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 811-23255
Vivaldi Opportunities 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)
Terrance P. Gallagher
235 West Galena Street
Milwaukee, WI 53212
(Name and address of agent for service)
Registrant's telephone number, including area code: 414.299.2270
Date of fiscal year end: March 31
Date of reporting period: July 1, 2019 - June 5, 2020*
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in
its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.
* The Fund was reorganized into the Angel Oak Financial Strategies Income Term Trust on June 5, 2020.
PROXY VOTING RECORD
For the Vivaldi Opportunities Fund
Vivaldi Opportunities Fund- Proxy Voting Record 7/1/2019 - 6/30/2020
| 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 |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Colleen D. Baldwin | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director John V. Boyer | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Patricia W. Chadwick | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Martin J. Gavin | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Russell H. Jones | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Joseph E. Obermeyer | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Sheryl K. Pressler | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Dina Santoro | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Christopher P. Sullivan | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Roger B. Vincent | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Colleen D. Baldwin | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director John V. Boyer | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Patricia W. Chadwick | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Martin J. Gavin | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Russell H. Jones | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Joseph E. Obermeyer | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Sheryl K. Pressler | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Dina Santoro | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Christopher P. Sullivan | Yes | For | For |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/9/2019 | Elect Director Roger B. Vincent | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director F. Ford Drummond | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director James A. Jacobson | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director James S. MacLeod | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director Sarah E. Cogan | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director Thomas J. Fuccillo | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director F. Ford Drummond | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director James A. Jacobson | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director James S. MacLeod | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director Sarah E. Cogan | Yes | For | For |
| AllianzGI Convertible & Income 2024 Target Term Fund | CBH | 01883H102 | 7/11/2019 | Elect Director Thomas J. Fuccillo | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Deborah A. DeCotis | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Bradford K. Gallagher | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director James A. Jacobson | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Erick R. Holt | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Sarah E. Cogan | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Thomas J. Fuccillo | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Deborah A. DeCotis | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Bradford K. Gallagher | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director James A. Jacobson | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Erick R. Holt | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Sarah E. Cogan | Yes | For | For |
| AllianzGI NFJ Dividend, Interest & Premium Strategy Fund | NFJ | 01883A107 | 7/11/2019 | Elect Director Thomas J. Fuccillo | Yes | For | For |
| Electronics For Imaging, Inc. | EFII | 286082102 | 7/15/2019 | Approve Merger Agreement | Yes | For | For |
| Electronics For Imaging, Inc. | EFII | 286082102 | 7/15/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Electronics For Imaging, Inc. | EFII | 286082102 | 7/15/2019 | Adjourn Meeting | Yes | For | For |
| Clough Global Opportunities Fund | GLO | 18914E106 | 7/16/2019 | Elect Director Adam D. Crescenzi | Yes | For | For |
| Clough Global Opportunities Fund | GLO | 18914E106 | 7/16/2019 | Elect Director Jerry G. Rutledge | Yes | For | For |
| Clough Global Opportunities Fund | GLO | 18914E106 | 7/16/2019 | Elect Director Adam D. Crescenzi | Yes | For | For |
| Clough Global Opportunities Fund | GLO | 18914E106 | 7/16/2019 | Elect Director Jerry G. Rutledge | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Approve Merger Agreement | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Adjourn Meeting | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Approve Merger Agreement | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Worldpay, Inc. | WP | 981558109 | 7/24/2019 | Adjourn Meeting | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Glenda Dorchak | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Irwin Federman | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Amal M. Johnson | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Jack R. Lazar | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Jon A. Olson | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Umesh Padval | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director David Perlmutter | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Steve Sanghi | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Eyal Waldman | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Elect Director Gregory L. Waters | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Amend Omnibus Stock Plan | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Approve Certain Changes to the Annual Retainer Fees and Equity Awards to Non-Employee Directors | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | If You Do Not Have a Personal Interest in Item 5b Please Select "FOR". If You Do Have a Personal Interest in Item 5b Please Select "AGAINST" | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Approve the Mellanox Technologies, Ltd. Compensation Philosophy | Yes | For | For |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 7/25/2019 | Approve Kost Forer Gabbay & Kasierer as Auditors and Authorize Board to Fix Their Remuneration | Yes | For | For |
| Gordon Pointe Acquisition Corp. | GPAQ | 382788107 | 7/26/2019 | Amend Certificate of Incorporation to Extend the Termination Date to October 31, 2019 | Yes | For | For |
| Gordon Pointe Acquisition Corp. | GPAQ | 382788107 | 7/26/2019 | Amend Investment Management Trust Agreement to Extend Date that the Trustee Will Liquidate the Trust Account to October 31, 2019 | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Approve Merger Agreement | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Adjourn Meeting | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Approve Merger Agreement | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Liberty Expedia Holdings, Inc. | LEXEA | 53046P109 | 7/26/2019 | Adjourn Meeting | Yes | For | For |
| Andeavor Logistics LP | ANDX | FDSE332C9 | 7/29/2019 | Approve Merger Agreement | Yes | For | For |
| Andeavor Logistics LP | ANDX | FDSE332C9 | 7/29/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| BlackRock California Municipal Income Trust | BFZ | 09248E102 | 7/29/2019 | Elect Director Richard E. Cavanagh | Yes | For | For |
| BlackRock California Municipal Income Trust | BFZ | 09248E102 | 7/29/2019 | Elect Director Cynthia L. Egan | Yes | For | For |
| BlackRock California Municipal Income Trust | BFZ | 09248E102 | 7/29/2019 | Elect Director Robert Fairbairn | Yes | For | For |
| BlackRock California Municipal Income Trust | BFZ | 09248E102 | 7/29/2019 | Elect Director Henry Gabbay | Yes | For | For |
| BlackRock Debt Strategies Fund, Inc. | DSU | 09255R202 | 7/29/2019 | Elect Director Richard E. Cavanagh | Yes | For | For |
| BlackRock Debt Strategies Fund, Inc. | DSU | 09255R202 | 7/29/2019 | Elect Director Frank J. Fabozzi | Yes | For | For |
| BlackRock Debt Strategies Fund, Inc. | DSU | 09255R202 | 7/29/2019 | Elect Director Robert Fairbairn | Yes | For | For |
| BlackRock Debt Strategies Fund, Inc. | DSU | 09255R202 | 7/29/2019 | Elect Director Henry Gabbay | Yes | For | For |
| BlackRock New York Municipal Income Quality Trust | BSE | 09249U105 | 7/29/2019 | Elect Director Richard E. Cavanagh | Yes | For | For |
| BlackRock New York Municipal Income Quality Trust | BSE | 09249U105 | 7/29/2019 | Elect Director Cynthia L. Egan | Yes | For | For |
| BlackRock New York Municipal Income Quality Trust | BSE | 09249U105 | 7/29/2019 | Elect Director Robert Fairbairn | Yes | For | For |
| BlackRock New York Municipal Income Quality Trust | BSE | 09249U105 | 7/29/2019 | Elect Director Henry Gabbay | Yes | For | For |
| BlackRock Resources & Commodities Strategy Trust | BCX | 09257A108 | 7/29/2019 | Elect Director Richard E. Cavanagh | Yes | For | For |
| BlackRock Resources & Commodities Strategy Trust | BCX | 09257A108 | 7/29/2019 | Elect Director Cynthia L. Egan | Yes | For | For |
| BlackRock Resources & Commodities Strategy Trust | BCX | 09257A108 | 7/29/2019 | Elect Director Robert Fairbairn | Yes | For | For |
| BlackRock Resources & Commodities Strategy Trust | BCX | 09257A108 | 7/29/2019 | Elect Director Henry Gabbay | Yes | For | For |
| Buckeye Partners, L.P. | BPL | 118230101 | 7/31/2019 | Approve Merger Agreement | Yes | For | For |
| Buckeye Partners, L.P. | BPL | 118230101 | 7/31/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| KEMET Corporation | KEM | 488360207 | 7/31/2019 | Elect Director Jacob T. Kotzubei | Yes | For | For |
| KEMET Corporation | KEM | 488360207 | 7/31/2019 | Elect Director Robert G. Paul | Yes | For | For |
| KEMET Corporation | KEM | 488360207 | 7/31/2019 | Elect Director Yasuko Matsumoto | Yes | For | For |
| KEMET Corporation | KEM | 488360207 | 7/31/2019 | Ratify Ernst & Young LLP as Auditors | Yes | For | For |
| KEMET Corporation | KEM | 488360207 | 7/31/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Anadarko Petroleum Corporation | APC | 032511107 | 8/8/2019 | Approve Merger Agreement | Yes | For | For |
| Anadarko Petroleum Corporation | APC | 032511107 | 8/8/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Anadarko Petroleum Corporation | APC | 032511107 | 8/8/2019 | Approve Merger Agreement | Yes | For | For |
