Split | |||||||||||||||||||||||||||||
| 3 | Ann D. Borowiec | Split | Split | |||||||||||||||||||||||||||||
| 4 | Joseph W. Chow | Split | Split | |||||||||||||||||||||||||||||
| 5 | John A. Fry | Split | Split | |||||||||||||||||||||||||||||
| 6 | Lucinda S. Landreth | Split | Split | |||||||||||||||||||||||||||||
| 7 | Shawn K. Lytle | Split | Split | |||||||||||||||||||||||||||||
| 8 | F. A. Sevilla-Sacasa | Split | Split | |||||||||||||||||||||||||||||
| 9 | Thomas K. Whitford | Split | Split | |||||||||||||||||||||||||||||
| 10 | Christianna Wood | Split | Split | |||||||||||||||||||||||||||||
| 11 | Janet L. Yeomans | Split | Split | |||||||||||||||||||||||||||||
| 2. | To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Austria Kapitalanlage AG and Macquarie Investment Management Global Limited to provide additional services to the Fund. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 689 | 0 | 17-Sep-2020 | 17-Sep-2020 | |||||||||||||||||||||||||
| DELAWARE INVESTMENTS | ||||||||||||||||||||||||||||||||
| Security | 246060107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | DEX | Meeting Date | 09-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US2460601071 | Agenda | 935251746 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Jun-2020 | Holding Recon Date | 19-Jun-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Thomas L. Bennett | Split | Split | |||||||||||||||||||||||||||||
| 2 | Jerome D. Abernathy | Split | Split | |||||||||||||||||||||||||||||
| 3 | Ann D. Borowiec | Split | Split | |||||||||||||||||||||||||||||
| 4 | Joseph W. Chow | Split | Split | |||||||||||||||||||||||||||||
| 5 | John A. Fry | Split | Split | |||||||||||||||||||||||||||||
| 6 | Lucinda S. Landreth | Split | Split | |||||||||||||||||||||||||||||
| 7 | Shawn K. Lytle | Split | Split | |||||||||||||||||||||||||||||
| 8 | F. A. Sevilla-Sacasa | Split | Split | |||||||||||||||||||||||||||||
| 9 | Thomas K. Whitford | Split | Split | |||||||||||||||||||||||||||||
| 10 | Christianna Wood | Split | Split | |||||||||||||||||||||||||||||
| 11 | Janet L. Yeomans | Split | Split | |||||||||||||||||||||||||||||
| 2. | To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Austria Kapitalanlage AG and Macquarie Investment Management Global Limited to provide additional services to the Fund. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 6,517 | 0 | 17-Sep-2020 | 17-Sep-2020 | |||||||||||||||||||||||||
| INSURANCE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 457867307 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | INSUU | Meeting Date | 13-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US4578673075 | Agenda | 935279302 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Sep-2020 | Holding Recon Date | 10-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1 | The Merger Proposal - To approve and adopt the Agreement and Plan of Merger, dated as of June 29, 2020, by and among the Company, IAC Merger Sub Corp., and Shift Technologies, Inc., as amended by the First Amendment to the Agreement and Plan of Merger, dated as of August 19, 2020 (the "Merger Agreement"), and the transactions contemplated thereby (the "Merger"). | Management | For | For | ||||||||||||||||||||||||||||
| 2 | To approve an amendment to the Company's current amended and restated certificate of incorporation to increase the number of authorized shares of common stock. | Management | For | For | ||||||||||||||||||||||||||||
| 3 | To approve the creation of an additional class of directors so that there will be three classes of directors with staggered terms of office, and make certain related changes. | Management | For | For | ||||||||||||||||||||||||||||
| 4 | To approve an amendment to the Company's current amended and restated certificate of incorporation to provide that certain transactions are not "corporate opportunities" and that each of Highland Capital Partners 9 Limited Partnership, Highland Capital Partners 9-B Limited Partnership, and Highland Entrepreneurs' Fund 9 Limited Partnership and their respective affiliates are not subject to the doctrine of corporate opportunity. | Management | For | For | ||||||||||||||||||||||||||||
| 5 | To approve an amendment to the Company's current amended and restated certificate of incorporation to provide for additional changes, principally including changing the Company's corporate name from "Insurance Acquisition Corp." to "Shift Technologies, Inc." and removing provisions applicable only to special purpose acquisition companies. | Management | For | For | ||||||||||||||||||||||||||||
| 6 | The Nasdaq Proposal - To approve (i) for purposes of complying with Nasdaq Listing Rule 5635(a) and (b), the issuance of more than 20% of the Company's issued and outstanding common stock and the resulting change of control in connection with the Merger, and (ii) for purposes of complying with Nasdaq Listing Rule 5635(d), the issuance of up to 19,800,000 shares of common stock in connection with the PIPE Investment, upon the completion of the Merger. | Management | For | For | ||||||||||||||||||||||||||||
| 7 | The Incentive Plan Proposal - To adopt the Shift Technologies, Inc. 2020 Omnibus Equity Compensation Plan, including the authorization of the initial share reserve thereunder. | Management | For | For | ||||||||||||||||||||||||||||
| 8A | To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: Daniel G. Cohen | Management | For | For | ||||||||||||||||||||||||||||
| 8B | To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: John C. Chrystal | Management | For | For | ||||||||||||||||||||||||||||
| 8C | To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: Stephanie Gould Rabin | Management | For | For | ||||||||||||||||||||||||||||
| 9A | Election of Director: Kellyn Smith Kenny (Class I - 2021 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9B | Election of Director: Victoria Mclnnis (Class I - 2021 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9C | Election of Director: Jason Krikorian (Class II - 2022 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9D | Election of Director: Emily Melton (Class II - 2022 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9E | Election of Director: Adam Nash (Class II - 2022 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9F | Election of Director: George Arison (Class III - 2023 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9G | Election of Director: Manish Patel (Class III - 2023 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9H | Election of Director: Tobias Russell (Class III - 2023 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 10 | The Adjournment Proposal - To approve the adjournment of the special meeting by the chairman thereof to a later date, 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 Merger Proposal, the Charter Proposals, the Nasdaq Proposal, the Incentive Plan Proposal, the Existing Director Election Proposal and/or the Business Combination Director Election Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1 | 0 | 01-Oct-2020 | 01-Oct-2020 | |||||||||||||||||||||||||
| INSURANCE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 457867109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | INSU | Meeting Date | 13-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US4578671095 | Agenda | 935279302 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Sep-2020 | Holding Recon Date | 10-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1 | The Merger Proposal - To approve and adopt the Agreement and Plan of Merger, dated as of June 29, 2020, by and among the Company, IAC Merger Sub Corp., and Shift Technologies, Inc., as amended by the First Amendment to the Agreement and Plan of Merger, dated as of August 19, 2020 (the "Merger Agreement"), and the transactions contemplated thereby (the "Merger"). | Management | For | For | ||||||||||||||||||||||||||||
| 2 | To approve an amendment to the Company's current amended and restated certificate of incorporation to increase the number of authorized shares of common stock. | Management | For | For | ||||||||||||||||||||||||||||
| 3 | To approve the creation of an additional class of directors so that there will be three classes of directors with staggered terms of office, and make certain related changes. | Management | For | For | ||||||||||||||||||||||||||||
| 4 | To approve an amendment to the Company's current amended and restated certificate of incorporation to provide that certain transactions are not "corporate opportunities" and that each of Highland Capital Partners 9 Limited Partnership, Highland Capital Partners 9-B Limited Partnership, and Highland Entrepreneurs' Fund 9 Limited Partnership and their respective affiliates are not subject to the doctrine of corporate opportunity. | Management | For | For | ||||||||||||||||||||||||||||
| 5 | To approve an amendment to the Company's current amended and restated certificate of incorporation to provide for additional changes, principally including changing the Company's corporate name from "Insurance Acquisition Corp." to "Shift Technologies, Inc." and removing provisions applicable only to special purpose acquisition companies. | Management | For | For | ||||||||||||||||||||||||||||
| 6 | The Nasdaq Proposal - To approve (i) for purposes of complying with Nasdaq Listing Rule 5635(a) and (b), the issuance of more than 20% of the Company's issued and outstanding common stock and the resulting change of control in connection with the Merger, and (ii) for purposes of complying with Nasdaq Listing Rule 5635(d), the issuance of up to 19,800,000 shares of common stock in connection with the PIPE Investment, upon the completion of the Merger. | Management | For | For | ||||||||||||||||||||||||||||
| 7 | The Incentive Plan Proposal - To adopt the Shift Technologies, Inc. 2020 Omnibus Equity Compensation Plan, including the authorization of the initial share reserve thereunder. | Management | For | For | ||||||||||||||||||||||||||||
| 8A | To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: Daniel G. Cohen | Management | For | For | ||||||||||||||||||||||||||||
| 8B | To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: John C. Chrystal | Management | For | For | ||||||||||||||||||||||||||||
| 8C | To elect the director to serve on the board of directors of the Company as Class I director until the earlier of the effective time of the Merger and the consummation of the business combination (the "Effective Time") and the 2022 annual meeting of stockholders, and until their respective successors are duly elected and qualified or until their earlier resignation, removal or death: Stephanie Gould Rabin | Management | For | For | ||||||||||||||||||||||||||||
| 9A | Election of Director: Kellyn Smith Kenny (Class I - 2021 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9B | Election of Director: Victoria Mclnnis (Class I - 2021 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9C | Election of Director: Jason Krikorian (Class II - 2022 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9D | Election of Director: Emily Melton (Class II - 2022 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9E | Election of Director: Adam Nash (Class II - 2022 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9F | Election of Director: George Arison (Class III - 2023 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9G | Election of Director: Manish Patel (Class III - 2023 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 9H | Election of Director: Tobias Russell (Class III - 2023 annual meeting of stockholders) | Management | For | For | ||||||||||||||||||||||||||||
| 10 | The Adjournment Proposal - To approve the adjournment of the special meeting by the chairman thereof to a later date, 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 Merger Proposal, the Charter Proposals, the Nasdaq Proposal, the Incentive Plan Proposal, the Existing Director Election Proposal and/or the Business Combination Director Election Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 152 | 0 | 01-Oct-2020 | 01-Oct-2020 | |||||||||||||||||||||||||
| FINTECH ACQUISITION CORP. III | ||||||||||||||||||||||||||||||||
| Security | 31811A309 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | FTACU | Meeting Date | 15-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US31811A3095 | Agenda | 935278247 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Sep-2020 | Holding Recon Date | 04-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal -To consider and vote upon a proposal to approve the business combination and adopt the Agreement and Plan of Merger, dated as of August 3, 2020, as it may be amended (the "Merger Agreement"), by and among the Company, GTCR-Ultra Holdings, LLC, GTCR-Ultra Holdings II, LLC, FinTech III Merger Sub Corp., FinTech Acquisition Corp. III Parent Corp., GTCR/Ulra Blocker, Inc. and GTCR Fund XI/C LP. | Management | For | For | ||||||||||||||||||||||||||||
| 2A | To change the Company's name to Paya Holdings Inc. and remove certain provisions related to its status as a special purpose acquisition company. | Management | For | For | ||||||||||||||||||||||||||||
| 2B | To increase the amount of authorized shares and provide for only one class of common stock. | Management | For | For | ||||||||||||||||||||||||||||
| 2C | To prohibit stockholder action by written consent, subject to GTCR's ownership percentage conditions at the time. | Management | For | For | ||||||||||||||||||||||||||||
| 2D | To create three classes of directors and to extend each director term to three years. | Management | For | For | ||||||||||||||||||||||||||||
| 2E | To require the vote of at least two-thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, subject to GTCR's ownership percentage at the time, to remove a director from office. | Management | For | For | ||||||||||||||||||||||||||||
| 2F | To require the vote of at least two-thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, subject to GTCR's ownership percentage at that time, to amend or repeal certain provisions of the certificate of incorporation. | Management | For | For | ||||||||||||||||||||||||||||
| 2G | To require the vote of at least two-thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, subject to GTCR's ownership percentage at that time, to adopt, amend or repeal the Company's bylaws. | Management | For | For | ||||||||||||||||||||||||||||
| 3 | The Incentive Plan Proposal - To consider and vote upon a proposal to adopt the Parent Omnibus Equity Compensation Plan. | Management | For | For | ||||||||||||||||||||||||||||
| 4A | Election of Director: Mei-Mei Tuan | Management | For | For | ||||||||||||||||||||||||||||
| 4B | Election of Director: Pawneet Abramowski | Management | For | For | ||||||||||||||||||||||||||||
| 4C | Election of Director: Jan Hopkins Trachtman | Management | For | For | ||||||||||||||||||||||||||||
| 5A | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Anna May Trala | Management | For | For | ||||||||||||||||||||||||||||
| 5B | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Jim Bonetti | Management | For | For | ||||||||||||||||||||||||||||
| 5C | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Stuart Yarbrough | Management | For | For | ||||||||||||||||||||||||||||
| 5D | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: KJ McConnell | Management | For | For | ||||||||||||||||||||||||||||
| 5E | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Jeff Hack | Management | For | For | ||||||||||||||||||||||||||||
| 5F | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Christine Larsen | Management | For | For | ||||||||||||||||||||||||||||
| 5G | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Aaron Cohen | Management | For | For | ||||||||||||||||||||||||||||
| 5H | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Collin Roche | Management | For | For | ||||||||||||||||||||||||||||
| 5I | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Mike Gordon | Management | For | For | ||||||||||||||||||||||||||||
| 6A | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Anna May Trala | Management | For | For | ||||||||||||||||||||||||||||
| 6B | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Stuart Yarbrough | Management | For | For | ||||||||||||||||||||||||||||
| 6C | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: KJ McConnell | Management | For | For | ||||||||||||||||||||||||||||
| 6D | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Jeff Hack | Management | For | For | ||||||||||||||||||||||||||||
| 6E | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Christine Larsen | Management | For | For | ||||||||||||||||||||||||||||
| 6F | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Aaron Cohen | Management | For | For | ||||||||||||||||||||||||||||
| 6G | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Collin Roche | Management | For | For | ||||||||||||||||||||||||||||
| 6H | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Mike Gordon | Management | For | For | ||||||||||||||||||||||||||||
| 7 | The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the special meeting to a later date, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve one or more of the other proposals submitted for stockholder approval at the special meeting. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1 | 0 | 01-Oct-2020 | 01-Oct-2020 | |||||||||||||||||||||||||
| FINTECH ACQUISITION CORP. III | ||||||||||||||||||||||||||||||||
| Security | 31811A101 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | FTAC | Meeting Date | 15-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US31811A1016 | Agenda | 935278247 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Sep-2020 | Holding Recon Date | 04-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal -To consider and vote upon a proposal to approve the business combination and adopt the Agreement and Plan of Merger, dated as of August 3, 2020, as it may be amended (the "Merger Agreement"), by and among the Company, GTCR-Ultra Holdings, LLC, GTCR-Ultra Holdings II, LLC, FinTech III Merger Sub Corp., FinTech Acquisition Corp. III Parent Corp., GTCR/Ulra Blocker, Inc. and GTCR Fund XI/C LP. | Management | For | For | ||||||||||||||||||||||||||||
| 2A | To change the Company's name to Paya Holdings Inc. and remove certain provisions related to its status as a special purpose acquisition company. | Management | For | For | ||||||||||||||||||||||||||||
| 2B | To increase the amount of authorized shares and provide for only one class of common stock. | Management | For | For | ||||||||||||||||||||||||||||
| 2C | To prohibit stockholder action by written consent, subject to GTCR's ownership percentage conditions at the time. | Management | For | For | ||||||||||||||||||||||||||||
| 2D | To create three classes of directors and to extend each director term to three years. | Management | For | For | ||||||||||||||||||||||||||||
| 2E | To require the vote of at least two-thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, subject to GTCR's ownership percentage at the time, to remove a director from office. | Management | For | For | ||||||||||||||||||||||||||||
| 2F | To require the vote of at least two-thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, subject to GTCR's ownership percentage at that time, to amend or repeal certain provisions of the certificate of incorporation. | Management | For | For | ||||||||||||||||||||||||||||
| 2G | To require the vote of at least two-thirds of the voting power of the outstanding shares of capital stock, rather than a simple majority, subject to GTCR's ownership percentage at that time, to adopt, amend or repeal the Company's bylaws. | Management | For | For | ||||||||||||||||||||||||||||
| 3 | The Incentive Plan Proposal - To consider and vote upon a proposal to adopt the Parent Omnibus Equity Compensation Plan. | Management | For | For | ||||||||||||||||||||||||||||
| 4A | Election of Director: Mei-Mei Tuan | Management | For | For | ||||||||||||||||||||||||||||
| 4B | Election of Director: Pawneet Abramowski | Management | For | For | ||||||||||||||||||||||||||||
| 4C | Election of Director: Jan Hopkins Trachtman | Management | For | For | ||||||||||||||||||||||||||||
| 5A | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Anna May Trala | Management | For | For | ||||||||||||||||||||||||||||
| 5B | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Jim Bonetti | Management | For | For | ||||||||||||||||||||||||||||
| 5C | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Stuart Yarbrough | Management | For | For | ||||||||||||||||||||||||||||
| 5D | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: KJ McConnell | Management | For | For | ||||||||||||||||||||||||||||
| 5E | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Jeff Hack | Management | For | For | ||||||||||||||||||||||||||||
| 5F | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Christine Larsen | Management | For | For | ||||||||||||||||||||||||||||
| 5G | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Aaron Cohen | Management | For | For | ||||||||||||||||||||||||||||
| 5H | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Collin Roche | Management | For | For | ||||||||||||||||||||||||||||
| 5I | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is a controlled company upon the consummation of the Business Combination: Mike Gordon | Management | For | For | ||||||||||||||||||||||||||||
| 6A | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Anna May Trala | Management | For | For | ||||||||||||||||||||||||||||
| 6B | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Stuart Yarbrough | Management | For | For | ||||||||||||||||||||||||||||
| 6C | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: KJ McConnell | Management | For | For | ||||||||||||||||||||||||||||
| 6D | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Jeff Hack | Management | For | For | ||||||||||||||||||||||||||||
| 6E | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Christine Larsen | Management | For | For | ||||||||||||||||||||||||||||
| 6F | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Aaron Cohen | Management | For | For | ||||||||||||||||||||||||||||
| 6G | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Collin Roche | Management | For | For | ||||||||||||||||||||||||||||
| 6H | To consider and vote upon a proposal to elect director, effective as of and contingent upon the consummation of the Business Combination, to serve on Parent's board of directors in the event that Parent is not a controlled company upon the consummation of the Business Combination: Mike Gordon | Management | For | For | ||||||||||||||||||||||||||||
| 7 | The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the special meeting to a later date, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve one or more of the other proposals submitted for stockholder approval at the special meeting. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 410 | 0 | 29-Sep-2020 | 29-Sep-2020 | |||||||||||||||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | ||||||||||||||||||||||||||||||||
| Security | 95766B109 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 23-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US95766B1098 | Agenda | 935275001 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Sep-2020 | Holding Recon Date | 01-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1.1 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Carol L. Colman | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.2 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Daniel P. Cronin | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.3 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Paolo M. Cucchi | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending May 31, 2021. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 15,923 | 0 | 22-Oct-2020 | 22-Oct-2020 | |||||||||||||||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | ||||||||||||||||||||||||||||||||
| Security | 95766B109 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 23-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US95766B1098 | Agenda | 935275001 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Sep-2020 | Holding Recon Date | 01-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1.1 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Carol L. Colman | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.2 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Daniel P. Cronin | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.3 | Election of Class I Director to serve until the 2023 Annual Meeting of Stockholders: Paolo M. Cucchi | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending May 31, 2021. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 8,678 | 0 | 22-Oct-2020 | 22-Oct-2020 | |||||||||||||||||||||||||
| ARYA SCIENCES ACQUISITION CORP II | ||||||||||||||||||||||||||||||||
| Security | G31655114 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ARYBU | Meeting Date | 26-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | KYG316551145 | Agenda | 935284339 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Sep-2020 | Holding Recon Date | 04-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - RESOLVED, as an ordinary resolution, that ARYA's entry into the Business Combination Agreement, dated as of July 29, 2020 (as amended on October 2, 2020 by Amendment No.1 to Business Combination Agreement, and as may be further amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement"). | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Domestication Proposal - RESOLVED, as a special resolution, that ARYA be transferred by way of continuation to Delaware pursuant to Part XII of the Companies Law (Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the State of Delaware and, immediately upon being de- registered in the Cayman Islands, ARYA be continued and domesticated as a corporation under the laws of the State of Delaware (the "Domestication"). | Management | For | For | ||||||||||||||||||||||||||||
| 3. | Governing Documents Proposal A - RESOLVED, as an ordinary resolution, that the change in the authorized share capital of ARYA. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | Governing Documents Proposal B - RESOLVED, as a special resolution, that the authorization to the Board of Directors of New Cerevel (the "New Cerevel Board") to issue any or all shares of New Cerevel Preferred Stock in one or more classes or series, with such terms and conditions as may be expressly determined by the New Cerevel Board and as may be permitted by the Delaware General Corporation Law be approved. | Management | For | For | ||||||||||||||||||||||||||||
| 5. | Governing Documents Proposal C - RESOLVED, as a special resolution, that certain provisions of the certificate of incorporation of New Cerevel are subject to the Amended and Restated Registration and Shareholder Rights Agreement (as defined in the proxy statement/prospectus) be approved. | Management | For | For | ||||||||||||||||||||||||||||
| 6. | Governing Documents Proposal D - RESOLVED, as a special resolution, that the removal of the ability of New Cerevel stockholders to take action by written consent in lieu of a meeting be approved. | Management | For | For | ||||||||||||||||||||||||||||
| 7. | Governing Documents Proposal E - RESOLVED, as a special resolution, that the amendment and restatement of the Existing Governing Documents be approved and that all other changes necessary or, as mutually agreed in good faith by ARYA and Cerevel. | Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Nasdaq Proposal - RESOLVED, as an ordinary resolution, that for the purposes of complying with the applicable provisions of Nasdaq Stock Exchange Listing Rule 5635, the issuance of shares of New Cerevel Common Stock be approved. | Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Incentive Award Plan Proposal - RESOLVED, as an ordinary resolution, that the Cerevel Therapeutics Holdings, Inc. 2020 Equity Incentive Plan, a copy of which is attached to the proxy statement/prospectus as Annex J, be adopted and approved. | Management | For | For | ||||||||||||||||||||||||||||
| 10. | The Employee Stock Purchase Plan Proposal - RESOLVED, as an ordinary resolution, that the Cerevel Therapeutics Holdings, Inc. 2020 Employee Stock Purchase Plan, a copy of which is attached to the proxy statement/prospectus as Annex K, be adopted and approved. | Management | For | For | ||||||||||||||||||||||||||||
| 11. | The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the extraordinary general meeting to a later date or dates. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 143 | 0 | 21-Oct-2020 | 21-Oct-2020 | |||||||||||||||||||||||||
| HEALTHCARE MERGER CORP. | ||||||||||||||||||||||||||||||||
| Security | 42227L102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | HCCO | Meeting Date | 30-Oct-2020 | |||||||||||||||||||||||||||||
| ISIN | US42227L1026 | Agenda | 935286686 - Management | |||||||||||||||||||||||||||||
| Record Date | 25-Sep-2020 | Holding Recon Date | 25-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Oct-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To consider and vote upon a proposal to approve, assuming the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Agreement and Plan of Merger, dated as of July 29, 2020, by and among Specialists On Call, Inc. ("SOC Telemed"), HCMC, Sabre Merger Sub I, Inc., a wholly owned subsidiary of HCMC ("First Merger Sub"), and Sabre Merger Sub II, LLC, a wholly owned subsidiary of HCMC ("Second Merger Sub"), pursuant to which First Merger Sub will merge with and into SOC Telemed, with SOC Telemed being the surviving corporation. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | Increase the total number of authorized shares of all classes of capital stock from 111,000,000 shares to 505,000,000, which would consist of (i) 500,000,000 shares of Class A common stock and (ii) 5,000,000 shares of preferred stock. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | Require the affirmative vote of either a majority of the board of directors then in office or the holders of two- thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of the bylaws; provided that if two-thirds of the board of directors then in office has approved such adoption, amendment alteration or repeal of any provisions of the bylaws, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | Require the affirmative vote of either a majority of the board of directors or the holders of two-thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of certain provisions of the charter; provided that if two-thirds of the board of directors has approved such adoption, amendment, alteration or repeal, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock. | Management | For | For | ||||||||||||||||||||||||||||
| 5. | Provide that certain transactions would not be considered "competitive opportunities" and that each of Warburg Pincus Private Equity XI, L.P., Warburg Pincus Private Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., WP XI Partners, L.P., Warburg Pincus Private Equity XI-C, L.P. and WP XI Finance, LP and their respective affiliates, directors, principals, officers, employees and other representatives is not subject to the doctrine of corporate opportunity and does not have any duty to refrain from engaging directly or indirectly in an investment | Management | For | For | ||||||||||||||||||||||||||||
| 6. | Provide that, in addition to the indemnification provisions in the existing charter, (i) HCMC shall be the indemnitor of first resort,(ii) HCMC shall be required to advance the full amount of expenses incurred by indemnitees and shall be liable for the full amount of all claims to the extent legally permitted (III) HCMC irrevocably waives, relinquishes and releases such persons from any and all claims against them for contribution, subrogation or any other recovery of any kind in respect thereof | Management | For | For | ||||||||||||||||||||||||||||
| 7. | Clarify that the exclusive jurisdiction of the Court of Chancery of the State of Delaware shall not apply to suits brought to enforce any duty or liability under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended ("Exchange Act"), or any other claim for which the federal courts have exclusive or concurrent jurisdiction. To the fullest extent permitted by law, the federal district courts of the United States of America shall be the sole and exclusive forum for the resolution of claims arising under the Securities Act. | Management | For | For | ||||||||||||||||||||||||||||