| Anadarko Petroleum Corporation | APC | 032511107 | 8/8/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Approve SPAC Transaction | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Change Company Name to Allied Esports Entertainment, Inc. | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Increase Authorized Common Stock | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Amend Certificate of Incorporation to Remove Certain Provisions | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Ken DeCubellis | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Lyle Berman | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Benjamin S. Oehler | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Kan Hee Anthony Tyen | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Ho min Kim | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Bradley Berman | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Joseph Lahti | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Kwok Leung Frank Ng | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Eric Qing Yang | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Adam Pliska | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Elect Director Maya Rogers | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Approve Omnibus Stock Plan | Yes | For | For |
| Black Ridge Acquisition Corp. | BRAC | 019170109 | 8/9/2019 | Adjourn Meeting | Yes | For | For |
| Medidata Solutions, Inc. | MDSO | 58471A105 | 8/16/2019 | Approve Merger Agreement | Yes | For | For |
| Medidata Solutions, Inc. | MDSO | 58471A105 | 8/16/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Medidata Solutions, Inc. | MDSO | 58471A105 | 8/16/2019 | Adjourn Meeting | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Approve Merger Agreement | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Adjourn Meeting | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Approve Merger Agreement | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Adjourn Meeting | Yes | For | For |
| AmeriGas Partners, L.P. | APU | 030975106 | 8/21/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| PCM, Inc. | PCMI | 69323K100 | 8/26/2019 | Approve Merger Agreement | Yes | For | For |
| PCM, Inc. | PCMI | 69323K100 | 8/26/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| PCM, Inc. | PCMI | 69323K100 | 8/26/2019 | Adjourn Meeting | Yes | For | For |
| Cray Inc. | CRAY | 225223304 | 8/27/2019 | Approve Merger Agreement | Yes | For | For |
| Cray Inc. | CRAY | 225223304 | 8/27/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Cray Inc. | CRAY | 225223304 | 8/27/2019 | Adjourn Meeting | Yes | For | For |
| Shutterfly, Inc. | SFLY | 82568P304 | 8/28/2019 | Approve Merger Agreement | Yes | For | For |
| Shutterfly, Inc. | SFLY | 82568P304 | 8/28/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Shutterfly, Inc. | SFLY | 82568P304 | 8/28/2019 | Adjourn Meeting | Yes | For | For |
| WageWorks, Inc. | WAGE | 930427109 | 8/28/2019 | Approve Merger Agreement | Yes | For | For |
| WageWorks, Inc. | WAGE | 930427109 | 8/28/2019 | Adjourn Meeting | Yes | For | For |
| WageWorks, Inc. | WAGE | 930427109 | 8/28/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Amend Declaration of Trust | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Approve New Investment Objective | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Approve New Investment Management Agreement with Nuveen Fund Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Approve New Investment Sub-Advisory Agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director Judith M. Stockdale | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director Carole E. Stone | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director Margaret L. Wolff | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director William C. Hunter | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Amend Declaration of Trust | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Approve New Investment Objective | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Approve New Investment Management Agreement with Nuveen Fund Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Approve New Investment Sub-Advisory Agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director Judith M. Stockdale | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director Carole E. Stone | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director Margaret L. Wolff | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund | JLS | 670735109 | 8/29/2019 | Elect Director William C. Hunter | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Amend Declaration of Trust | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Approve New Investment Objective | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Approve New Investment Management Agreement with Nuveen Fund Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Approve New Investment Sub-Advisory Agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director Judith M. Stockdale | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director Carole E. Stone | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director Margaret L. Wolff | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director William C. Hunter | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Amend Declaration of Trust | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Approve New Investment Objective | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Approve New Investment Management Agreement with Nuveen Fund Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Approve New Investment Sub-Advisory Agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director Judith M. Stockdale | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director Carole E. Stone | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director Margaret L. Wolff | Yes | For | For |
| Nuveen Mortgage Opportunity Term Fund 2 | JMT | 67074R100 | 8/29/2019 | Elect Director William C. Hunter | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Approve Merger Agreement | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Declassify the Board of Directors | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Adjourn Meeting | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Approve Merger Agreement | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Declassify the Board of Directors | Yes | For | For |
| Total System Services, Inc. | TSS | 891906109 | 8/29/2019 | Adjourn Meeting | Yes | For | For |
| Del Frisco's Restaurant Group, Inc. | DFRG | 245077102 | 9/4/2019 | Approve Merger Agreement | Yes | For | For |
| Del Frisco's Restaurant Group, Inc. | DFRG | 245077102 | 9/4/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Del Frisco's Restaurant Group, Inc. | DFRG | 245077102 | 9/4/2019 | Adjourn Meeting | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Elect Director Anand Mehra | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Elect Director Robert J. Perez | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Elect Director Lota Zoth | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Spark Therapeutics, Inc. | ONCE | 84652J103 | 9/5/2019 | Ratify KPMG LLP as Auditors | Yes | For | For |
| EMC Insurance Group Inc. | EMCI | 268664109 | 9/18/2019 | Approve Merger Agreement | Yes | For | For |
| EMC Insurance Group Inc. | EMCI | 268664109 | 9/18/2019 | Adjourn Meeting | Yes | For | For |
| Peak Resorts, Inc. | SKIS | 70469L100 | 9/20/2019 | Approve Merger Agreement | Yes | For | For |
| Peak Resorts, Inc. | SKIS | 70469L100 | 9/20/2019 | Adjourn Meeting | Yes | For | For |
| Genesee & Wyoming Inc. | GWR | 371559105 | 10/3/2019 | Approve Merger Agreement | Yes | For | For |
| Genesee & Wyoming Inc. | GWR | 371559105 | 10/3/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Genesee & Wyoming Inc. | GWR | 371559105 | 10/3/2019 | Adjourn Meeting | Yes | For | For |
| DryShips Inc. | DRYS | Y2109Q705 | 10/9/2019 | Approve Merger Agreement | Yes | For | For |
| Allergan plc | AGN | G0177J108 | 10/14/2019 | Approve Scheme of Arrangement | Yes | For | For |
| Allergan plc | AGN | G0177J108 | 10/14/2019 | Approve Scheme of Arrangement | Yes | For | For |
| Allergan plc | AGN | G0177J108 | 10/14/2019 | Approve Cancellation of Cancellation Shares | Yes | For | For |
| Allergan plc | AGN | G0177J108 | 10/14/2019 | Authorize Board to Allot and Issue Shares | Yes | For | For |
| Allergan plc | AGN | G0177J108 | 10/14/2019 | Amend Articles of Association | Yes | For | For |
| Allergan plc | AGN | G0177J108 | 10/14/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Allergan plc | AGN | G0177J108 | 10/14/2019 | Adjourn Meeting | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Matthew A. Drapkin | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Thomas S. Harbin, III | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director James P. Parmelee | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Peter A. Reed | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Jeffrey S. Serota | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Mark A. Snell | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Hugh Steven Wilson | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Ratify Deloitte & Touche LLP as Auditors | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Matthew A. Drapkin | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Thomas S. Harbin, III | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director James P. Parmelee | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Peter A. Reed | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Jeffrey S. Serota | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Mark A. Snell | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Elect Director Hugh Steven Wilson | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Ratify Deloitte & Touche LLP as Auditors | Yes | For | For |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/22/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Approve Merger Agreement | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| United Financial Bancorp, Inc. | UBNK | 910304104 | 10/22/2019 | Adjourn Meeting | Yes | For | For |
| Cambrex Corporation | CBM | 132011107 | 10/23/2019 | Approve Merger Agreement | Yes | For | For |
| Cambrex Corporation | CBM | 132011107 | 10/23/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Cambrex Corporation | CBM | 132011107 | 10/23/2019 | Adjourn Meeting | Yes | For | For |
| Corindus Vascular Robotics, Inc. | CVRS | 218730109 | 10/25/2019 | Approve Merger Agreement | Yes | For | For |