| 8. | Authorize all other proposed changes, including, among others, those (i) resulting from the Business Combination, including changing the post-business combination corporate name from "Healthcare Merger Corp." to "SOC Telemed, Inc." and removing certain provisions relating to HCMC's prior status as a blank check company and HCMC Class B common stock that will no longer apply upon the Closing, or (ii) that are administrative or clarifying in nature, including the deletion of language without substantive effect. | Management | For | For | ||||||||||||||||||||||||||||
| 9A. | Election of Director: Bobbie Byrne | Management | For | For | ||||||||||||||||||||||||||||
| 9B. | Election of Director: Thomas J. Carella | Management | For | For | ||||||||||||||||||||||||||||
| 9C. | Election of Director: Joseph P. Greskoviak | Management | For | For | ||||||||||||||||||||||||||||
| 9D. | Election of Director: John W. Kalix | Management | For | For | ||||||||||||||||||||||||||||
| 9E. | Election of Director: Amr Kronfol | Management | For | For | ||||||||||||||||||||||||||||
| 9F. | Election of Director: Anne M. McGeorge | Management | For | For | ||||||||||||||||||||||||||||
| 9G. | Election of Director: Steven J. Shulman | Management | For | For | ||||||||||||||||||||||||||||
| 10. | The Incentive Plan Proposal - To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Equity Incentive Plan (the "Incentive Plan") and material terms thereunder. A copy of the Incentive Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex C. | Management | For | For | ||||||||||||||||||||||||||||
| 11. | The Employee Stock Purchase Plan Proposal - To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Employee Stock Purchase Plan (the "Employee Stock Purchase Plan") and material terms thereunder. A copy of the Employee Stock Purchase Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex D. | Management | For | For | ||||||||||||||||||||||||||||
| 12. | To consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for purposes of complying with applicable provisions of Nasdaq Listing Rule 5635, the issuance of more than 20% of HCMC's issued and outstanding common stock in connection with the Business Combination and the PIPE Investment (as defined in the proxy statement/consent solicitation statement/prospectus), and the related change in control. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 506 | 0 | 21-Oct-2020 | 21-Oct-2020 | |||||||||||||||||||||||||
| MONOCLE ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 609754106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MNCL | Meeting Date | 04-Nov-2020 | |||||||||||||||||||||||||||||
| ISIN | US6097541063 | Agenda | 935287373 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Sep-2020 | Holding Recon Date | 28-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Nov-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to approve and adopt the Amend and Restated Agreement and Plan of Merger, dated as of September 8, 2020, by and among Monocle, Monocle Holdings Inc., ("NewCo"), AerSale Corp., a Delaware corporation ("AerSale"), Monocle Merger Sub 1 Inc., a Delaware corporation and a wholly- owned direct subsidiary of NewCo, Monocle Merger Sub 2 LLC and Leonard Green & Partners, L.P., a Delaware limited partnership, solely in its capacity as the Holder Representative, and approve the transactions contemplated thereby. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Nasdaq Proposal - to approve, for proposes of complying with applicable Nasdaq listing rules, the issuance by NewCo, as successor to Monocle, of NewCo Common Stock in the Business Combination in an amount equal to 20% or more of the amount of Monocle's issued and outstanding common stock immediately prior to the issuance. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Incentive Plan Proposal - to approve the 2020 Equity Incentive Plan, which is an incentive compensation plan for directors, officers, employees, consultants, and advisors of NewCo and its subsidiaries, including AerSale. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Employee Purchase Plan Proposal - to approve the 2020 Employee Stock Purchase Plan, which is an incentive compensation plan for employees of NewCo and its subsidiaries, including AerSale. | Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Adjournment Proposal - to adjourn the Special Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal or the Nasdaq Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 177 | 0 | 21-Oct-2020 | 21-Oct-2020 | |||||||||||||||||||||||||
| MONOCLE ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 609754106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MNCL | Meeting Date | 06-Nov-2020 | |||||||||||||||||||||||||||||
| ISIN | US6097541063 | Agenda | 935286725 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Sep-2020 | Holding Recon Date | 28-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-Nov-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 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 for an additional three months, from November 11, 2020 to February 11, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Adjournment Proposal: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the foregoing proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 177 | 0 | 21-Oct-2020 | 21-Oct-2020 | |||||||||||||||||||||||||
| NETFIN ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G6455A107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | NFIN | Meeting Date | 10-Nov-2020 | |||||||||||||||||||||||||||||
| ISIN | KYG6455A1076 | Agenda | 935292920 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-Oct-2020 | Holding Recon Date | 12-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Nov-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal. To approve and adopt, the business combination described in this proxy statement/prospectus, including the Business Combination Agreement, (as amended on August 28, 2020, the "Business Combination Agreement"), by and among Netfin, Netfin Holdco ("Holdco"), Netfin Merger Sub (the "Merger Sub"), Symphonia Strategic Opportunities Limited ("SSOL"), IKON Strategic Holdings Fund ("IKON", and together with SSOL, the "Sellers") and MVR Netfin LLC, as the Netfin Representative. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Merger Proposal. To approve and adopt, as a special resolution, the merger of Netfin with and into Merger Sub, with Netfin surviving the merger as a wholly owned subsidiary of Holdco. This proposal is referred to as the "merger proposal" and, collectively with the business combination proposal, the "condition precedent proposals" | Management | For | For | ||||||||||||||||||||||||||||
| 3a. | Charter Proposal A - (i) the name of the new public entity will be "Triterras, Inc." as opposed to "Netfin Acquisition Corp." | Management | For | For | ||||||||||||||||||||||||||||
| 3b. | Charter Proposal B - Holdco will authorize an increased share capital of 469,000,001 ordinary shares of a par value of US$0.0001 each and 30,999,999 preference shares of a par value of US$0.0001. | Management | For | For | ||||||||||||||||||||||||||||
| 3c. | Charter Proposal C - the constitutional documents of Holdco will not include the various provisions applicable only to special purpose acquisition companies that the Current Charter contains (such as the obligation to dissolve and liquidate if a business combination is not consummated in a certain period of time). | Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Adjournment Proposal. To approve, as an ordinary resolution, the adjournment of the meeting to a later date or dates to be determined by the chairman of the meeting, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the meeting that more time is necessary or appropriate to approve one or more proposals of the meeting. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 2,191 | 0 | 09-Nov-2020 | 09-Nov-2020 | |||||||||||||||||||||||||
| EATON VANCE SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 27826S103 | Meeting Type | Contested-Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EVF | Meeting Date | 12-Nov-2020 | |||||||||||||||||||||||||||||
| ISIN | US27826S1033 | Agenda | 935275037 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 01-Sep-2020 | Holding Recon Date | 01-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Nov-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Stephen G. Flanagan | |||||||||||||||||||||||||||||||
| 2 | Frederic Gabriel | |||||||||||||||||||||||||||||||
| 3 | Christopher A. Klepps | |||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 4,226 | 0 | 11-Nov-2020 | 11-Nov-2020 | |||||||||||||||||||||||||
| EATON VANCE SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 27826S103 | Meeting Type | Contested-Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EVF | Meeting Date | 12-Nov-2020 | |||||||||||||||||||||||||||||
| ISIN | US27826S1033 | Agenda | 935276217 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Sep-2020 | Holding Recon Date | 01-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Nov-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Thomas E. Faust Jr. | |||||||||||||||||||||||||||||||
| 2 | Cynthia E. Frost | |||||||||||||||||||||||||||||||
| 3 | Susan J. Sutherland | |||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 4,226 | 0 | |||||||||||||||||||||||||||
| ORISUN ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 68632T109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ORSN | Meeting Date | 16-Nov-2020 | |||||||||||||||||||||||||||||
| ISIN | US68632T1097 | Agenda | 935295407 - Management | |||||||||||||||||||||||||||||
| Record Date | 07-Oct-2020 | Holding Recon Date | 07-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Nov-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve the merger of Orisun with and into Ucommune International Ltd, or PubCo, its wholly owned Cayman Islands subsidiary, with PubCo surviving the merger. The merger will change Orisun's place of incorporation from Delaware to Cayman Islands. We refer to the merger as the Reincorporation Merger. This proposal is referred to as the "Reincorporation Merger Proposal" or "Proposal No. 1". | Management | For | For | ||||||||||||||||||||||||||||
| 2. | To approve the authorization for PubCo's board of directors to complete the merger of Everstone Inernational Ltd or Merger Sub into Ucommune Group Holdings Limited, or Ucommune, resulting Ucommune becoming a wholly owned subsidiary of PubCo. We refer to the merger as the Acquisition Merger. This proposal is referred to as the "Acquisition Merger Proposal" or "Proposal No No. 2". | Management | For | For | ||||||||||||||||||||||||||||
| 3. | To approve PubCo's 2020 Equity Incentive Plan. This proposal is referred to as the "Incentive Plan Proposal" or "Proposal 3". | Management | For | For | ||||||||||||||||||||||||||||
| 4. | To approve the adjournment of the Special meeting in the event Orisun does not receive the requisite stockholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal" or "Proposal 4". | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,580 | 0 | 09-Nov-2020 | 09-Nov-2020 | |||||||||||||||||||||||||
| LEGACY ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 524643111 | Meeting Type | Consent | |||||||||||||||||||||||||||||
| Ticker Symbol | LGCWS | Meeting Date | 25-Nov-2020 | |||||||||||||||||||||||||||||
| ISIN | US5246431119 | Agenda | 935297122 - Management | |||||||||||||||||||||||||||||
| Record Date | 30-Sep-2020 | Holding Recon Date | 30-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Nov-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 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"). | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,038 | 0 | 12-Nov-2020 | 12-Nov-2020 | |||||||||||||||||||||||||
| TUSCAN HOLDINGS CORP. | ||||||||||||||||||||||||||||||||
| Security | 90069K104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | THCB | Meeting Date | 03-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US90069K1043 | Agenda | 935302137 - Management | |||||||||||||||||||||||||||||
| Record Date | 30-Oct-2020 | Holding Recon Date | 30-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to April 30, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment Proposal: Approve the adjournment of the special meeting to a later date or dates, if the Company determines that additional time is necessary to consummate the Extension. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 521 | 0 | 19-Nov-2020 | 19-Nov-2020 | |||||||||||||||||||||||||
| GIGCAPITAL2, INC. | ||||||||||||||||||||||||||||||||
| Security | 375036100 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GIX | Meeting Date | 08-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US3750361004 | Agenda | 935294708 - Management | |||||||||||||||||||||||||||||
| Record Date | 26-Oct-2020 | Holding Recon Date | 26-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Amend the Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a Business Combination from December 10, 2020 to March 10, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Dr. Avi S. Katz | For | For | |||||||||||||||||||||||||||||
| 2 | Dr. Raluca Dinu | For | For | |||||||||||||||||||||||||||||
| 3 | Neil Miotto | For | For | |||||||||||||||||||||||||||||
| 4 | John Mikulsky | For | For | |||||||||||||||||||||||||||||
| 5 | Gil Frostig | For | For | |||||||||||||||||||||||||||||
| 3. | Ratification of Appointment of BPM to serve as the Company's Independent Registered Public Accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 852 | 0 | 09-Nov-2020 | 09-Nov-2020 | |||||||||||||||||||||||||
| HAYMAKER ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | 42087L101 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | HYAC | Meeting Date | 08-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US42087L1017 | Agenda | 935300208 - Management | |||||||||||||||||||||||||||||
| Record Date | 04-Nov-2020 | Holding Recon Date | 04-Nov-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - to approve and adopt the Business Combination Agreement, dated as of September 8, 2020 (as it may be amended from time to time, the "Business Combination Agreement"). | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Lock-Up Agreement Proposal - to approve and ratify the entry into the Registration Rights and Lock-Up Agreement with the Sponsor, the directors and officers of Haymaker, and the other parties thereto (the "Registration Rights and Lock-Up Agreement"). | Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Incentive Plan Proposal - to approve and adopt the ARKO Corp. 2020 Incentive Compensation Plan established to be effective after the closing of the Business Combination. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Stockholder Adjournment Proposal - a proposal to authorize the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and voting of proxies if, based on the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination Proposal or Public Stockholders have elected to redeem an amount of Haymaker Class A Common Stock such that the minimum available cash condition to the closing of the Business Combination would not be satisfied. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 585 | 0 | 16-Nov-2020 | 16-Nov-2020 | |||||||||||||||||||||||||
| TRINE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 89628U108 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | TRNE | Meeting Date | 08-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US89628U1088 | Agenda | 935301313 - Management | |||||||||||||||||||||||||||||
| Record Date | 30-Oct-2020 | Holding Recon Date | 30-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve the Agreement and Plan of Merger, dated as of August 26, 2020 (as it may be amended and/or restated from time to time, the "Merger Agreement"), by and among Trine, Sparrow Merger Sub, Inc. ("Merger Sub") and Desktop Metal, Inc. ("Desktop Metal") and the transactions contemplated thereby, pursuant to which Merger Sub will merge with and into Desktop Metal with Desktop Metal surviving the merger as a wholly owned subsidiary of Trine (the "Business Combination"). | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Charter Amendment Proposal - To consider and vote upon a proposal to adopt an amendment to Trine's amended and restated certificate of incorporation currently in effect in the form attached to the Merger Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Approval Proposal - To consider and vote upon a proposal to adopt the Second Amended and Restated Certificate of Incorporation (the "Proposed Charter") in the form attached to the Proxy Statement/Consent Solicitation Statement/Prospectus. | Management | For | For | ||||||||||||||||||||||||||||
| 4A. | Required Vote to Amend the Charter | Management | For | For | ||||||||||||||||||||||||||||
| 4B. | Required Vote to Amend the Bylaws | Management | For | For | ||||||||||||||||||||||||||||
| 4C. | Director Removal | Management | For | For | ||||||||||||||||||||||||||||
| 4D. | Removal of Blank Check Company Provisions | Management | For | For | ||||||||||||||||||||||||||||
| 5A. | Election Director: Ric Fulop | Management | For | For | ||||||||||||||||||||||||||||
| 5B. | Election Director: Dayna Grayson | Management | For | For | ||||||||||||||||||||||||||||
| 5C. | Election Director: Leo Hindery, Jr. | Management | For | For | ||||||||||||||||||||||||||||
| 5D. | Election Director: Wen Hsieh | Management | For | For | ||||||||||||||||||||||||||||
| 5E. | Election Director: Jeff Immelt | Management | For | For | ||||||||||||||||||||||||||||
| 5F. | Election Director: Byron Knight | Management | For | For | ||||||||||||||||||||||||||||
| 5G. | Election Director: Stephen Nigro | Management | For | For | ||||||||||||||||||||||||||||
| 5H. | Election Director: Steve Papa | Management | For | For | ||||||||||||||||||||||||||||
| 5I. | Election Director: Andy Wheeler | Management | For | For | ||||||||||||||||||||||||||||
| 5J. | Election Director: Bilal Zuberi | Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Merger Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange (the "NYSE"), the issuance of shares of Class A common stock pursuant to the Business Combination. | Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Subscription Agreements Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the NYSE, the issuance of shares of Class A common stock pursuant to the Subscription Agreements. | Management | For | For | ||||||||||||||||||||||||||||
| 8. | The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Desktop Metal, Inc. 2020 Incentive Award Plan. | Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Adjournment Proposal - To consider & vote upon a proposal to approve adjournment of Special Meeting to a later date or dates, if necessary, to permit further solicitation & vote of proxies in event that there are insufficient votes for, or otherwise in connection with, approval of Business Combination Proposal, Charter Amendment Proposal, Charter Approval Proposal, Merger Issuance Proposal, Subscription Agreements Proposal or Incentive Plan Proposal, or Trine determines that one or more of closing conditions to Merger Agreement is not satisfied or waived. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 728 | 0 | 16-Nov-2020 | 16-Nov-2020 | |||||||||||||||||||||||||
| ROYCE GLOBAL VALUE TRUST, INC. | ||||||||||||||||||||||||||||||||
| Security | 78081T104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | RGT | Meeting Date | 17-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US78081T1043 | Agenda | 935271964 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Sep-2020 | Holding Recon Date | 08-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Global Value Trust, Inc. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 9,251 | 0 | 06-Oct-2020 | 06-Oct-2020 | |||||||||||||||||||||||||
| ROYCE GLOBAL VALUE TRUST, INC. | ||||||||||||||||||||||||||||||||
| Security | 78081T104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | RGT | Meeting Date | 17-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US78081T1043 | Agenda | 935271976 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 08-Sep-2020 | Holding Recon Date | 08-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Proposal to consider and approve a new investment advisory agreement, by and between Royce & Associates, LP and Royce Global Value Trust, Inc. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 9,251 | 0 | |||||||||||||||||||||||||||
| SPECIAL OPPORTUNITIES FUND, INC | ||||||||||||||||||||||||||||||||
| Security | 84741T104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | SPE | Meeting Date | 17-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US84741T1043 | Agenda | 935296055 - Management | |||||||||||||||||||||||||||||
| Record Date | 20-Oct-2020 | Holding Recon Date | 20-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Mr. Andrew Dakos | Split | Split | |||||||||||||||||||||||||||||
| 2 | Mr. Gerald Hellerman | Split | Split | |||||||||||||||||||||||||||||
| 3 | Mr. Charles Walden | Split | Split | |||||||||||||||||||||||||||||
| 4 | Mr. Ben Harris | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 3,814 | 0 | 16-Dec-2020 | 16-Dec-2020 | |||||||||||||||||||||||||
| HENNESSY CAPITAL ACQUISITION CORP. IV | ||||||||||||||||||||||||||||||||
| Security | 42589C104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | HCAC | Meeting Date | 21-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US42589C1045 | Agenda | 935314625 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Oct-2020 | Holding Recon Date | 27-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To approve and adopt the Merger Agreement, dated as of August 17, 2020 (as may be amended from time to time, the "Merger Agreement"). | Management | For | For | ||||||||||||||||||||||||||||
| 2. | To approve the amendment of the Company's Amended and Restated Certificate of Incorporation (the "Existing Charter"), which is reflected in the proposed Second Amended and Restated Certificate of Incorporation of the Company (the "Proposed Charter") to increase the authorized shares of the Company's common stock to 500,000,000 shares and authorized shares of preferred stock to 10,000,000. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | To approve the amendment of the Company's Existing Charter to require an affirmative vote of 66 2/3% of the outstanding shares of Company common stock to alter, amend, or repeal the proposed bylaws of the Company. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | To approve the amendment of the Company's Existing Charter to require an affirmative vote of 66 2/3% of the outstanding shares of Company common stock to alter, amend, or repeal Articles V, VI, VII and VIII of the Proposed Charter. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 5. | To approve and adopt the Proposed Charter that includes the approval of Proposal 2, Proposal 3 and Proposal 4 and provides for certain additional changes, including changing the Company's name from "Hennessy Capital Acquisition Corp. IV" to "Canoo Inc.," which our board of directors believes are necessary to adequately address the needs of the Company immediately following the consummation of the Business Combination and approval of the Proposed Charter. | Management | For | For | ||||||||||||||||||||||||||||
| 6. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Foster Chiang | For | For | |||||||||||||||||||||||||||||
| 2 | Greg Ethridge | For | For | |||||||||||||||||||||||||||||
| 3 | Thomas Dattilo | For | For | |||||||||||||||||||||||||||||
| 4 | Rainer Schmueckle | For | For | |||||||||||||||||||||||||||||
| 5 | Josette Sheeran | For | For | |||||||||||||||||||||||||||||
| 6 | Tony Aquila | For | For | |||||||||||||||||||||||||||||
| 7. | Incentive Plan Proposal - To approve and adopt the Canoo Inc. 2020 Equity Incentive Plan. The Incentive Plan Proposal is conditioned on the approval of the Business Combination Proposal and Proposal 2. | Management | For | For | ||||||||||||||||||||||||||||
| 8. | Purchase Plan Proposal - To approve and adopt the Canoo Inc. 2020 Employee Stock Purchase Plan. The Purchase Plan Proposal is conditioned on the approval of the Business Combination Proposal and Proposal 2. | Management | For | For | ||||||||||||||||||||||||||||
| 9. | Nasdaq Proposal - To approve, for purposes of complying with the applicable listing rules of the Nasdaq Stock Market, the issuance of up to 190,000,000 shares of the Company's Class A common stock to the Canoo shareholders pursuant to the Merger Agreement and 32,325,000 shares of the Company's Class A common stock to certain investors in the private placement of securities pursuant to the terms of certain subscription agreements entered into in connection with the Business Combination. | Management | For | For | ||||||||||||||||||||||||||||
| 10. | Adjournment Proposal - To adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Proposals, the Director Election Proposal, the Incentive Plan Proposal, the Purchase Plan Proposal or the Nasdaq Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 524 | 0 | 09-Dec-2020 | 09-Dec-2020 | |||||||||||||||||||||||||
| PROPTECH AQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 74349F101 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | PTAC | Meeting Date | 21-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US74349F1012 | Agenda | 935314815 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Nov-2020 | Holding Recon Date | 27-Nov-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal-To consider and vote upon a proposal to approve the Agreement and Plan of Merger ("Merger Agreement"). | Management | For | For | ||||||||||||||||||||||||||||
| 2. | To increase the number of authorized shares of New Porch (as defined in the accompanying Proxy Statement/Consent Solicitation Statement/Prospectus) common stock from 110,000,000 to 400,000,000 and the number of authorized shares of New Porch preferred stock from 1,000,000 to 10,000,000. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | To eliminate the Class B common stock classification and provide for a single class of common stock. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | To provide that the number of authorized shares of any class or classes of stock may be increased or decreased by the affirmative vote of the holders of a majority of the voting power of the stock of PTAC entitled to vote in the election of directors, voting together as a single class. | Management | For | For | ||||||||||||||||||||||||||||
| 5. | To provide that the number of directors of PTAC shall be fixed from time to time in accordance with the Bylaws of PTAC. | Management | For | For | ||||||||||||||||||||||||||||
| 6. | To provide that amendments to PTAC's waiver of corporate opportunities will be prospective only. | Management | For | For | ||||||||||||||||||||||||||||
| 7. | To require the vote of 66.7% of the voting power of the stock of PTAC entitled to vote in the election of directors, voting together as a single class, to amend the provisions of the Proposed Charter relating to the powers, number, election, term, vacancies and removal of directors of PTAC. | Management | For | For | ||||||||||||||||||||||||||||
| 8. | Conditioned upon the approval of Proposals No. 2 through 7 above, a proposal to approve the Proposed Charter, which includes the approval of all other changes in the Proposed Charter in connection with replacing the Existing Charter with the Proposed Charter, including changing PTAC's name from "PropTech Acquisition Corporation" to "Porch Group, Inc." as of the closing of the Merger. | Management | For | For | ||||||||||||||||||||||||||||
| 9. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Matt Ehrlichman | For | For | |||||||||||||||||||||||||||||
| 2 | Joe Hanauer | For | For | |||||||||||||||||||||||||||||
| 3 | Alan Pickerill | For | For | |||||||||||||||||||||||||||||
| 4 | Asha Sharma | For | For | |||||||||||||||||||||||||||||
| 5 | Chris Terrill | For | For | |||||||||||||||||||||||||||||
| 6 | Javier Saade | For | For | |||||||||||||||||||||||||||||
| 7 | Regi Vengalil | For | For | |||||||||||||||||||||||||||||
| 8 | Thomas D. Hennessy | For | For | |||||||||||||||||||||||||||||
| 9 | Margaret Whelan | For | For | |||||||||||||||||||||||||||||
| 10. | The Merger Issuance Proposal-To consider and vote upon a proposal to approve: (i) the issuance of shares of New Porch common stock; and (ii) the related change of control of PTAC that will occur in connection with consummation of the merger and the other transactions contemplated by the merger agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 11. | The PIPE Issuance Proposal - To approve, the issuance of shares of Class A Common Stock (such shares of Class A Common Stock to be automatically converted into New Porch common stock upon the consummation of the merger). | Management | For | For | ||||||||||||||||||||||||||||
| 12. | The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Incentive Plan (as defined in the accompanying Proxy Statement/Consent Solicitation Statement/Prospectus). | Management | For | For | ||||||||||||||||||||||||||||
| 13. | The Adjournment Proposal-To consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are not sufficient votes to approve the above proposals. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1,286 | 0 | 09-Dec-2020 | 09-Dec-2020 | |||||||||||||||||||||||||
| AMPLITUDE HEALTHCARE ACQUISITION CORP | ||||||||||||||||||||||||||||||||
| Security | 03212A105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AMHC | Meeting Date | 22-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US03212A1051 | Agenda | 935315805 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Nov-2020 | Holding Recon Date | 27-Nov-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Ratification of the selection of WithumSmith+Brown, PC by the audit committee to serve as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 2,490 | 0 | 15-Dec-2020 | 15-Dec-2020 | |||||||||||||||||||||||||
| APEX TECHNOLOGY ACQUISITION CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 03768F102 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | APXT | Meeting Date | 22-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US03768F1021 | Agenda | 935316922 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Nov-2020 | Holding Recon Date | 27-Nov-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | David Chao | For | For | |||||||||||||||||||||||||||||
| 2 | Donna Wells | For | For | |||||||||||||||||||||||||||||
| 2. | Ratification of the selection by the audit committee of WithumSmith+Brown, PC to serve as our independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 912 | 0 | 15-Dec-2020 | 15-Dec-2020 | |||||||||||||||||||||||||
| MVC CAPITAL, INC. | ||||||||||||||||||||||||||||||||
| Security | 553829102 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | MVC | Meeting Date | 23-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US5538291023 | Agenda | 935310627 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-Oct-2020 | Holding Recon Date | 29-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Adoption of the Agreement and Plan of Merger, dated as of August 10, 2020 (the "Merger Agreement"), by and among Barings BDC, Inc., a Maryland corporation, Mustang Acquisition Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of Barings BDC, Inc., MVC Capital, Inc. and Barings LLC, a Delaware limited liability company and the external investment adviser to Barings BDC, Inc., the Merger and the other transactions contemplated by the Merger Agreement (such proposal, the "Merger Proposal"). | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | Approval of the adjournment of the MVC Special Meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the MVC Special Meeting to approve the Merger Proposal. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 3,164 | 0 | 22-Dec-2020 | 22-Dec-2020 | |||||||||||||||||||||||||
| BARINGS BDC, INC. | ||||||||||||||||||||||||||||||||
| Security | 06759L103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 23-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US06759L1035 | Agenda | 935311314 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-Oct-2020 | Holding Recon Date | 29-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement"). | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable. | Management | Split | Split | ||||||||||||||||||||||||||||