| Corindus Vascular Robotics, Inc. | CVRS | 218730109 | 10/25/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Corindus Vascular Robotics, Inc. | CVRS | 218730109 | 10/25/2019 | Adjourn Meeting | Yes | For | For |
| Old Line Bancshares, Inc. | OLBK | 67984M100 | 10/29/2019 | Approve Merger Agreement | Yes | For | For |
| Old Line Bancshares, Inc. | OLBK | 67984M100 | 10/29/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Old Line Bancshares, Inc. | OLBK | 67984M100 | 10/29/2019 | Adjourn Meeting | Yes | For | For |
| Presidio, Inc. | PSDO | 74102M103 | 11/6/2019 | Approve Merger Agreement | Yes | For | For |
| Presidio, Inc. | PSDO | 74102M103 | 11/6/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Presidio, Inc. | PSDO | 74102M103 | 11/6/2019 | Adjourn Meeting | Yes | For | For |
| Avedro, Inc. | AVDR | 05355N109 | 11/19/2019 | Approve Merger Agreement | Yes | For | For |
| Avedro, Inc. | AVDR | 05355N109 | 11/19/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Avedro, Inc. | AVDR | 05355N109 | 11/19/2019 | Adjourn Meeting | Yes | For | For |
| SemGroup Corporation | SEMG | 81663A105 | 12/4/2019 | Approve Merger Agreement | Yes | For | For |
| SemGroup Corporation | SEMG | 81663A105 | 12/4/2019 | Advisory Vote on Golden Parachutes | Yes | For | For |
| SemGroup Corporation | SEMG | 81663A105 | 12/4/2019 | Adjourn Meeting | Yes | For | For |
| Pivotal Software, Inc. | PVTL | 72582H107 | 12/27/2019 | Approve Merger Agreement | Yes | For | For |
| Pivotal Software, Inc. | PVTL | 72582H107 | 12/27/2019 | Adjourn Meeting | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Francois Cote | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Germain Lamonde | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Angela Logothetis | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Philippe Morin | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Claude Seguin | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Randy E. Tornes | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Francois Cote | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Germain Lamonde | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Angela Logothetis | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Philippe Morin | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Claude Seguin | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Elect Director Randy E. Tornes | Yes | For | For |
| EXFO Inc. | EXF | 302046107 | 1/8/2020 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | For |
| Liberty Property Trust | LPT | 531172104 | 1/30/2020 | Approve Merger Agreement | Yes | For | For |
| Liberty Property Trust | LPT | 531172104 | 1/30/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Liberty Property Trust | LPT | 531172104 | 1/30/2020 | Adjourn Meeting | Yes | For | For |
| Liberty Property Trust | LPT | 531172104 | 1/30/2020 | Approve Merger Agreement | Yes | For | For |
| Liberty Property Trust | LPT | 531172104 | 1/30/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Liberty Property Trust | LPT | 531172104 | 1/30/2020 | Adjourn Meeting | Yes | For | For |
| William Lyon Homes | WLH | 552074700 | 1/30/2020 | Approve Merger Agreement | Yes | For | For |
| William Lyon Homes | WLH | 552074700 | 1/30/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| William Lyon Homes | WLH | 552074700 | 1/30/2020 | Adjourn Meeting | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 2/4/2020 | Approve Merger Agreement | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 2/4/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Tiffany & Co. | TIF | 886547108 | 2/4/2020 | Adjourn Meeting | Yes | For | For |
| Tech Data Corporation | TECD | 878237106 | 2/12/2020 | Approve Merger Agreement | Yes | For | For |
| Tech Data Corporation | TECD | 878237106 | 2/12/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Tech Data Corporation | TECD | 878237106 | 2/12/2020 | Adjourn Meeting | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Receive Special Board Report Re: Company Law Art. 604 on Renewal on Authorized Capital | Yes | ||
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 50 Million With the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 25 Million With the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 239,147,502.82 Without the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 120 Million Without the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Board to Issue Shares in the Event of a Public Tender Offer or Share Exchange Offer | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Repurchase of Up to 20 Percent of Issued Share Capital | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Board to Repurchase Shares in the Event of a Serious and Imminent Harm and Under Normal Conditions | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Reissuance of Repurchased Shares | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Amend Articles of Association | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Implementation of Approved Resolutions and Approve Coordination of Articles of Association | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Approve Filing of Required Documents/Formalities at Trade Registry | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Receive Special Board Report Re: Company Law Art. 604 on Renewal on Authorized Capital | Yes | ||
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 50 Million With the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 25 Million With the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 239,147,502.82 Without the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Renew Authorization to Increase Share Capital up to USD 120 Million Without the Possibility to Restrict or Suspend Preemptive Rights | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Board to Issue Shares in the Event of a Public Tender Offer or Share Exchange Offer | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Repurchase of Up to 20 Percent of Issued Share Capital | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Board to Repurchase Shares in the Event of a Serious and Imminent Harm and Under Normal Conditions | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Reissuance of Repurchased Shares | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Amend Articles of Association | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Authorize Implementation of Approved Resolutions and Approve Coordination of Articles of Association | Yes | For | For |
| Euronav NV | EURN | B38564108 | 2/20/2020 | Approve Filing of Required Documents/Formalities at Trade Registry | Yes | For | For |
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Discuss the Recommended Tender Offer by Digital Intrepid Holding B.V on all Issued and Outstanding Ordinary Shares of the Company | Yes | ||
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Approve Legal Merger | Yes | For | For |
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Approve Legal Demerger | Yes | For | For |
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Approve Sale of Company Assets and Sale of Post-Demerger Share | Yes | For | For |
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Approve Conditions of Liquidation Re: Item 3 | Yes | For | For |
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Approve Discharge of Management Board | Yes | For | For |
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Approve Conversion from Dutch Public Company (N.V.). to Dutch Private Companywith Limited Liability (B.V.) and Amend Articles of Association in Relation with Conversion | Yes | For | For |
| InterXion Holding NV | INXN | FDS0J6G30 | 2/27/2020 | Elect Directors (Bundled) | Yes | For | For |
| Aircastle Limited | AYR | G0129K104 | 3/6/2020 | Approve Merger Agreement | Yes | For | For |
| Aircastle Limited | AYR | G0129K104 | 3/6/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Aircastle Limited | AYR | G0129K104 | 3/6/2020 | Adjourn Meeting | Yes | For | For |
| Pattern Energy Group Inc. | PEGI | 70338P100 | 3/10/2020 | Approve Merger Agreement | Yes | For | For |
| Pattern Energy Group Inc. | PEGI | 70338P100 | 3/10/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Pattern Energy Group Inc. | PEGI | 70338P100 | 3/10/2020 | Adjourn Meeting | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 3/12/2020 | Approve Merger Agreement | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 3/12/2020 | Adjourn Meeting | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 3/12/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| AquaVenture Holdings Limited | WAAS | G0443N107 | 3/16/2020 | Approve Merger Agreement | Yes | For | For |
| AquaVenture Holdings Limited | WAAS | G0443N107 | 3/16/2020 | Adjourn Meeting | Yes | For | For |
| Euronav NV | EURN | B38564108 | 4/9/2020 | Authorize Repurchase of Up to 10 Percent of Issued Share Capital | Yes | For | For |
| Euronav NV | EURN | B38564108 | 4/9/2020 | Authorize Implementation of Approved Resolutions and Filing of Required Documents/Formalities at Trade Registry | Yes | For | For |
| ForeScout Technologies, Inc. | FSCT | 34553D101 | 4/23/2020 | Approve Merger Agreement | Yes | For | For |
| ForeScout Technologies, Inc. | FSCT | 34553D101 | 4/23/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| ForeScout Technologies, Inc. | FSCT | 34553D101 | 4/23/2020 | Adjourn Meeting | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Discuss the Tender Offer by Stryker B.V. on all Outstanding Ordinary Shares of the Company | Yes | ||
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Spencer S. Stiles | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director William E. Berry, Jr. | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Dean H. Bergy | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Jeanne M. Blondia | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director David G. Furgason | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Robert J. Palmisano as Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of J. Patrick Mackin as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of John L. Miclot as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Kevin O'Boyle as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Amy S. Paul as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Richard F. Wallman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Elizabeth H. Weatherman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Discharge of Management and Supervisory Boards | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Conditional Sale of Company Assets | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Appoint Stichting Vereffening Wright Medical Group as the Liquidator; Appoint Purchaser as the Custodian of the Books and Records of Wright; and Approve Reimbursement of the Liquidator's Salary and Costs | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Compensation of Dissenting Shareholders | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approval of the Mergers | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Proposal to Resolve on the Demerger of the Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Change the Company Form to a Privately Held Limited Liability Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Association | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Delisting from The Nasdaq Stock Market LLC | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Change Financial Year | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Discuss the Tender Offer by Stryker B.V. on all Outstanding Ordinary Shares of the Company | Yes | ||
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Spencer S. Stiles | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director William E. Berry, Jr. | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Dean H. Bergy | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director Jeanne M. Blondia | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Elect Director David G. Furgason | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Robert J. Palmisano as Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of J. Patrick Mackin as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of John L. Miclot as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Kevin O'Boyle as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Amy S. Paul as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Richard F. Wallman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Accept Resignation of Elizabeth H. Weatherman as Non-Executive Director | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Discharge of Management and Supervisory Boards | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Conditional Sale of Company Assets | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Appoint Stichting Vereffening Wright Medical Group as the Liquidator; Appoint Purchaser as the Custodian of the Books and Records of Wright; and Approve Reimbursement of the Liquidator's Salary and Costs | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Compensation of Dissenting Shareholders | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approval of the Mergers | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Approve Proposal to Resolve on the Demerger of the Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Change the Company Form to a Privately Held Limited Liability Company | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Association | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Delisting from The Nasdaq Stock Market LLC | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Amend Articles Re: Change Financial Year | Yes | For | For |
| Wright Medical Group N.V. | WMGI | N96617118 | 4/24/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Adesto Technologies Corporation | IOTS | 00687D101 | 5/5/2020 | Approve Merger Agreement | Yes | For | For |
| Adesto Technologies Corporation | IOTS | 00687D101 | 5/5/2020 | Adjourn Meeting | Yes | For | For |
| SailPoint Technologies Holdings, Inc. | SAIL | 78781P105 | 5/5/2020 | Elect Director William G. Bock | Yes | For | For |
| SailPoint Technologies Holdings, Inc. | SAIL | 78781P105 | 5/5/2020 | Elect Director Michael J. Sullivan | Yes | For | For |
| SailPoint Technologies Holdings, Inc. | SAIL | 78781P105 | 5/5/2020 | Ratify Grant Thornton LLP as Auditors | Yes | For | For |
| SailPoint Technologies Holdings, Inc. | SAIL | 78781P105 | 5/5/2020 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Richard J. Carbone | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Robert J. Chersi | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Jaime W. Ellertson | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director James P. Healy | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Kevin T. Kabat | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director James Lam | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Rodger A. Lawson | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Shelley B. Leibowitz | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Michael A. Pizzi | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Rebecca Saeger | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Donna L. Weaver | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Elect Director Joshua A. Weinreich | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Ratify Deloitte & Touche LLP as Auditors | Yes | For | For |
| E*TRADE Financial Corporation | ETFC | 269246401 | 5/7/2020 | Adopt Simple Majority Vote | Yes | Abstain | For |
| Legg Mason, Inc. | LM | 524901105 | 5/15/2020 | Approve Merger Agreement | Yes | For | For |
| Legg Mason, Inc. | LM | 524901105 | 5/15/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| Legg Mason, Inc. | LM | 524901105 | 5/15/2020 | Adjourn Meeting | Yes | For | For |
| Xperi Corporation | XPER | 98421B100 | 5/29/2020 | Approve Merger Agreement | Yes | For | For |
| Xperi Corporation | XPER | 98421B100 | 5/29/2020 | Adjourn Meeting | Yes | For | For |
| Xperi Corporation | XPER | 98421B100 | 5/29/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| GAIN Capital Holdings, Inc. | GCAP | 36268W100 | 6/5/2020 | Approve Merger Agreement | Yes | For | For |
| GAIN Capital Holdings, Inc. | GCAP | 36268W100 | 6/5/2020 | Advisory Vote on Golden Parachutes | Yes | For | For |
| GAIN Capital Holdings, Inc. | GCAP | 36268W100 | 6/5/2020 | Adjourn Meeting | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Elect Director David J. Henshall | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Elect Director Peter J. Sacripanti | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Elect Director William R. Wagner | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Ratify Deloitte & Touche LLP as Auditors | Yes | For | For |
| LogMeIn, Inc. | LOGM | 54142L109 | 6/11/2020 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | For |
| EQM Midstream Partners, LP | EQM | 26885B100 | 6/15/2020 | Approve Merger Agreement | Yes | For | For |
Vote Summary
| BLACK RIDGE ACQUISITION CORP. | |||||||||||||||||
| Security | 09216T107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | BRAC | Meeting Date | 09-Jul-2019 | ||||||||||||||
| ISIN | US09216T1079 | Agenda | 935058316 - Management | ||||||||||||||
| Record Date | 10-Jun-2019 | Holding Recon Date | 10-Jun-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jul-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to August 10, 2019. | Management | For | For | |||||||||||||
| BIG ROCK PARTNERS ACQUISITION CORP | |||||||||||||||||
| Security | 089482103 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | BRPA | Meeting Date | 21-Aug-2019 | ||||||||||||||
| ISIN | US0894821034 | Agenda | 935071073 - Management | ||||||||||||||
| Record Date | 31-Jul-2019 | Holding Recon Date | 31-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to November 22, 2019. | Management | For | For | |||||||||||||
| 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | For | |||||||||||||
| LIBERTY ALL-STAR GROWTH FUND, INC. | |||||||||||||||||
| Security | 529900102 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | ASG | Meeting Date | 22-Aug-2019 | ||||||||||||||
| ISIN | US5299001025 | Agenda | 935059279 - Management | ||||||||||||||
| Record Date | 10-Jun-2019 | Holding Recon Date | 10-Jun-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 2. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | George R. Gaspari | Split | For | ||||||||||||||
| 2 | Edmund J. Burke | Split | For | ||||||||||||||
| LIBERTY ALL-STAR GROWTH FUND, INC. | |||||||||||||||||
| Security | 529900102 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | ASG | Meeting Date | 22-Aug-2019 | ||||||||||||||
| ISIN | US5299001025 | Agenda | 935059279 - Management | ||||||||||||||
| Record Date | 10-Jun-2019 | Holding Recon Date | 10-Jun-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 2. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | George R. Gaspari | Split | For | ||||||||||||||
| 2 | Edmund J. Burke | Split | For | ||||||||||||||
| VAN KAMPEN FUNDS | |||||||||||||||||
| Security | 46132C107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | VMO | Meeting Date | 23-Aug-2019 | ||||||||||||||
| ISIN | US46132C1071 | Agenda | 935062151 - Management | ||||||||||||||
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1a | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Cynthia Hostetler | Split | For | ||||||||||||||
| 2 | Eli Jones | Split | For | ||||||||||||||
| 3 | Ann Barnett Stern | Split | For | ||||||||||||||
| 4 | Raymond Stickel, Jr. | Split | For | ||||||||||||||
| INVESCO | |||||||||||||||||
| Security | 46132R104 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | VTA | Meeting Date | 23-Aug-2019 | ||||||||||||||
| ISIN | US46132R1041 | Agenda | 935062151 - Management | ||||||||||||||
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1a | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Cynthia Hostetler | Split | For | ||||||||||||||
| 2 | Eli Jones | Split | For | ||||||||||||||
| 3 | Ann Barnett Stern | Split | For | ||||||||||||||
| 4 | Raymond Stickel, Jr. | Split | For | ||||||||||||||
| INVESCO | |||||||||||||||||
| Security | 46131H107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | VVR | Meeting Date | 23-Aug-2019 | ||||||||||||||
| ISIN | US46131H1077 | Agenda | 935062151 - Management | ||||||||||||||
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1a | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Cynthia Hostetler | Split | For | ||||||||||||||
| 2 | Eli Jones | Split | For | ||||||||||||||
| 3 | Ann Barnett Stern | Split | For | ||||||||||||||
| 4 | Raymond Stickel, Jr. | Split | For | ||||||||||||||
| VAN KAMPEN FUNDS | |||||||||||||||||
| Security | 46132C107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | VMO | Meeting Date | 23-Aug-2019 | ||||||||||||||
| ISIN | US46132C1071 | Agenda | 935062151 - Management | ||||||||||||||
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1a | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Cynthia Hostetler | Split | For | ||||||||||||||
| 2 | Eli Jones | Split | For | ||||||||||||||
| 3 | Ann Barnett Stern | Split | For | ||||||||||||||
| 4 | Raymond Stickel, Jr. | Split | For | ||||||||||||||
| INVESCO | |||||||||||||||||