| 3. | To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC. | Management | Split | Split | ||||||||||||||||||||||||||||
| 4. | To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,457 | 0 | 22-Dec-2020 | 22-Dec-2020 | |||||||||||||||||||||||||
| BARINGS BDC, INC. | ||||||||||||||||||||||||||||||||
| Security | 06759L103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 23-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US06759L1035 | Agenda | 935311314 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-Oct-2020 | Holding Recon Date | 29-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement"). | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable. | Management | Split | Split | ||||||||||||||||||||||||||||
| 3. | To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC. | Management | Split | Split | ||||||||||||||||||||||||||||
| 4. | To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 50,947 | 0 | 22-Dec-2020 | 22-Dec-2020 | |||||||||||||||||||||||||
| LIVE OAK ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 53804F103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LOAK | Meeting Date | 28-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US53804F1030 | Agenda | 935318697 - Management | |||||||||||||||||||||||||||||
| Record Date | 07-Dec-2020 | Holding Recon Date | 07-Dec-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the merger agreement, dated as of October 3, 2020 (as amended, the "Merger Agreement"), by and among Live Oak, Green Merger Corp., Meredian Holdings Group, Inc. (the "Danimer"), Live Oak Sponsor Partners, LLC and John A. Dowdy, Jr. and the transactions contemplated thereby (the "Business Combination"). | Management | For | For | ||||||||||||||||||||||||||||
| 2A. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To change Live Oak's name to "Danimer Scientific, Inc." The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 2B. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To revise Live Oak's purpose. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 2C. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To increase the authorized shares of Live Oak's Class A Common Stock, par value $0.0001 per share to 200,000,000 and Live Oak's preferred stock to 10,000,000. | Management | For | For | ||||||||||||||||||||||||||||
| 2D. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To remove the business combination requirements. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 2E. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To revise the choice of forum provisions. The Charter Amendment Proposal (including each sub- proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 2F. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To add the supermajority voting provisions. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 2G. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To remove the provision renouncing the corporate opportunity doctrine. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 2H. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To remove the provisions providing for a classified board of directors. The Charter Amendment Proposal (including each sub- proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 2I. | The Charter Amendment Proposal - To consider and vote upon a proposal to approve the material differences between the proposed fourth amended and restated certificate of incorporation of Live Oak that will be in effect upon the closing of the Business Combination and Live Oak's current certificate of incorporation: To approve all other changes. The Charter Amendment Proposal (including each sub-proposal) is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Stephen E. Croskrey | For | For | |||||||||||||||||||||||||||||
| 2 | John P. Amboian | For | For | |||||||||||||||||||||||||||||
| 3 | Richard J. Hendrix | For | For | |||||||||||||||||||||||||||||
| 4 | Christy Basco | For | For | |||||||||||||||||||||||||||||
| 5 | Philip Gregory Calhoun | For | For | |||||||||||||||||||||||||||||
| 6 | Gregory Hunt | For | For | |||||||||||||||||||||||||||||
| 7 | Dr. Isao Noda | For | For | |||||||||||||||||||||||||||||
| 8 | Stuart Pratt | For | For | |||||||||||||||||||||||||||||
| 4. | The NYSE Proposal - To consider and vote upon a proposal to approve, for purposes of complying with the applicable provisions of Section 312.03 of the New York Stock Exchange's ("NYSE") Listed Company Manual: (i) the issuance of more than 20% of Live Oak's Class A Common Stock in connection with the Business Combination, including, without limitation, to the investors in the PIPE; (ii) the issuance of shares of Live Oak's Class A Common Stock to a Related Party in connection with the Business Combination. | Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Equity Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the equity incentive award plan established to be effective after the Closing of the Business Combination. The Equity Incentive Plan Proposal is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Employee Stock Purchase Plan Proposal - To consider and vote upon a proposal approve and adopt the employee stock purchase plan established to be effective after the Closing of the Business Combination. The Employee Stock Purchase Plan Proposal is conditioned on the approval of the Business Combination Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 390 | 0 | 21-Dec-2020 | 21-Dec-2020 | |||||||||||||||||||||||||
| GX ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 36251A107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GXGX | Meeting Date | 29-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | US36251A1079 | Agenda | 935316910 - Management | |||||||||||||||||||||||||||||
| Record Date | 27-Nov-2020 | Holding Recon Date | 27-Nov-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Paul S. Levy | For | For | |||||||||||||||||||||||||||||
| 2. | Ratification of the selection by the audit committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2020. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 101 | 0 | 15-Dec-2020 | 15-Dec-2020 | |||||||||||||||||||||||||
| THUNDER BRIDGE ACQUISITION II, LTD | ||||||||||||||||||||||||||||||||
| Security | G8857S116 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | THBR | Meeting Date | 30-Dec-2020 | |||||||||||||||||||||||||||||
| ISIN | KYG8857S1167 | Agenda | 935316958 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Dec-2020 | Holding Recon Date | 01-Dec-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Dec-2020 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | RESOLVED, as an ordinary resolution, that the selection by the audit committee of Grant Thornton LLP to serve as our independent registered public accounting firm for the year ending December 31, 2020 be approved, adopted, confirmed and ratified in all respects. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1,424 | 0 | 15-Dec-2020 | 15-Dec-2020 | |||||||||||||||||||||||||
| EATON VANCE SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 27826S103 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EVF | Meeting Date | 12-Jan-2021 | |||||||||||||||||||||||||||||
| ISIN | US27826S1033 | Agenda | 935306604 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 29-Oct-2020 | Holding Recon Date | 29-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jan-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Proposal to consider and approve a new investment advisory agreement with Eaton Vance Management. | Management | ||||||||||||||||||||||||||||||
| 2. | To authorize the Proxyholders to decline to attend the Special Meeting if they believe that Proposal No. 1 is less likely to be approved if your shares are not represented at the Special Meeting (by making it more difficult for more than 50% of the outstanding shares to be present in person or by proxy) than if they are represented at the Special Meeting. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 6,862 | 0 | 08-Jan-2021 | 08-Jan-2021 | |||||||||||||||||||||||||
| EATON VANCE SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 27826S103 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EVF | Meeting Date | 12-Jan-2021 | |||||||||||||||||||||||||||||
| ISIN | US27826S1033 | Agenda | 935311895 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-Oct-2020 | Holding Recon Date | 29-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jan-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 4a. | Approval of a new investment advisory agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 6,862 | 0 | |||||||||||||||||||||||||||
| SC HEALTH CORPORATION | ||||||||||||||||||||||||||||||||
| Security | G78516203 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SCPE | Meeting Date | 12-Jan-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG785162036 | Agenda | 935320692 - Management | |||||||||||||||||||||||||||||
| Record Date | 21-Dec-2020 | Holding Recon Date | 21-Dec-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | China | Vote Deadline Date | 11-Jan-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Proposal - Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from January 16, 2021 to April 16, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 124 | 0 | 04-Jan-2021 | 04-Jan-2021 | |||||||||||||||||||||||||
| SILVER SPIKE ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G8136L106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SSPK | Meeting Date | 13-Jan-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG8136L1068 | Agenda | 935320755 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Dec-2020 | Holding Recon Date | 18-Dec-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Jan-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension of Corporate Life Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from February 12, 2021 to July 10, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | Adjournment Adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 368 | 0 | 04-Jan-2021 | 04-Jan-2021 | |||||||||||||||||||||||||
| NUVEEN MICHIGAN QLTY MUNI INC FD INC | ||||||||||||||||||||||||||||||||
| Security | 670979103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NUM | Meeting Date | 15-Jan-2021 | |||||||||||||||||||||||||||||
| ISIN | US6709791031 | Agenda | 935293871 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Sep-2020 | Holding Recon Date | 08-Sep-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-Jan-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve an Agreement and Plan of Reorganization pursuant to which Nuveen Michigan Quality Municipal Income Fund (the "Target Fund") would (i) transfer substantially all of its assets to Nuveen AMT-Free Quality Municipal Income Fund (the "Acquiring Fund"), (ii) distribute such newly issued shares of the Acquiring Fund to the common shareholders and preferred shareholders of the Target Fund, and (iii) liquidate, dissolve and terminate in accordance with applicable law. | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | John K. Nelson | Split | Split | |||||||||||||||||||||||||||||
| 2 | Terence J. Toth | Split | Split | |||||||||||||||||||||||||||||
| 3 | Robert L. Young | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 3,555 | 0 | 04-Dec-2020 | 14-Jan-2021 | |||||||||||||||||||||||||
| BLACKROCK NY INSURED MUNICIPAL INCOME TR | ||||||||||||||||||||||||||||||||
| Security | 09249U105 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | BSE | Meeting Date | 21-Jan-2021 | |||||||||||||||||||||||||||||
| ISIN | US09249U1051 | Agenda | 935296877 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Oct-2020 | Holding Recon Date | 16-Oct-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Jan-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | The common shareholders and holders of Variable Rate Demand Preferred Shares ("VRDP Shares" and the holders thereof, "VRDP Holders") of BlackRock New York Municipal Income Quality Trust ("BSE") are being asked to vote as a single class on a proposal to approve an Agreement and Plan of Reorganization between BSE and BlackRock New York Municipal Income Trust (the "Acquiring Fund" and such Agreement and Plan of Reorganization, the "BSE Reorganization Agreement") and the transactions contemplated therein. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 8,563 | 0 | 14-Dec-2020 | 14-Dec-2020 | |||||||||||||||||||||||||
| CC NEUBERGER PRINCIPAL HOLDINGS | ||||||||||||||||||||||||||||||||
| Security | G1992Y114 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | PCPL | Meeting Date | 02-Feb-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG1992Y1145 | Agenda | 935326442 - Management | |||||||||||||||||||||||||||||
| Record Date | 23-Dec-2020 | Holding Recon Date | 23-Dec-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-Feb-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Domestication Proposal - to consider and vote upon a proposal by special resolution to change the corporate structure and domicile of CCNB1 by way of continuation from an exempted company incorporated under the laws of the Cayman Islands to a corporation incorporated under the laws of the State of Delaware (the "Domestication"). The Domestication will be effected simultaneously with the Business Combination (as defined below) by CCNB1 filing a Certificate of Corporate Domestication ...(due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Business Combination Proposal - to consider and vote upon a proposal by ordinary resolution to approve the Business Combination Agreement, dated as of October 14, 2020 (as amended or supplemented from time to time, the "Business Combination Agreement"), by and among CCNB1, Sonar Merger Sub I, LLC, a Delaware limited liability company ("Blocker Merger Sub 1"), Sonar Merger Sub II, LLC, a Delaware limited liability company ("Blocker Merger Sub 2"), Sonar Merger Sub III, LLC ...(due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Equity Incentive Plan Proposal - to consider and vote upon the approval by ordinary resolution of the Equity Incentive Plan. CCNB1 refers to this as the "Equity Incentive Plan Proposal." A copy of the Equity Incentive Plan is attached to an amendment to the accompanying proxy statement/prospectus. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Charter Proposal - to consider and vote upon the approval by special resolution of the amendment and restatement of the Existing Organizational Documents (as defined herein) in their entirety by the proposed new certificate of incorporation (the "Certificate of Incorporation") of the Company (a corporation incorporated in the State of Delaware, assuming the Domestication Proposal is approved and adopted, and the filing with and acceptance by the Secretary of State of Delaware ...(due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 5A. | Organizational Documents Proposal 5a - an amendment to change the authorized capital stock of CCNB1 from (i) 500,000,000 Class A ordinary shares, par value $0.0001 per share (the "Class A ordinary shares"), 50,000,000 Class B ordinary shares, par value $0.001 per share (the "Class B ordinary shares"), and 1,000,000 preference shares, par value $0.0001 per share, to (ii) 2,500,000,000 shares of Class A common stock, par value $0.0001 per share, of the Company (the "Class A common stock") ....(due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 5B. | Organizational Documents Proposal 5b - an amendment to authorize the board of the directors of the Company subsequent to the completion of the Business Combination (the "Company Board") to make future issuances of any or all shares of Preferred Stock in one or more classes or series, with such terms and conditions as may be expressly determined by the Company Board and as may be permitted by the DGCL. | Management | For | For | ||||||||||||||||||||||||||||
| 5C. | Organizational Documents Proposal 5c - an amendment to provide that certain provisions of the Certificate of Incorporation are subject to certain provisions of the Investor Rights Agreement (as defined in the accompanying proxy statement/prospectus). | Management | For | For | ||||||||||||||||||||||||||||