| Security | 46131H107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | VVR | Meeting Date | 23-Aug-2019 | ||||||||||||||
| ISIN | US46131H1077 | Agenda | 935062151 - Management | ||||||||||||||
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1a | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Cynthia Hostetler | Split | For | ||||||||||||||
| 2 | Eli Jones | Split | For | ||||||||||||||
| 3 | Ann Barnett Stern | Split | For | ||||||||||||||
| 4 | Raymond Stickel, Jr. | Split | For | ||||||||||||||
| INVESCO | |||||||||||||||||
| Security | 46131F101 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | VLT | Meeting Date | 23-Aug-2019 | ||||||||||||||
| ISIN | US46131F1012 | Agenda | 935062163 - Management | ||||||||||||||
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1c | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Cynthia Hostetler | Split | For | ||||||||||||||
| 2 | Eli Jones | Split | For | ||||||||||||||
| 3 | Prema Mathai-Davis | Split | For | ||||||||||||||
| 4 | Ann Barnett Stern | Split | For | ||||||||||||||
| 5 | Raymond Stickel, Jr. | Split | For | ||||||||||||||
| INVESCO | |||||||||||||||||
| Security | 46131F101 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | VLT | Meeting Date | 23-Aug-2019 | ||||||||||||||
| ISIN | US46131F1012 | Agenda | 935062163 - Management | ||||||||||||||
| Record Date | 13-May-2019 | Holding Recon Date | 13-May-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Aug-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1c | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Cynthia Hostetler | Split | For | ||||||||||||||
| 2 | Eli Jones | Split | For | ||||||||||||||
| 3 | Prema Mathai-Davis | Split | For | ||||||||||||||
| 4 | Ann Barnett Stern | Split | For | ||||||||||||||
| 5 | Raymond Stickel, Jr. | Split | For | ||||||||||||||
| OPES ACQUISITION CORP. | |||||||||||||||||
| Security | 68373P100 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | OPES | Meeting Date | 16-Sep-2019 | ||||||||||||||
| ISIN | US68373P1003 | Agenda | 935078736 - Management | ||||||||||||||
| Record Date | 28-Aug-2019 | Holding Recon Date | 28-Aug-2019 | ||||||||||||||
| City / | Country | / | Mexico | Vote Deadline Date | 13-Sep-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to November 15, 2019. | Management | For | For | |||||||||||||
| 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | For | |||||||||||||
| DELAWARE INVESTMENTS | |||||||||||||||||
| Security | 246060107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | DEX | Meeting Date | 20-Sep-2019 | ||||||||||||||
| ISIN | US2460601071 | Agenda | 935064763 - Management | ||||||||||||||
| Record Date | 10-Jul-2019 | Holding Recon Date | 10-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Sep-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Thomas L. Bennett | Split | For | ||||||||||||||
| 2 | Jerome D. Abernathy | Split | For | ||||||||||||||
| 3 | Ann D. Borowiec | Split | For | ||||||||||||||
| 4 | Joseph W. Chow | Split | For | ||||||||||||||
| 5 | John A. Fry | Split | For | ||||||||||||||
| 6 | Lucinda S. Landreth | Split | For | ||||||||||||||
| 7 | Shawn K. Lytle | Split | For | ||||||||||||||
| 8 | F.A. Sevilla-Sacasa | Split | For | ||||||||||||||
| 9 | Thomas K. Whitford | Split | For | ||||||||||||||
| 10 | Christianna Wood | Split | For | ||||||||||||||
| 11 | Janet L. Yeomans | Split | For | ||||||||||||||
| 2. | To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Europe Limited, Macquarie Investment Management Global Limited, Macquarie Investment Management Austria Kapitalanlage AG, and Macquarie Funds Management Hong Kong Limited. | Management | Split | For | |||||||||||||
| DELAWARE INVESTMENTS | |||||||||||||||||
| Security | 246060107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | DEX | Meeting Date | 20-Sep-2019 | ||||||||||||||
| ISIN | US2460601071 | Agenda | 935064763 - Management | ||||||||||||||
| Record Date | 10-Jul-2019 | Holding Recon Date | 10-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Sep-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Thomas L. Bennett | Split | For | ||||||||||||||
| 2 | Jerome D. Abernathy | Split | For | ||||||||||||||
| 3 | Ann D. Borowiec | Split | For | ||||||||||||||
| 4 | Joseph W. Chow | Split | For | ||||||||||||||
| 5 | John A. Fry | Split | For | ||||||||||||||
| 6 | Lucinda S. Landreth | Split | For | ||||||||||||||
| 7 | Shawn K. Lytle | Split | For | ||||||||||||||
| 8 | F.A. Sevilla-Sacasa | Split | For | ||||||||||||||
| 9 | Thomas K. Whitford | Split | For | ||||||||||||||
| 10 | Christianna Wood | Split | For | ||||||||||||||
| 11 | Janet L. Yeomans | Split | For | ||||||||||||||
| 2. | To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Europe Limited, Macquarie Investment Management Global Limited, Macquarie Investment Management Austria Kapitalanlage AG, and Macquarie Funds Management Hong Kong Limited. | Management | Split | For | |||||||||||||
| ROYCE MICRO-CAP TRUST, INC. | |||||||||||||||||
| Security | 780915104 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | RMT | Meeting Date | 24-Sep-2019 | ||||||||||||||
| ISIN | US7809151043 | Agenda | 935069624 - Management | ||||||||||||||
| Record Date | 18-Jul-2019 | Holding Recon Date | 18-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Sep-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Patricia W. Chadwick | Split | For | ||||||||||||||
| 2 | Arthur S. Mehlman | Split | For | ||||||||||||||
| 3 | Michael K. Shields | Split | For | ||||||||||||||
| GUGGENHEIM FUNDS | |||||||||||||||||
| Security | 00764C109 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AVK | Meeting Date | 25-Sep-2019 | ||||||||||||||
| ISIN | US00764C1099 | Agenda | 935073990 - Management | ||||||||||||||
| Record Date | 22-Jul-2019 | Holding Recon Date | 22-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Sep-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1a. | Election of Trustee: Mr. Randall C. Barnes | Management | Split | For | |||||||||||||
| 1b. | Election of Trustee: Mr. Derek Medina | Management | Split | For | |||||||||||||
| 1c. | Election of Trustee: Mr. Gerald L. Seizert | Management | Split | For | |||||||||||||
| GUGGENHEIM FUNDS | |||||||||||||||||
| Security | 00764C109 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AVK | Meeting Date | 25-Sep-2019 | ||||||||||||||
| ISIN | US00764C1099 | Agenda | 935073990 - Management | ||||||||||||||
| Record Date | 22-Jul-2019 | Holding Recon Date | 22-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Sep-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1a. | Election of Trustee: Mr. Randall C. Barnes | Management | Split | For | |||||||||||||
| 1b. | Election of Trustee: Mr. Derek Medina | Management | Split | For | |||||||||||||
| 1c. | Election of Trustee: Mr. Gerald L. Seizert | Management | Split | For | |||||||||||||
| FRANKLIN TEMPLETON LTD DURATION INC TR | |||||||||||||||||
| Security | 35472T101 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | FTF | Meeting Date | 03-Oct-2019 | ||||||||||||||
| ISIN | US35472T1016 | Agenda | 935074548 - Management | ||||||||||||||
| Record Date | 24-Jul-2019 | Holding Recon Date | 24-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Harris J. Ashton | Split | For | ||||||||||||||
| 2 | Edith E. Holiday | Split | For | ||||||||||||||
| NEUBERGER BERMAN HI/YLD STRATEGY | |||||||||||||||||
| Security | 64128C106 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | NHS | Meeting Date | 03-Oct-2019 | ||||||||||||||
| ISIN | US64128C1062 | Agenda | 935074788 - Management | ||||||||||||||
| Record Date | 15-Jul-2019 | Holding Recon Date | 15-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Michael J. Cosgrove | Split | For | ||||||||||||||
| 2 | Deborah C. McLean | Split | For | ||||||||||||||
| 3 | Tom D. Seip | Split | For | ||||||||||||||
| 2. | STOCKHOLDER PROPOSAL: If properly presented, to vote on a stockholder proposal that the Fund terminate the investment management agreement between the Fund and Neuberger Berman Investment Advisers LLC ("NBIA"), the Fund's investment manager, and all other advisory and management agreements between the Fund and NBIA. | Shareholder | Split | Against | |||||||||||||
| 3. | STOCKHOLDER PROPOSAL: If properly presented, to vote on a non- binding stockholder proposal asking the Board of Directors of the Fund to consider a self- tender offer for all outstanding common stock of the Fund, and, if more than 50% of the Fund's outstanding shares are submitted for tender, to cancel the tender offer and either liquidate the Fund or convert it to an open-end fund. | Shareholder | Split | Against | |||||||||||||
| NEUBERGER BERMAN HI/YLD STRATEGY | |||||||||||||||||
| Security | 64128C106 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | NHS | Meeting Date | 03-Oct-2019 | ||||||||||||||
| ISIN | US64128C1062 | Agenda | 935075540 - Opposition | ||||||||||||||
| Record Date | 15-Jul-2019 | Holding Recon Date | 15-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Frederic Gabriel | Split | For | ||||||||||||||
| 2 | Thomas H. McGlade | Split | For | ||||||||||||||
| 3 | Arthur D. Lipson | Split | For | ||||||||||||||
| 2. | Proposal 2- Termination of the Management Agreement between the Fund and Neuberger Berman Management LLC, dated August 6, 2010, as amended or novated and all other advisory and management agreements between the Fund and Neuberger Berman Investment Advisers LLC. | Management | Split | For | |||||||||||||
| 3. | Proposal 3- For the Board to consider authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV'). If more than 50% of the Fund's outstanding shares are submitted for tender, the tender offer should be cancelled and the Board should take the steps necessary to liquidate or convert the Fund into an open-end mutual fund. | Management | Split | For | |||||||||||||
| NEUBERGER BERMAN CA INTERM FD | |||||||||||||||||
| Security | 64123C101 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | NBW | Meeting Date | 03-Oct-2019 | ||||||||||||||
| ISIN | US64123C1018 | Agenda | 935078394 - Management | ||||||||||||||
| Record Date | 30-Jul-2019 | Holding Recon Date | 30-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Michael J. Cosgrove | Split | For | ||||||||||||||
| 2 | Deborah C. McLean | Split | For | ||||||||||||||
| 3 | Tom D. Seip | Split | For | ||||||||||||||
| NEUBERGER BERMAN NY INTERM MUNI FD | |||||||||||||||||
| Security | 64124K102 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | NBO | Meeting Date | 03-Oct-2019 | ||||||||||||||
| ISIN | US64124K1025 | Agenda | 935078394 - Management | ||||||||||||||
| Record Date | 30-Jul-2019 | Holding Recon Date | 30-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 02-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Michael J. Cosgrove | Split | For | ||||||||||||||
| 2 | Deborah C. McLean | Split | For | ||||||||||||||
| 3 | Tom D. Seip | Split | For | ||||||||||||||
| ABERDEEN FUNDS | |||||||||||||||||
| Security | 00326L100 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AOD | Meeting Date | 09-Oct-2019 | ||||||||||||||
| ISIN | US00326L1008 | Agenda | 935074803 - Management | ||||||||||||||
| Record Date | 19-Jul-2019 | Holding Recon Date | 19-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Class II Trustee to serve a term of three years until the 2022 Annual Meeting: P. Gerald Malone | Management | Split | For | |||||||||||||
| ABERDEEN FUNDS | |||||||||||||||||
| Security | 00326L100 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AOD | Meeting Date | 09-Oct-2019 | ||||||||||||||
| ISIN | US00326L1008 | Agenda | 935074803 - Management | ||||||||||||||
| Record Date | 19-Jul-2019 | Holding Recon Date | 19-Jul-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Class II Trustee to serve a term of three years until the 2022 Annual Meeting: P. Gerald Malone | Management | Split | For | |||||||||||||
| LAZARD WORLD DIVIDEND & INCOME FD, INC. | |||||||||||||||||
| Security | 521076109 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | LOR | Meeting Date | 18-Oct-2019 | ||||||||||||||
| ISIN | US5210761095 | Agenda | 935077188 - Management | ||||||||||||||
| Record Date | 20-Aug-2019 | Holding Recon Date | 20-Aug-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Approval of the merger of LOR with and into LGI, pursuant to an Agreement and Plan of Merger between LOR and LGI. | Management | Split | For | |||||||||||||
| 2. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Robert M. Solmson | Split | For | ||||||||||||||
| 2 | Nathan A. Paul | Split | For | ||||||||||||||
| LAZARD WORLD DIVIDEND & INCOME FD, INC. | |||||||||||||||||
| Security | 521076109 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | LOR | Meeting Date | 18-Oct-2019 | ||||||||||||||
| ISIN | US5210761095 | Agenda | 935077188 - Management | ||||||||||||||
| Record Date | 20-Aug-2019 | Holding Recon Date | 20-Aug-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Approval of the merger of LOR with and into LGI, pursuant to an Agreement and Plan of Merger between LOR and LGI. | Management | Split | For | |||||||||||||
| 2. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Robert M. Solmson | Split | For | ||||||||||||||
| 2 | Nathan A. Paul | Split | For | ||||||||||||||
| LEGACY ACQUISITION CORP. | |||||||||||||||||
| Security | 524643103 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | LGC | Meeting Date | 22-Oct-2019 | ||||||||||||||
| ISIN | US5246431036 | Agenda | 935086478 - Management | ||||||||||||||
| Record Date | 06-Sep-2019 | Holding Recon Date | 06-Sep-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | To amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from November 21, 2019 to December 21, 2019, plus an option for the Company to further extend such date up to five times, initially to January 21, 2020 and thereafter by additional 30 day periods each to May 20, 2020 (the "Extended Date"), a copy of which is attached as Exhibit A to the proxy statement and as more fully described therein. | Management | For | For | |||||||||||||
| 2. | To amend the Company's investment management trust agreement, dated as of November 16, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination from November 21, 2019 to the Extended Date, a copy of which is attached as Exhibit B to the proxy statement and as more fully described therein. | Management | For | For | |||||||||||||
| CHARDAN HEALTHCARE ACQUISITION CORP. | |||||||||||||||||
| Security | 15957A108 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | CHAC | Meeting Date | 23-Oct-2019 | ||||||||||||||
| ISIN | US15957A1088 | Agenda | 935085034 - Management | ||||||||||||||
| Record Date | 17-Sep-2019 | Holding Recon Date | 17-Sep-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 7. | To elect redemption rights, please check 'FOR' box or see the proxy for alternative methods of electing to exercise your redemption rights. You do not need to vote on any of the proposals set out below to elect redemption rights. However, regardless of whether you elect redemption, your vote is important and we encourage you to vote on the below proposals. | Management | For | None | |||||||||||||
| 1. | To approve the Merger Agreement, dated as of July 16, 2019 by and among CHAC, BiomX Ltd. and CHAC Merger Sub Ltd., an Israeli company and wholly-owned subsidiary of CHAC, and the transactions contemplated thereby. This proposal is referred to as the "Business Combination Proposal" or "Proposal No. 1." | Management | For | For | |||||||||||||
| 2. | To approve the amendment of the Amended and Restated Certificate of Incorporation of CHAC to increase the number of authorized shares of Common Stock from 30,000,000 to 60,000,000. This proposal is referred to as the "Share Increase Proposal" or "Proposal No. 2." | Management | For | For | |||||||||||||
| 3. | To approve the amendment of the Amended and Restated Certificate of Incorporation of CHAC to classify the Board of Directors into three classes. This proposal is referred to as the "Classified Board Proposal" or "Proposal No. 3," and together with the Share Increase Proposal, they are referred to as the "Amendment Proposals." | Management | For | For | |||||||||||||
| 4. | To approve the Chardan Healthcare Acquisition Corp. 2019 Omnibus Long-Term Incentive Plan. This proposal is referred to as the "Equity Plan Adoption Proposal" or "Proposal No. 4." | Management | For | For | |||||||||||||
| 5. | To approve the issuance of more than 20% of the issued and outstanding Common Stock of CHAC pursuant to the terms of the Merger Agreement, as required by NYSE American Listed Company Guide Sections 712 and 713. This proposal is referred to as the "NYSE Proposal" or "Proposal No. 5." | Management | For | For | |||||||||||||
| 6. | To approve the adjournment of the special meeting, if necessary or advisable, in the event CHAC does not receive the requisite stockholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal" or "Proposal No. 6." | Management | For | For | |||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | |||||||||||||||||
| Security | 95766B109 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 25-Oct-2019 | ||||||||||||||
| ISIN | US95766B1098 | Agenda | 935078940 - Management | ||||||||||||||
| Record Date | 01-Aug-2019 | Holding Recon Date | 01-Aug-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Robert D. Agdern | Split | For | ||||||||||||||
| 2 | Eileen A. Kamerick | Split | For | ||||||||||||||
| 2. | A non-binding proposal put forth by Saba Capital Management, L.P., if properly presented before the Meeting, requesting that the Board of Directors take all necessary steps in its power to declassify the Board of Directors. | Shareholder | Split | Against | |||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | |||||||||||||||||
| Security | 95766B109 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 25-Oct-2019 | ||||||||||||||
| ISIN | US95766B1098 | Agenda | 935078940 - Management | ||||||||||||||
| Record Date | 01-Aug-2019 | Holding Recon Date | 01-Aug-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Robert D. Agdern | Split | For | ||||||||||||||
| 2 | Eileen A. Kamerick | Split | For | ||||||||||||||
| 2. | A non-binding proposal put forth by Saba Capital Management, L.P., if properly presented before the Meeting, requesting that the Board of Directors take all necessary steps in its power to declassify the Board of Directors. | Shareholder | Split | Against | |||||||||||||
| WESTERN ASSET GBL HIGH INC FD INC. | |||||||||||||||||
| Security | 95766B109 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | EHI | Meeting Date | 25-Oct-2019 | ||||||||||||||
| ISIN | US95766B1098 | Agenda | 935078952 - Opposition | ||||||||||||||
| Record Date | 01-Aug-2019 | Holding Recon Date | 01-Aug-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | David Basile | Split | For | ||||||||||||||
| 2 | Frederic Gabriel | Split | For | ||||||||||||||
| 2. | For the board to consider declassifying the board so that all directors are elected on an annual basis starting at the next annual meeting of stockholders. | Management | Split | For | |||||||||||||
| VIRTUS MUTUAL FUNDS | |||||||||||||||||
| Security | 92837G100 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | ZF | Meeting Date | 01-Nov-2019 | ||||||||||||||
| ISIN | US92837G1004 | Agenda | 935074295 - Management | ||||||||||||||
| Record Date | 05-Aug-2019 | Holding Recon Date | 05-Aug-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 31-Oct-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Reorganization of Virtus Total Return Fund Inc. into Virtus Global Dividend & Income Fund Inc. | Management | Split | For | |||||||||||||
| 5. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Donald C. Burke* | Split | For | ||||||||||||||
| 2 | Sidney E. Harris* | Split | For | ||||||||||||||
| 3 | John R. Mallin# | Split | For | ||||||||||||||
| 4 | Connie D. McDaniel+ | Split | For | ||||||||||||||
| 5 | Geraldine M. McNamara+ | Split | For | ||||||||||||||
| OPES ACQUISITION CORP. | |||||||||||||||||
| Security | 68373P100 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | OPES | Meeting Date | 15-Nov-2019 | ||||||||||||||
| ISIN | US68373P1003 | Agenda | 935100242 - Management | ||||||||||||||
| Record Date | 30-Oct-2019 | Holding Recon Date | 30-Oct-2019 | ||||||||||||||
| City / | Country | / | Mexico | Vote Deadline Date | 14-Nov-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to January 15, 2020. | Management | For | For | |||||||||||||
| 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | For | |||||||||||||
| BIG ROCK PARTNERS ACQUISITION CORP | |||||||||||||||||
| Security | 089482103 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | BRPA | Meeting Date | 21-Nov-2019 | ||||||||||||||
| ISIN | US0894821034 | Agenda | 935103351 - Management | ||||||||||||||
| Record Date | 04-Nov-2019 | Holding Recon Date | 04-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Nov-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to March 23, 2020. | Management | For | For | |||||||||||||
| 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | For | |||||||||||||
| LEISURE ACQUISITION CORP. | |||||||||||||||||
| Security | 52539T206 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | LACQU | Meeting Date | 26-Nov-2019 | ||||||||||||||