| 5D. | Organizational Documents Proposal 5d - an amendment to remove the ability of the Company's stockholders to take action by written consent in lieu of a meeting unless such action is recommended or approved by all directors then in office. | Management | For | For | ||||||||||||||||||||||||||||
| 5E. | Organizational Documents Proposal 5e - an amendment to authorize the classification of the Company Board into three classes of directors with staggered three-year terms of office and make certain related changes. | Management | For | For | ||||||||||||||||||||||||||||
| 5F. | Organizational Documents Proposal 5f - an amendment to adopt Delaware as the exclusive forum for certain stockholder litigation. | Management | For | For | ||||||||||||||||||||||||||||
| 5G. | Organizational Documents Proposal 5g - certain other changes in connection with the replacement of Existing Organizational Documents with the Certificate of Incorporation and Bylaws to be adopted as part of the Domestication (copies of which are attached to the accompanying proxy statement/ prospectus as Annex E and Annex F, respectively), including (1) changing the post-Business Combination corporate name from "CC Neuberger Principal Holdings I" to "E2open Parent Holdings, Inc. | Management | For | For | ||||||||||||||||||||||||||||
| 6. | The NYSE Proposal - to consider and vote upon a proposal by ordinary resolution to approve, for the purposes of complying with the applicable provisions of NYSE Listing Rule 312.03, the issuance of shares of Class A common stock, and securities convertible into or exchangeable for Class A common stock, in connection with the Business Combination, the PIPE Investment, the Backstop Agreement, and any Permitted Equity Financing and shares of Class A common stock underlying Restricted Sponsor Shares (the "NYSE Proposal"). | Management | For | For | ||||||||||||||||||||||||||||
| 7. | The Adjournment Proposal - to consider and vote upon a proposal by ordinary resolution to approve the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the extraordinary general meeting (this proposal is referred to herein as the "Adjournment Proposal") | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 2,403 | 0 | 28-Jan-2021 | 28-Jan-2021 | |||||||||||||||||||||||||
| AGBA ACQUISITION LIMITED | ||||||||||||||||||||||||||||||||
| Security | G0120M109 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | AGBA | Meeting Date | 05-Feb-2021 | |||||||||||||||||||||||||||||
| ISIN | VGG0120M1095 | Agenda | 935329082 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-Jan-2021 | Holding Recon Date | 12-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Feb-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") THREE (3) TIMES FOR AN ADDITIONAL THREE MONTHS EACH TIME FROM FEBRUARY 16, 2021 TO NOVEMBER 16, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | APPROVAL OF AN AMENDMENT TO THE COMPANY'S EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 2,247 | 0 | 28-Jan-2021 | 28-Jan-2021 | |||||||||||||||||||||||||
| DTF TAX-FREE INCOME FUND INC. | ||||||||||||||||||||||||||||||||
| Security | 23334J107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | DTF | Meeting Date | 26-Feb-2021 | |||||||||||||||||||||||||||||
| ISIN | US23334J1079 | Agenda | 935325882 - Management | |||||||||||||||||||||||||||||
| Record Date | 05-Jan-2021 | Holding Recon Date | 05-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Feb-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Eileen A. Moran | Split | Split | |||||||||||||||||||||||||||||
| 2A. | To amend the Fund's charter in the following manner: To provide for the Fund to be wound up and dissolved, subject to compliance with Maryland law relating to corporate dissolution, on a specified date that is approximately seven years from the date of adoption of the charter amendment. | Management | Split | Split | ||||||||||||||||||||||||||||
| 2B. | To amend the Fund's charter in the following manner: Contingent on the approval of Proposal 2a, to authorize the Board of Directors of the Fund to extend the term of the Fund to once again have a perpetual existence, subject to the Fund having conducted a tender offer meeting certain conditions. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 5,738 | 0 | 25-Feb-2021 | 25-Feb-2021 | |||||||||||||||||||||||||
| OAKTREE SPECIALTY LENDING CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 67401P108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | OCSL | Meeting Date | 15-Mar-2021 | |||||||||||||||||||||||||||||
| ISIN | US67401P1084 | Agenda | 935330946 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Jan-2021 | Holding Recon Date | 19-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Mar-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Director: Deborah Gero | Management | ||||||||||||||||||||||||||||||
| 1B. | Election of Director: Craig Jacobson | Management | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of Ernst & Young LLP as the Independent Registered Public Accounting Firm for the Company for the fiscal year ending September 30, 2021. | Management | ||||||||||||||||||||||||||||||
| 3. | To approve the issuance of shares of common stock, par value $0.01 per share, of the Company to be issued pursuant to the Agreement and Plan of Merger, dated as of October 28, 2020, among Oaktree Strategic Income Corporation, a Delaware corporation ("OCSI"), the Company, Lion Merger Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of the Company, and, for the limited purposes set forth therein, Oaktree Fund Advisors, LLC, a Delaware limited liability company and investment adviser to each of the Company and OCSI. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 29,948 | 0 | |||||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 28,776 | 0 | |||||||||||||||||||||||||||
| OWL ROCK CAPITAL CORPORATION | ||||||||||||||||||||||||||||||||
| Security | 69121K104 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | ORCC | Meeting Date | 17-Mar-2021 | |||||||||||||||||||||||||||||
| ISIN | US69121K1043 | Agenda | 935331037 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Jan-2021 | Holding Recon Date | 15-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Mar-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve the Company's entry into an amended and restated investment advisory agreement (the "New Advisory Agreement") between the Company and Owl Rock Capital Advisors LLC (the "Adviser"), pursuant to which the Adviser will continue to provide investment advisory and management services to the Company following the change in control of the Adviser with no changes to terms, as more fully described in the accompanying proxy statement (the "New Advisory Agreement Proposal"). | Management | ||||||||||||||||||||||||||||||
| 2. | To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the New Advisory Agreement Proposal (the "Adjournment Proposal"). | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 11,077 | 0 | |||||||||||||||||||||||||||
| EATON VANCE FLOATING-RATE INCOME PLUS | ||||||||||||||||||||||||||||||||
| Security | 278284104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EFF | Meeting Date | 19-Mar-2021 | |||||||||||||||||||||||||||||
| ISIN | US2782841041 | Agenda | 935335871 - Management | |||||||||||||||||||||||||||||
| Record Date | 15-Jan-2021 | Holding Recon Date | 15-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Mar-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Approval of a new investment advisory and administrative agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser and administrator. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 53,789 | 0 | |||||||||||||||||||||||||||
| EATON VANCE FLOATING-RATE INCOME PLUS | ||||||||||||||||||||||||||||||||
| Security | 278284104 | Meeting Type | Contested-Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EFF | Meeting Date | 19-Mar-2021 | |||||||||||||||||||||||||||||
| ISIN | US2782841041 | Agenda | 935336328 - Opposition | |||||||||||||||||||||||||||||
| Record Date | 15-Jan-2021 | Holding Recon Date | 15-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Mar-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Proposal to consider and approve a new investment advisory agreement with Eaton Vance Management. | Management | ||||||||||||||||||||||||||||||
| 2. | To authorize the Proxyholders to decline to attend the Special Meeting if they believe that Proposal No. 1 is less likely to be approved if your shares are not represented at the Special Meeting (by making it more difficult for more than 50% of the outstanding shares to be present in person or by proxy) than if they are represented at the Special Meeting. | Management | ||||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 53,789 | 0 | |||||||||||||||||||||||||||
| REPLAY ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | G75130107 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | RPLA | Meeting Date | 25-Mar-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG751301071 | Agenda | 935336998 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Jan-2021 | Holding Recon Date | 28-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Mar-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | The Domestication: A proposal to be approved as a special resolution to change Replay's jurisdiction of incorporation from the Cayman Islands to the State of Delaware by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a limited liability company formed under the laws of the State of Delaware. | Management | For | For | ||||||||||||||||||||||||||||
| 1B. | The Replay Limited Liability Company Agreement (the "Replay LLCA"): A proposal to be approved as a special resolution to approve and adopt the Replay LLCA to govern Replay upon its Domestication. | Management | For | For | ||||||||||||||||||||||||||||
| 1C. | The Business Combination: A proposal to approve the transactions contemplated by the Transaction Agreement, dated October 12, 2020 (the "Transaction Agreement"), by and among Replay, Finance of America Equity Capital LLC ("FoA"), Finance of America Companies Inc. ("New Pubco"), RPLY Merger Sub LLC ("Replay Merger Sub"), RPLY BLKR Merger Sub LLC ("Blocker Merger Sub"), Blackstone Tactical Opportunities Fund (Urban Feeder) NQ L.P. ("Blocker"), Blackstone Tactical Opportunities Associates ... (due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 2A. | The Stock Issuance Proposals: Each issuance of Ordinary Shares pursuant to each Replay PIPE Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 2B. | The Stock Issuance Proposals: Each issuance of shares of Class A Common Stock pursuant to each New Pubco PIPE Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 2C. | The Stock Issuance Proposals: Each issuance of shares of Class A Common Stock pursuant to the Transaction Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 2D. | The Stock Issuance Proposals: Each issuance of shares of Class B Common Stock pursuant to the Transaction Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 2E. | The Stock Issuance Proposals: Each issuance of Ordinary Shares pursuant to each Replay PIPE Agreement entered into with an affiliate of Replay Sponsor, LLC (the "Sponsor"). | Management | For | For | ||||||||||||||||||||||||||||
| 2F. | The Stock Issuance Proposals: Each issuance of shares of Class A Common Stock to the Sellers, Blocker and Blocker GP pursuant to the Transaction Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 2G. | The Stock Issuance Proposals: Each issuance of Class B Common Stock to the Sellers pursuant to the Transaction Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 3A. | Organizational Documents Proposal A: To approve the provision in the Proposed Charter changing the authorized share capital from $20,200 divided into 200,000,000 Ordinary Shares of a par value of $0.0001 each and 2,000,000 preferred shares of a par value of $0.0001 each, to authorized capital stock of 6,601,000,000 shares, consisting of 6,000,000,000 shares of Class A Common Stock, $0.0001 par value per share, 1,000,000 shares of Class B Common Stock, $0.0001 par value per share, and 600,000,000 ... (due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 3B. | Organizational Documents Proposal B: To approve the provisions in the Proposed Charter, pursuant to which only the board of directors, the chairman of the board of directors or the chief executive officer, by or at their direction, may call a special meeting of the stockholders generally entitled to vote, or the board of directors or the chairman of the board of directors must, by or at their direction, call such a special meeting at the request of the Principal Stockholders except during any time ...(due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 3C. | Organizational Documents Proposal C: To approve all other changes in connection with the replacement of the Existing Organizational Documents of Replay with the Proposed Organizational Documents of New Pubco, including, among other things, (i) changing from a blank check company seeking a business combination within a certain period (as provided in the Existing Organizational Documents), to a corporation having perpetual existence (as provided in the Proposed Charter), ... (due to space limits, see proxy statement for full proposal). | Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Incentive Plan Proposal: A proposal to approve the adoption of the Finance of America Companies Inc. 2021 Omnibus Incentive Plan (the "Incentive Plan"). | Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Extension Proposal: A proposal to be approved by special resolution to approve an extension of the date by which Replay must consummate a Business Combination (as defined in the Existing Organizational Documents) to October 8, 2021 (or, if elected by FoA prior to the date the Registration Statement is declared effective under the Securities Act of 1933, such other date designated by FoA) to be effected by way of amendment and restatement of the Existing Organizational Documents. | Management | For | For | ||||||||||||||||||||||||||||
| 6. | The Adjournment Proposal: A proposal to approve the adjournment of the general meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Cayman Proposals, the Stock Issuance Proposals, the Organizational Documents Proposals, the Incentive Plan Proposal and/or the Extension Proposal. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 520 | 0 | 04-Mar-2021 | 04-Mar-2021 | |||||||||||||||||||||||||
| ABERDEEN FUNDS | ||||||||||||||||||||||||||||||||
| Security | 00301W105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AEF | Meeting Date | 01-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | US00301W1053 | Agenda | 935340579 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Feb-2021 | Holding Recon Date | 16-Feb-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 31-Mar-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1.1 | Election of Class I Director for three year term until 2024 Annual Meeting: Nancy Yao Maasbach | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.2 | Election of Class I Director for three year term until 2024 Annual Meeting: Rahn Porter | Management | Split | Split | ||||||||||||||||||||||||||||
| 2.1 | To consider the continuation of the term of one Class III Director under the Fund's Corporate Governance Policies for a two-year term ending in 2023: Steven N. Rappaport | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,424 | 0 | 31-Mar-2021 | 31-Mar-2021 | |||||||||||||||||||||||||
| ABERDEEN FUNDS | ||||||||||||||||||||||||||||||||
| Security | 00301W105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | AEF | Meeting Date | 01-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | US00301W1053 | Agenda | 935340579 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Feb-2021 | Holding Recon Date | 16-Feb-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 31-Mar-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1.1 | Election of Class I Director for three year term until 2024 Annual Meeting: Nancy Yao Maasbach | Management | Split | Split | ||||||||||||||||||||||||||||
| 1.2 | Election of Class I Director for three year term until 2024 Annual Meeting: Rahn Porter | Management | Split | Split | ||||||||||||||||||||||||||||
| 2.1 | To consider the continuation of the term of one Class III Director under the Fund's Corporate Governance Policies for a two-year term ending in 2023: Steven N. Rappaport | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 15,016 | 0 | 31-Mar-2021 | 31-Mar-2021 | |||||||||||||||||||||||||
| KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC | ||||||||||||||||||||||||||||||||
| Security | 48661E108 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | KMF | Meeting Date | 08-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | US48661E1082 | Agenda | 935347547 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-Feb-2021 | Holding Recon Date | 12-Feb-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Apr-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | ELECTION OF DIRECTOR FOR A TERM OF THREE YEARS: MICHAEL J. LEVITT | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KMF'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2021. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 17,248 | 0 | 07-Apr-2021 | 07-Apr-2021 | |||||||||||||||||||||||||
| TUSCAN HOLDINGS CORP II | ||||||||||||||||||||||||||||||||
| Security | 90070A103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | THCA | Meeting Date | 14-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | US90070A1034 | Agenda | 935362551 - Management | |||||||||||||||||||||||||||||
| Record Date | 16-Mar-2021 | Holding Recon Date | 16-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Apr-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to September 30, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | Early Termination Proposal: 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 | ||||||||||||||||||||||||||||
| 3. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Sila Calderón | For | For | |||||||||||||||||||||||||||||
| 2 | Michael Auerbach | For | For | |||||||||||||||||||||||||||||
| 4. | Adjournment Proposal: Approve the adjournment of the annual meeting to a later date or dates, if the Company determines that additional time is necessary to effectuate the Extension. | Management | �� | For | For | |||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 2,002 | 0 | 26-Mar-2021 | 26-Mar-2021 | |||||||||||||||||||||||||
| SC HEALTH CORPORATION | ||||||||||||||||||||||||||||||||
| Security | G78516203 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | SCPE | Meeting Date | 14-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG785162036 | Agenda | 935364341 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Mar-2021 | Holding Recon Date | 18-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | China | Vote Deadline Date | 13-Apr-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Proposal: Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination from April 16, 2021 to August 16, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 124 | 0 | 26-Mar-2021 | 26-Mar-2021 | |||||||||||||||||||||||||
| PGIM INVESTMENTS | ||||||||||||||||||||||||||||||||
| Security | 69346J106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GHY | Meeting Date | 16-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | US69346J1060 | Agenda | 935329676 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Dec-2020 | Holding Recon Date | 18-Dec-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Apr-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Scott E. Benjamin | Split | Split | |||||||||||||||||||||||||||||
| 2 | Linda W. Bynoe | Split | Split | |||||||||||||||||||||||||||||
| 3 | Laurie Simon Hodrick | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 280 | 0 | 08-Mar-2021 | 15-Apr-2021 | |||||||||||||||||||||||||
| PGIM INVESTMENTS | ||||||||||||||||||||||||||||||||
| Security | 69346J106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GHY | Meeting Date | 16-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | US69346J1060 | Agenda | 935329676 - Management | |||||||||||||||||||||||||||||
| Record Date | 18-Dec-2020 | Holding Recon Date | 18-Dec-2020 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Apr-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Scott E. Benjamin | Split | Split | |||||||||||||||||||||||||||||
| 2 | Linda W. Bynoe | Split | Split | |||||||||||||||||||||||||||||
| 3 | Laurie Simon Hodrick | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 17,874 | 0 | 08-Mar-2021 | 15-Apr-2021 | |||||||||||||||||||||||||
| UNION ACQUISITION CORP. II | ||||||||||||||||||||||||||||||||
| Security | G9402Q100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | LATN | Meeting Date | 16-Apr-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG9402Q1001 | Agenda | 935356762 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-Mar-2021 | Holding Recon Date | 10-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Apr-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment: A special resolution to amend the Company's Amended and Restated Memorandum and Articles of Association to extend the date by which the Company must consummate a Business Combination from April 22, 2021 to October 22, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | Adjournment: An ordinary resolution to adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1,990 | 0 | 12-Apr-2021 | 12-Apr-2021 | |||||||||||||||||||||||||
| SOURCE CAPITAL, INC. | ||||||||||||||||||||||||||||||||
| Security | 836144105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | SOR | Meeting Date | 10-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US8361441053 | Agenda | 935391261 - Management | |||||||||||||||||||||||||||||
| Record Date | 22-Mar-2021 | Holding Recon Date | 22-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Atwood | Split | Split | |||||||||||||||||||||||||||||
| 2 | Brown | Split | Split | |||||||||||||||||||||||||||||
| 3 | Lipson | Split | Split | |||||||||||||||||||||||||||||
| 4 | Osborne | Split | Split | |||||||||||||||||||||||||||||
| 5 | Pisano | Split | Split | |||||||||||||||||||||||||||||
| 6 | Purcell | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 2,163 | 0 | 07-May-2021 | 07-May-2021 | |||||||||||||||||||||||||
| SOURCE CAPITAL, INC. | ||||||||||||||||||||||||||||||||
| Security | 836144105 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | SOR | Meeting Date | 10-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US8361441053 | Agenda | 935391261 - Management | |||||||||||||||||||||||||||||
| Record Date | 22-Mar-2021 | Holding Recon Date | 22-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Atwood | Split | Split | |||||||||||||||||||||||||||||
| 2 | Brown | Split | Split | |||||||||||||||||||||||||||||
| 3 | Lipson | Split | Split | |||||||||||||||||||||||||||||
| 4 | Osborne | Split | Split | |||||||||||||||||||||||||||||
| 5 | Pisano | Split | Split | |||||||||||||||||||||||||||||
| 6 | Purcell | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 196 | 0 | 07-May-2021 | 07-May-2021 | |||||||||||||||||||||||||
| GREENVISION ACQUISITION CORP. | ||||||||||||||||||||||||||||||||
| Security | 39678G103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | GRNV | �� | Meeting Date | 12-May-2021 | ||||||||||||||||||||||||||||
| ISIN | US39678G1031 | Agenda | 935411734 - Management | |||||||||||||||||||||||||||||
| Record Date | 14-Apr-2021 | Holding Recon Date | 14-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Extension Amendment: 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 May 21, 2021 to August 19, 2021. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Zhigeng (David) Fu | For | For | |||||||||||||||||||||||||||||
| 2 | Qi (Karl) Ye | For | For | |||||||||||||||||||||||||||||
| 3 | He (Herbert) Yu | For | For | |||||||||||||||||||||||||||||
| 4 | Jonathan Intrater | For | For | |||||||||||||||||||||||||||||
| 5 | Lee Stern | For | For | |||||||||||||||||||||||||||||
| 3. | Adjournment of Meeting: Approve the adjournment of the annual meeting under certain circumstances, if necessary or advisable, to permit further solicitation of proxies in the event there are not sufficient votes at the time of the special meeting to approve the Extension Amendment. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 3,133 | 0 | 30-Apr-2021 | 30-Apr-2021 | |||||||||||||||||||||||||
| EATON VANCE FLOATING-RATE INCOME PLUS | ||||||||||||||||||||||||||||||||
| Security | 278284104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EFF | Meeting Date | 14-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US2782841041 | Agenda | 935393099 - Management | |||||||||||||||||||||||||||||
| Record Date | 01-Mar-2021 | Holding Recon Date | 01-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve the liquidation and termination of the Fund pursuant to the Plan of Liquidation and Termination adopted by the Board of Trustees of the Fund. | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | William H. Park | Split | Split | |||||||||||||||||||||||||||||
| 2 | Keith Quinton | Split | Split | |||||||||||||||||||||||||||||
| 3 | Susan J. Sutherland | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 58,028 | 0 | 13-May-2021 | 13-May-2021 | |||||||||||||||||||||||||
| XAI OCTAGON FUNDS | ||||||||||||||||||||||||||||||||
| Security | 98400T205 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | XFLTPR | Meeting Date | 18-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US98400T2050 | Agenda | 935411316 - Management | |||||||||||||||||||||||||||||
| Record Date | 06-Apr-2021 | Holding Recon Date | 06-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Class I Trustee of the Trust, to be elected by common shares and preferred shares voting as a single class, to serve until the 2024 annual meeting: Theodore J. Brombach | Management | Split | Split | ||||||||||||||||||||||||||||
| 1B. | Election of Class I Trustee of the Trust, to be elected by preferred shares voting as a separate class, to serve until the 2024 annual meeting: Danielle Cupps | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 2,134 | 0 | 17-May-2021 | 17-May-2021 | |||||||||||||||||||||||||
| BARINGS BDC, INC. | ||||||||||||||||||||||||||||||||
| Security | 06759L103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 20-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US06759L1035 | Agenda | 935375104 - Management | |||||||||||||||||||||||||||||
| Record Date | 12-Mar-2021 | Holding Recon Date | 12-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick | Management | Split | Split | ||||||||||||||||||||||||||||
| 1B. | Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel | Management | Split | Split | ||||||||||||||||||||||||||||
| 1C. | Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 30% of its then outstanding common stock immediately prior to each such offering). | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 14,279 | 0 | 19-May-2021 | 19-May-2021 | |||||||||||||||||||||||||
| BARINGS BDC, INC. | ||||||||||||||||||||||||||||||||
| Security | 06759L103 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 20-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US06759L1035 | �� | Agenda | 935375104 - Management | ||||||||||||||||||||||||||||
| Record Date | 12-Mar-2021 | Holding Recon Date | 12-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick | Management | Split | Split | ||||||||||||||||||||||||||||
| 1B. | Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel | Management | Split | Split | ||||||||||||||||||||||||||||
| 1C. | Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 30% of its then outstanding common stock immediately prior to each such offering). | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 6,008 | 0 | 19-May-2021 | 19-May-2021 | |||||||||||||||||||||||||
| VOYA PRIME RATE TRUST | ||||||||||||||||||||||||||||||||
| Security | 92913A100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | PPR | Meeting Date | 21-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US92913A1007 | Agenda | 935418295 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Mar-2021 | Holding Recon Date | 08-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve the New Investment Management Agreement between the Fund and Saba Capital Management, L.P. in connection with the Adviser Transition as defined in the Proxy Statement. | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To remove the Fund's fundamental investment restriction relating to investing in warrants. | Management | Split | Split | ||||||||||||||||||||||||||||
| 3. | To remove the Fund's fundamental investment restriction relating to purchasing or selling equity securities, engaging in short-selling and the use of certain option arrangements. | Management | Split | Split | ||||||||||||||||||||||||||||
| 4. | To remove the Fund's fundamental investment restriction relating to investing in other investment companies. | Management | Split | Split | ||||||||||||||||||||||||||||
| 5. | To approve changing the Fund's sub-classification under the Investment Company Act of 1940 from "diversified" to "non-diversified." | Management | Split | Split | ||||||||||||||||||||||||||||
| 6. | To approve a change of the investment objective and to make the investment objective non-fundamental. | Management | Split | Split | ||||||||||||||||||||||||||||
| 7. | To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 101,425 | 0 | 20-May-2021 | 20-May-2021 | |||||||||||||||||||||||||
| VOYA PRIME RATE TRUST | ||||||||||||||||||||||||||||||||
| Security | 92913A100 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | PPR | Meeting Date | 21-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US92913A1007 | Agenda | 935418295 - Management | |||||||||||||||||||||||||||||
| Record Date | 08-Mar-2021 | Holding Recon Date | 08-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | To approve the New Investment Management Agreement between the Fund and Saba Capital Management, L.P. in connection with the Adviser Transition as defined in the Proxy Statement. | Management | Split | Split | ||||||||||||||||||||||||||||
| 2. | To remove the Fund's fundamental investment restriction relating to investing in warrants. | Management | Split | Split | ||||||||||||||||||||||||||||
| 3. | To remove the Fund's fundamental investment restriction relating to purchasing or selling equity securities, engaging in short-selling and the use of certain option arrangements. | Management | Split | Split | ||||||||||||||||||||||||||||
| 4. | To remove the Fund's fundamental investment restriction relating to investing in other investment companies. | Management | Split | Split | ||||||||||||||||||||||||||||
| 5. | To approve changing the Fund's sub-classification under the Investment Company Act of 1940 from "diversified" to "non-diversified." | Management | Split | Split | ||||||||||||||||||||||||||||
| 6. | To approve a change of the investment objective and to make the investment objective non-fundamental. | Management | Split | Split | ||||||||||||||||||||||||||||
| 7. | To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 68,514 | 0 | 20-May-2021 | 20-May-2021 | |||||||||||||||||||||||||
| NUVEEN MARYLAND QUALITY MUNICIPAL INC FD | ||||||||||||||||||||||||||||||||
| Security | 67061Q107 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NMY | Meeting Date | 25-May-2021 | |||||||||||||||||||||||||||||
| ISIN | US67061Q1076 | Agenda | 935346141 - Management | |||||||||||||||||||||||||||||
| Record Date | 29-Jan-2021 | Holding Recon Date | 29-Jan-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-May-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Jack B. Evans | Split | Split | |||||||||||||||||||||||||||||
| 2 | Matthew Thornton III | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 4,774 | 0 | 05-Apr-2021 | 05-Apr-2021 | |||||||||||||||||||||||||
| THUNDER BRIDGE ACQUISITION II, LTD | ||||||||||||||||||||||||||||||||
| Security | G8857S116 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | THBR | Meeting Date | 09-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | KYG8857S1167 | Agenda | 935439756 - Management | |||||||||||||||||||||||||||||
| Record Date | 10-May-2021 | Holding Recon Date | 10-May-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1) | RESOLVED, as special resolution that Thunder Bridge Acquisition II, Ltd. be de-registered in the Cayman Islands pursuant to Article 47 of the Amended and Restated Articles of Association of Thunder Bridge Acquisition II, Ltd. and be registered by way of continuation as a corporation in the State of Delaware and conditional upon, and with effect from, the registration of Thunder Bridge Acquisition II, Ltd. in the State of Delaware as a corporation, governed by the certificate of incorporation attached as Annex A. | Management | For | For | ||||||||||||||||||||||||||||