| ISIN | US52539T2069 | Agenda | 935098170 - Management | ||||||||||||||
| Record Date | 18-Oct-2019 | Holding Recon Date | 18-Oct-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Nov-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension Amendment: Proposal to amend the Company's Second Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from December 5, 2019 to April 5, 2020. | Management | For | For | |||||||||||||
| 2. | Trust Amendment: Proposal to amend the Company's investment management trust agreement, dated December 1, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination by April 5, 2020. | Management | For | For | |||||||||||||
| 3. | DIRECTOR | Management | |||||||||||||||
| 1 | Steven M. Rittvo | For | For | ||||||||||||||
| 2 | David L. Weinstein | For | For | ||||||||||||||
| 4. | Auditor Proposal: Proposal to ratify the selection by our Audit Committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||||||||||||
| 5. | Adjournment Proposal: Proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. | Management | For | For | |||||||||||||
| LEISURE ACQUISITION CORP. | |||||||||||||||||
| Security | 52539T107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | LACQ | Meeting Date | 26-Nov-2019 | ||||||||||||||
| ISIN | US52539T1079 | Agenda | 935098170 - Management | ||||||||||||||
| Record Date | 18-Oct-2019 | Holding Recon Date | 18-Oct-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Nov-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension Amendment: Proposal to amend the Company's Second Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from December 5, 2019 to April 5, 2020. | Management | For | For | |||||||||||||
| 2. | Trust Amendment: Proposal to amend the Company's investment management trust agreement, dated December 1, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination by April 5, 2020. | Management | For | For | |||||||||||||
| 3. | DIRECTOR | Management | |||||||||||||||
| 1 | Steven M. Rittvo | For | For | ||||||||||||||
| 2 | David L. Weinstein | For | For | ||||||||||||||
| 4. | Auditor Proposal: Proposal to ratify the selection by our Audit Committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. | Management | For | For | |||||||||||||
| 5. | Adjournment Proposal: Proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. | Management | For | For | |||||||||||||
| NUVEEN OHIO QUALITY MUNICIPAL INCOME FD | |||||||||||||||||
| Security | 670980101 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | NUO | Meeting Date | 05-Dec-2019 | ||||||||||||||
| ISIN | US6709801012 | Agenda | 935086303 - Management | ||||||||||||||
| Record Date | 19-Sep-2019 | Holding Recon Date | 19-Sep-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Judith M. Stockdale | Split | For | ||||||||||||||
| 2 | Carole E. Stone | Split | For | ||||||||||||||
| 3 | Margaret L. Wolff | Split | For | ||||||||||||||
| 2. | If properly presented at the meeting, a shareholder proposal to declassify the Board of Trustees, so that all Trustees are elected on an annual basis. | Shareholder | Split | Against | |||||||||||||
| NUVEEN OHIO QUALITY MUNICIPAL INCOME FD | |||||||||||||||||
| Security | 670980101 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | NUO | Meeting Date | 05-Dec-2019 | ||||||||||||||
| ISIN | US6709801012 | Agenda | 935087216 - Opposition | ||||||||||||||
| Record Date | 19-Sep-2019 | Holding Recon Date | 19-Sep-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1 | DIRECTOR | Management | Split | ||||||||||||||
| 1 | David Basile | Split | For | ||||||||||||||
| 2 | Peter Borish | Split | For | ||||||||||||||
| 3 | Charles Clarvit | Split | For | ||||||||||||||
| 2 | For the Board to consider declassifying the Board so that all trustees are elected on an annual basis starting at the next annual meeting of shareholders. | Management | Split | For | |||||||||||||
| SPECIAL OPPORTUNITIES FUND, INC | |||||||||||||||||
| Security | 84741T104 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | SPE | Meeting Date | 11-Dec-2019 | ||||||||||||||
| ISIN | US84741T1043 | Agenda | 935098954 - Management | ||||||||||||||
| Record Date | 15-Oct-2019 | Holding Recon Date | 15-Oct-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Mr. Andrew Dakos | Split | For | ||||||||||||||
| 2 | Mr. Gerald Hellerman | Split | For | ||||||||||||||
| 3 | Mr. Charles Walden | Split | For | ||||||||||||||
| 4 | Mr. Ben Harris | Split | For | ||||||||||||||
| SPECIAL OPPORTUNITIES FUND, INC | |||||||||||||||||
| Security | 84741T104 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | SPE | Meeting Date | 11-Dec-2019 | ||||||||||||||
| ISIN | US84741T1043 | Agenda | 935098954 - Management | ||||||||||||||
| Record Date | 15-Oct-2019 | Holding Recon Date | 15-Oct-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Mr. Andrew Dakos | Split | For | ||||||||||||||
| 2 | Mr. Gerald Hellerman | Split | For | ||||||||||||||
| 3 | Mr. Charles Walden | Split | For | ||||||||||||||
| 4 | Mr. Ben Harris | Split | For | ||||||||||||||
| HEALTH SCIENCES ACQUISITIONS CORPORATION | |||||||||||||||||
| Security | 42227C102 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | HSAC | Meeting Date | 16-Dec-2019 | ||||||||||||||
| ISIN | US42227C1027 | Agenda | 935113388 - Management | ||||||||||||||
| Record Date | 20-Nov-2019 | Holding Recon Date | 20-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Adopt the Share Exchange Agreement, dated as of September 29, 2019 ("Share Exchange Agreement"), by and among Health Sciences Acquisitions Corporation ("HSAC"), Immunovant Sciences Ltd., a Bermuda exempted limited company ("Immunovant"), stockholders of Immunovant ("Sellers") and Roivant Sciences Ltd., a Bermuda exempted limited company, as representative of the Sellers, and thereby approve the transactions contemplated under the Share Exchange Agreement ("Business Combination"). This proposal is referred to as the "Business Combination Proposal". | Management | For | For | |||||||||||||
| 2A. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: change name of the combined company after the Business Combination (the "Combined Company") to "Immunovant, Inc." from "Health Sciences Acquisition Corporation". | Management | For | For | |||||||||||||
| 2B. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: the authorized number of shares of common stock from 30,000,000 shares to 500,000,000 shares. | Management | For | For | |||||||||||||
| 2C. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to authorize the issuance of up to 10,000,000 shares of "blank check" preferred stock, the rights, preferences and privileges of which may be designated from time to time by the Combined Company's board of directors to increase the number of outstanding shares and discourage a takeover attempt. | Management | For | For | |||||||||||||
| 2D. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to authorize the issuance of up to 10,000 shares of Series A Preferred Stock ("Series A Preferred Stock") and designate the rights, preferences and privileges of the Series A Preferred Stock, including that the holder(s) of a majority of the outstanding shares of Series A Preferred Stock will be entitled to elect: (1) four directors (the "Series A Preferred Directors"), (2) three Series A Preferred Directors and (3) two Series A Preferred Directors. | Management | For | For | |||||||||||||
| 2E. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: provide that the number of directors constituting the board of directors of the Combined Company will be fixed at no less than seven. | Management | For | For | |||||||||||||
| 2F. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that directors may be removed with or without cause by the affirmative vote of the holders of at least 66 2/3% of the voting power of all then- outstanding shares of the Combined Company's capital stock entitled to vote generally at an election of directors; provided that the Series A Preferred Directors may be removed without cause only by the holder(s) of Series A Preferred Stock. | Management | For | For | |||||||||||||
| 2G. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to declassify the Combined Company's board of directors and provide that each director will serve for a one-year term, until his or her successor is duly elected and qualified or until his or her earlier death, resignation or removal. | Management | For | For | |||||||||||||
| 2H. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that, as long as the Combined Company is a "controlled company," the chairperson of the broad of directors of the Combined Company will be entitled to a casting vote and be entitled to two votes on any matter or resolution presented to the full board of directors or any committee on which he or she then serves for which a majority vote cannot be obtained. | Management | For | For | |||||||||||||
| 2I. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that from and after such time as the Combined Company is no longer a "controlled company," no action shall be taken by the stockholders of the Combined Company except at an annual or special meeting of stockholders called in accordance with the Combined Company's bylaws, and no action shall be taken by the stockholders by written consent or electronic transmission. | Management | For | For | |||||||||||||
| 2J. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: provide that the Combined Company opts out of Section 203 of the Delaware General Corporation Law. | Management | For | For | |||||||||||||
| 2K. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that, from and after such time as the Combined Company is no longer a "controlled company," as such term is defined under the rules of the exchange on which the Combined Company's securities are listed, any amendment to the Combined Company's bylaws will require the approval of the holders of at least 66 2/3% of the Combined Company's then- outstanding shares of capital stock entitled to vote generally at an election of directors. | Management | For | For | |||||||||||||
| 2L. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that, from and after such time as the Combined Company is no longer a "controlled company," any amendment to certain provisions of the Amended Charter will require the approval of the holders of at least 66 2/3% of the Combined Company's then-outstanding shares of capital stock entitled to vote generally at an election of directors. | Management | For | For | |||||||||||||