| 2) | RESOLVED, as an ordinary resolution, that Thunder Bridge II's entry into the Master Transactions Agreement dated effective as of December 14, 2020 (as amended or supplemented from time to time, the "MTA") by and among Thunder Bridge II, Surviving Pubco, Merger Subs, indie, the ADK Blocker Group, ADK Service Provider Holdco and, solely in its capacity as the indie Securityholder Representative thereunder, Donald McClymont, the consummation of the transactions contemplated by the MTA, including the issuance of the merger consideration thereunder. | Management | For | For | ||||||||||||||||||||||||||||
| 3) | RESOLVED, as an ordinary resolution, that the indie Semiconductor, Inc. 2021 Omnibus Equity Incentive Plan (a copy of the 2021 Equity Incentive Plan is attached to the proxy statement/prospectus as Annex C) be adopted and approved in all respects. | Management | For | For | ||||||||||||||||||||||||||||
| 4) | DIRECTOR | Management | ||||||||||||||||||||||||||||||
| 1 | Sonalee Parekh | For | For | |||||||||||||||||||||||||||||
| 2 | Ichiro Aoki | For | For | |||||||||||||||||||||||||||||
| 3 | Jeffrey Owens | For | For | |||||||||||||||||||||||||||||
| 4 | William Woodward | For | For | |||||||||||||||||||||||||||||
| 5 | Karl-Thomas Neumann | For | For | |||||||||||||||||||||||||||||
| 6 | Diane Brink | For | For | |||||||||||||||||||||||||||||
| 7 | Donald McClymont | For | For | |||||||||||||||||||||||||||||
| 8 | Peter Kight | For | For | |||||||||||||||||||||||||||||
| 9 | David Aldrich | For | For | |||||||||||||||||||||||||||||
| 5) | RESOLVED, as an ordinary resolution, that the issuance of an aggregate of 90,000,000 Merger Consideration shares, up to an aggregate of 10,000,000 Earn-Out Shares, and 15,000,000 Class A ordinary shares in the PIPE Financing be approved and adopted in all respects. | Management | For | For | ||||||||||||||||||||||||||||
| 6A) | Advisory Charter Proposal A - to provide that the total number of shares of all classes of capital stock which the Company will have authority to issue is 300,000,000 shares, consisting of (i) 250,000,000 shares of Class A common stock, par value $0.0001 per share, (ii) 40,000,000 shares of Class V common stock, no par value, and (iii) 10,000,000 shares of preferred stock, par value $0.0001 per share. | Management | For | For | ||||||||||||||||||||||||||||
| 6B) | Advisory Charter Proposal B - to provide that special meetings of stockholders of the Company may be called only (i) by the chairman of the board of directors, (ii) by the chief executive officer, or (iii) by the secretary acting at the request of a majority of the total number of directors that the Company would have if there were no vacancies. | Management | For | For | ||||||||||||||||||||||||||||
| 6C) | Advisory Charter Proposal C - to provide that any action of the stockholders of the Company may be taken without a meeting, without prior notice and without a vote, if a consent in writing, setting forth the action so taken, is signed by the holders of outstanding stock having not less than the minimum number of votes that would be necessary to authorize or take such action at a meeting at which all shares entitled to vote thereon were present and voted. | Management | For | For | ||||||||||||||||||||||||||||
| 6D) | Advisory Charter Proposal D - to provide that the Company's board of directors will be divided into three classes designated as Class I, Class II and Class III. | Management | For | For | ||||||||||||||||||||||||||||
| 6E) | Advisory Charter Proposal E - to provide that directors may be elected by the stockholders only at an annual meeting of stockholders by a plurality of the votes cast. | Management | For | For | ||||||||||||||||||||||||||||
| 6F) | Advisory Charter Proposal F - to provide that any director may be removed from office at any time, but only for cause, by the affirmative vote of the holders of at least 662/3% of the voting power of the outstanding voting capital stock of the Company, voting together as a single class. | Management | For | For | ||||||||||||||||||||||||||||
| 6G) | Advisory Charter Proposal G - to provide that the affirmative vote of the holders of at least 662/3% of the voting power of the outstanding voting capital stock of the Company, voting together as a single class, will be required to amend or repeal, or adopt any provision inconsistent with, provisions relating to calling special meetings of stockholders and stockholder action by written consent. | Management | For | For | ||||||||||||||||||||||||||||
| 6H) | Advisory Charter Proposal H - to provide that the Court of Chancery of the State of Delaware or, if such court does not have subject matter jurisdiction thereof, any federal court located within the State of Delaware, shall be the exclusive forum for certain actions and claims. | Management | For | For | ||||||||||||||||||||||||||||
| 6I) | Advisory Charter Proposal I - to provide that the Company will not be subject to provisions Section 203 of the DGCL, which generally prohibits "interested stockholders" (stockholders holding 15% or more of the outstanding stock) from engaging in business combinations with the Company for a period of time unless certain conditions are met. | Management | For | For | ||||||||||||||||||||||||||||
| 7) | RESOLVED, as an ordinary resolution, that the adjournment of the Shareholders Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies if it is determined by Thunder Bridge II that more time is necessary or appropriate to approve one or more Shareholder Proposals at the Shareholders Meeting be approved and adopted in all respects. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 592 | 0 | 21-May-2021 | 21-May-2021 | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 40 | 0 | 21-May-2021 | 21-May-2021 | |||||||||||||||||||||||||
| CHURCHILL CAP CORP II | ||||||||||||||||||||||||||||||||
| Security | 17143G106 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | CCX | Meeting Date | 10-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US17143G1067 | Agenda | 935450089 - Management | |||||||||||||||||||||||||||||
| Record Date | 28-Apr-2021 | Holding Recon Date | 28-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | The Merger Proposal - To consider and vote upon a proposal to approve the Agreement and Plan of Merger, dated as of October 12, 2020 (as it may be amended and/or restated from time to time, the "Skillsoft Merger Agreement"), by and among Churchill and Software Luxembourg Holding S.A. ("Skillsoft"), and the transactions contemplated thereby. | Management | For | For | ||||||||||||||||||||||||||||
| 2. | The Merger Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange (the "NYSE"), the issuance of shares of Churchill Class A common stock and Churchill Class C common stock pursuant to the Skillsoft Merger Agreement. | Management | For | For | ||||||||||||||||||||||||||||
| 3. | The Charter Amendment Proposal - To consider and vote upon a proposal to adopt an amendment (the "Charter Amendment") to Churchill's amended and restated certificate of incorporation currently in effect (the "Existing Charter") in the form attached to the Joint Proxy Statement/Prospectus as Annex B. | Management | For | For | ||||||||||||||||||||||||||||
| 4. | The Charter Approval Proposal - To consider and vote upon a proposal to adopt the Second Amended and Restated Certificate of Incorporation (the "Proposed Charter") in the form attached to the Joint Proxy StatementProspectus as Annex C. | Management | For | For | ||||||||||||||||||||||||||||
| 5. | The Governance Proposal - To consider and act upon, on a non- binding advisory basis, a separate proposal with respect to certain governance provisions in the Proposed Charter in order to give holders of Churchill common stock the opportunity to present their separate views on important corporate governance procedures. | Management | For | For | ||||||||||||||||||||||||||||
| 6A. | Election of Director: Jeffrey R. Tarr | Management | For | For | ||||||||||||||||||||||||||||
| 6B. | Election of Director: Helena B. Foulkes | Management | For | For | ||||||||||||||||||||||||||||
| 6C. | Election of Director: Ronald W. Hovsepian | Management | For | For | ||||||||||||||||||||||||||||
| 6D. | Election of Director: Michael Klein | Management | For | For | ||||||||||||||||||||||||||||
| 6E. | Election of Director: Karen G. Mills | Management | For | For | ||||||||||||||||||||||||||||
| 6F. | Election of Director: Lawrence H. Summers | Management | For | For | ||||||||||||||||||||||||||||
| 6G. | Election of Director: Peter Schmitt | Management | For | For | ||||||||||||||||||||||||||||
| 7.�� | The Prosus PIPE Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with the applicable listing rules of the NYSE, the issuance of shares of Churchill Class A common stock pursuant to the Prosus Subscription Agreement (including the shares issuable (i) upon Prosus's exercise of the Prosus Top-Up Right and (ii) upon Prosus's exercise of the Prosus Warrants (each as defined in the Joint Proxy Statement/Prospectus)). | Management | For | For | ||||||||||||||||||||||||||||
| 8. | The SuRo PIPE Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with the applicable listing rules of the NYSE, the issuance of shares of Class A common stock pursuant to the SuRo Subscription Agreement (as defined in the Joint Proxy Statement/Prospectus). | Management | For | For | ||||||||||||||||||||||||||||
| 9. | The Incentive Plan Proposal - To consider and vote upon a proposal to approve and adopt the Incentive Plan (as defined in the Joint Proxy Statement/Prospectus). | Management | For | For | ||||||||||||||||||||||||||||
| 10. | The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the Churchill 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. | Management | For | For | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 1,227 | 0 | 01-Jun-2021 | 01-Jun-2021 | |||||||||||||||||||||||||
| NEXPOINT FUNDS | ||||||||||||||||||||||||||||||||
| Security | 65340G205 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NHF | Meeting Date | 11-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US65340G2057 | Agenda | 935432459 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Apr-2021 | Holding Recon Date | 19-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Class III Trustee to serve for a three year term expiring at the 2024 Annual Meeting: John Honis | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.18 | TRVF RIVERNORTH - BNP PLEDGE | 145442.18 | UMB BANK, N.A. | 5,572 | 0 | 10-Jun-2021 | 10-Jun-2021 | |||||||||||||||||||||||||
| NEXPOINT FUNDS | ||||||||||||||||||||||||||||||||
| Security | 65340G205 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | NHF | Meeting Date | 11-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US65340G2057 | Agenda | 935432459 - Management | |||||||||||||||||||||||||||||
| Record Date | 19-Apr-2021 | Holding Recon Date | 19-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1A. | Election of Class III Trustee to serve for a three year term expiring at the 2024 Annual Meeting: John Honis | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 1,899 | 0 | 10-Jun-2021 | 10-Jun-2021 | |||||||||||||||||||||||||
| FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC | ||||||||||||||||||||||||||||||||
| Security | 26943B100 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | FCRD | Meeting Date | 17-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US26943B1008 | Agenda | 935422749 - Management | |||||||||||||||||||||||||||||
| Record Date | 23-Apr-2021 | Holding Recon Date | 23-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Christopher J. Flynn | Split | Split | |||||||||||||||||||||||||||||
| 2 | E.P. Giambastiani, Jr. | Split | Split | |||||||||||||||||||||||||||||
| 3 | Nancy Hawthorne | Split | Split | |||||||||||||||||||||||||||||
| 4 | James D. Kern | Split | Split | |||||||||||||||||||||||||||||
| 5 | Deborah McAneny | Split | Split | |||||||||||||||||||||||||||||
| 6 | Jane Musser Nelson | Split | Split | |||||||||||||||||||||||||||||
| 2. | To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for such Company for the fiscal year ending December 31, 2021. | Management | Split | Split | ||||||||||||||||||||||||||||
| 3. | To approve an amendment to our Third Amended and Restated Certificate of Incorporation ("Charter") to remove the ability of the continuing directors to remove any director for cause and allow stockholders to remove directors, with or without cause, by the holders of a majority of shares then entitled to vote. | Management | Split | Split | ||||||||||||||||||||||||||||
| 4. | To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies. | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 21,246 | 0 | 16-Jun-2021 | 16-Jun-2021 | |||||||||||||||||||||||||
| VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD | ||||||||||||||||||||||||||||||||
| Security | 92912T100 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | IGD | Meeting Date | 18-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US92912T1007 | Agenda | 935428284 - Management | |||||||||||||||||||||||||||||
| Record Date | 22-Mar-2021 | Holding Recon Date | 22-Mar-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Colleen D. Baldwin | Split | Split | |||||||||||||||||||||||||||||
| 2 | Joseph E. Obermeyer | Split | Split | |||||||||||||||||||||||||||||
| 3 | Christopher P. Sullivan | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 20,000 | 0 | 17-Jun-2021 | 17-Jun-2021 | |||||||||||||||||||||||||
| MORGAN STANLEY EMERGING MKTS | ||||||||||||||||||||||||||||||||
| Security | 617477104 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | EDD | Meeting Date | 24-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US6174771047 | Agenda | 935436065 - Management | |||||||||||||||||||||||||||||
| Record Date | 05-Apr-2021 | Holding Recon Date | 05-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | Patricia Maleski# | Split | Split | |||||||||||||||||||||||||||||
| 2 | Nancy C. Everett* | Split | Split | |||||||||||||||||||||||||||||
| 3 | Michael F. Klein* | Split | Split | |||||||||||||||||||||||||||||
| 4 | W. Allen Reed* | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 19,229 | 0 | 23-Jun-2021 | 23-Jun-2021 | |||||||||||||||||||||||||
| EATON VANCE SENIOR INCOME TRUST | ||||||||||||||||||||||||||||||||
| Security | 27826S103 | Meeting Type | Special | |||||||||||||||||||||||||||||
| Ticker Symbol | EVF | Meeting Date | 24-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US27826S1033 | Agenda | 935453770 - Management | |||||||||||||||||||||||||||||
| Record Date | 14-May-2021 | Holding Recon Date | 14-May-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | Approval of a new investment advisory agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser | Management | Split | Split | ||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 95,136 | 0 | 23-Jun-2021 | 23-Jun-2021 | |||||||||||||||||||||||||
| CALAMOS INVESTMENTS | ||||||||||||||||||||||||||||||||
| Security | 12812C106 | Meeting Type | Annual | |||||||||||||||||||||||||||||
| Ticker Symbol | CPZ | Meeting Date | 29-Jun-2021 | |||||||||||||||||||||||||||||
| ISIN | US12812C1062 | Agenda | 935440608 - Management | |||||||||||||||||||||||||||||
| Record Date | 30-Apr-2021 | Holding Recon Date | 30-Apr-2021 | |||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Jun-2021 | |||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | |||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | ||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | ||||||||||||||||||||||||||||
| 1 | John E. Neal | Split | Split | |||||||||||||||||||||||||||||
| 2 | Karen L. Stuckey | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | |||||||||||||||||||||||||
| 145442.17 | THE RELATIVE VALUE FUND | 145442.17 | UMB BANK, N.A. | 16,884 | 0 | 28-Jun-2021 | 28-Jun-2021 | |||||||||||||||||||||||||
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Registrant | The Relative Value Fund |
| By (Signature and Title) | /s/ Michael Peck |
| Michael Peck, President | |
| Date | August 13, 2021 |