| 2M. | To approve, subject to and with immediate effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: remove various provisions related to its operations as a blank check company prior to the consummation of an initial business combination. | Management | For | For | |||||||||||||
| 2N. | To approve to amend HSAC's current Amended and Restated Certificate of Incorporation to provide that the federal district courts of the United States of America will be the exclusive forum for resolving any complaint asserting a cause of action arising under the Securities Act of 1933, as amended. | Management | For | For | |||||||||||||
| 3. | To approve the issuance of more than 20% of the issued and outstanding shares of HSAC's common stock pursuant to the terms of the Share Exchange Agreement, resulting in a change of control, as required by Nasdaq Listing Rules 5635(a), (b) and (d). This proposal is referred to as the "Nasdaq Proposal" or "Proposal No. 3." | Management | For | For | |||||||||||||
| 4. | To approve the 2019 HSAC Equity Incentive Plan. This proposal is referred to as the "Equity Incentive Plan Proposal" or "Proposal No. 4". | Management | For | For | |||||||||||||
| 5. | To approve the adjournment of the special meeting for the purpose of soliciting additional proxies in favor of the adoption of the Share Exchange Agreement in the event HSAC does not receive the requisite shareholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal" or "Proposal No. 5." | Management | For | For | |||||||||||||
| FINTECH ACQUISITION CORP. III | |||||||||||||||||
| Security | 31811A309 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | FTACU | Meeting Date | 17-Dec-2019 | ||||||||||||||
| ISIN | US31811A3095 | Agenda | 935105507 - Management | ||||||||||||||
| Record Date | 24-Oct-2019 | Holding Recon Date | 24-Oct-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Proposal To approve the selection of WithumSmith+Brown, PC as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||
| PIVOTAL ACQUISITION CORP. | |||||||||||||||||
| Security | 72583A101 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | PVT | Meeting Date | 18-Dec-2019 | ||||||||||||||
| ISIN | US72583A1016 | Agenda | 935109163 - Management | ||||||||||||||
| Record Date | 18-Nov-2019 | Holding Recon Date | 18-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | To approve and adopt the Agreement and Plan of Reorganization, dated as of May 20, 2019, as amended by and among Pivotal Acquisition Corp., Pivotal Merger Sub Corp., LD Topco, Inc., and, solely in its capacity as representative of the stockholders of LD Topco, Carlyle Equity Opportunity GP, L.P., and the transactions contemplated thereby. | Management | For | For | |||||||||||||
| 2A. | To approve the following amendment to Pivotal's current amended and restated certificate of incorporation: to change the name of the company to "KLDiscovery Inc." | Management | For | For | |||||||||||||
| 2B. | To approve the following amendment to Pivotal's current amended and restated certificate of incorporation: to incurease Pivotal's capitalization so that it will have 200,000,000 authorized shares of a single class of common stock and 1,000,000 authorized shares of preferred stock. | Management | For | For | |||||||||||||
| 2C. | To approve the following amendment to Pivotal's current amended and restated certificate of incorporation: to delete the various provisions applicable only to special purpose acquisition corporations. | Management | For | For | |||||||||||||
| 3. | DIRECTOR | Management | |||||||||||||||
| 1 | Richard J. Williams+ | For | For | ||||||||||||||
| 2 | Kevin Griffin+ | For | For | ||||||||||||||
| 3 | Donna Morea++ | For | For | ||||||||||||||
| 4 | Jonathan J. Ledecky++ | For | For | ||||||||||||||
| 5 | Evan Morgan++ | For | For | ||||||||||||||
| 6 | Christopher J Weiler+++ | For | For | ||||||||||||||
| 7 | Daniel F. Akerson+++ | For | For | ||||||||||||||
| 8 | William Darman+++ | For | For | ||||||||||||||
| 4. | To approve the adoption of the 2019 Incentive Award Plan. | Management | For | For | |||||||||||||
| 5. | To approve the adoption of the 2019 Employee Stock Purchase Plan. | Management | For | For | |||||||||||||
| 6. | To adjourn the special meeting to a later date or dates, if necessary, if Pivotal is unable to consummate the business combination for any reason. | Management | For | For | |||||||||||||
| CF FINANCE ACQUISITION CORP. | |||||||||||||||||
| Security | 12528N206 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | CFFAU | Meeting Date | 18-Dec-2019 | ||||||||||||||
| ISIN | US12528N2062 | Agenda | 935112526 - Management | ||||||||||||||
| Record Date | 15-Nov-2019 | Holding Recon Date | 15-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 17-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||
| 1 | Steven Bisgay | For | For | ||||||||||||||
| 2 | Anshu Jain | For | For | ||||||||||||||
| 3 | Robert G. Sharp | For | For | ||||||||||||||
| 2. | Ratification of independent registered public accounting firm. | Management | For | For | |||||||||||||
| TWELVE SEAS INVESTMENT COMPANY | |||||||||||||||||
| Security | G9145A107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | BROG | Meeting Date | 19-Dec-2019 | ||||||||||||||
| ISIN | KYG9145A1076 | Agenda | 935110724 - Management | ||||||||||||||
| Record Date | 15-Nov-2019 | Holding Recon Date | 15-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1) | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of April 15, 2019 (as may be amended), by and among Twelve Seas Investment Company, Brooge Holdings Limited, Brooge Merger Sub, Brooge Petrolum And Gas Investment Company FZE and the other parties thereto, and the transactions contemplated thereby (the "Business Combination"). | Management | For | For | |||||||||||||
| 2) | The Merger Proposal - To consider and vote upon a proposal to approve the merger of Twelve Seas Investment Company with Brooge Merger Sub Limited. | Management | For | For | |||||||||||||
| 3) | The Share Issuance Proposal - To consider and vote upon a proposal, if necessary, to approve, for purposes of complying with applicable NASDAQ Stock Market LLC listing rules, the issuance of more than 20% of the issued and outstanding ordinary shares of Twelve Seas Investment Company in financing transactions in connection with the Business Combination. | Management | For | For | |||||||||||||
| 4) | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the meeting, there are not sufficient votes to approve the Business Combination Proposal, the Merger Proposal and the Share Issuance Proposal, as applicable. | Management | For | For | |||||||||||||
| CHASERG TECHNOLOGY ACQUISITION CORP | |||||||||||||||||
| Security | 16166A202 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | CTACU | Meeting Date | 19-Dec-2019 | ||||||||||||||
| ISIN | US16166A2024 | Agenda | 935113857 - Management | ||||||||||||||
| Record Date | 15-Nov-2019 | Holding Recon Date | 15-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||
| 1 | Clark N. Callander | 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, 2019. | Management | For | For | |||||||||||||
| MUDRICK CAPITAL ACQUISITION CORPORATION | |||||||||||||||||
| Security | 624745105 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | MUDS | Meeting Date | 19-Dec-2019 | ||||||||||||||
| ISIN | US6247451056 | Agenda | 935114556 - Management | ||||||||||||||
| Record Date | 15-Nov-2019 | Holding Recon Date | 15-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Dec-2019 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Class I Director: Dennis Stogsdill | Management | 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, 2019. | Management | For | For | |||||||||||||
| OPES ACQUISITION CORP. | |||||||||||||||||
| Security | 68373P100 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | OPES | Meeting Date | 15-Jan-2020 | ||||||||||||||
| ISIN | US68373P1003 | Agenda | 935121032 - Management | ||||||||||||||
| Record Date | 24-Dec-2019 | Holding Recon Date | 24-Dec-2019 | ||||||||||||||
| City / | Country | / | Mexico | Vote Deadline Date | 14-Jan-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to March 16, 2020. | Management | For | For | |||||||||||||
| 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | For | |||||||||||||
| EATON VANCE LIMITED DURATION INCOME FD | |||||||||||||||||
| Security | 27828H105 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | EVV | Meeting Date | 16-Jan-2020 | ||||||||||||||
| ISIN | US27828H1059 | Agenda | 935112211 - Management | ||||||||||||||
| Record Date | 21-Nov-2019 | Holding Recon Date | 21-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Jan-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Thomas E. Faust Jr. | Split | For | ||||||||||||||
| 2 | Mark R. Fetting | Split | For | ||||||||||||||
| 3 | Keith Quinton | Split | For | ||||||||||||||
| 2. | A non-binding shareholder proposal that the Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis. | Shareholder | Split | Against | |||||||||||||
| EATON VANCE LIMITED DURATION INCOME FD | |||||||||||||||||
| Security | 27828H105 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | EVV | Meeting Date | 16-Jan-2020 | ||||||||||||||
| ISIN | US27828H1059 | Agenda | 935112211 - Management | ||||||||||||||
| Record Date | 21-Nov-2019 | Holding Recon Date | 21-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Jan-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Thomas E. Faust Jr. | Split | For | ||||||||||||||
| 2 | Mark R. Fetting | Split | For | ||||||||||||||
| 3 | Keith Quinton | Split | For | ||||||||||||||
| 2. | A non-binding shareholder proposal that the Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis. | Shareholder | Split | Against | |||||||||||||
| ALBERTON ACQUISITION CORP. | |||||||||||||||||
| Security | G35006116 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | ALACU | Meeting Date | 21-Jan-2020 | ||||||||||||||
| ISIN | VGG350061161 | Agenda | 935120535 - Management | ||||||||||||||
| Record Date | 01-Nov-2019 | Holding Recon Date | 01-Nov-2019 | ||||||||||||||
| City / | Country | / | China | Vote Deadline Date | 17-Jan-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||
| 1 | Bin (Ben) Wang | For | For | ||||||||||||||
| 2 | Guan Wang | For | For | ||||||||||||||
| 3 | Harry Edelson | For | For | ||||||||||||||
| 4 | John W. Allen | For | For | ||||||||||||||
| 5 | Howard Jiang | For | For | ||||||||||||||
| 2. | To ratify the appointment of Friedman LLP ("Friedman") as the Company's independent registered public accounting firm to audit the Company's financial statements for the fiscal year ended December 31, 2018 and the fiscal year then ending December 31, 2019. | Management | For | For | |||||||||||||
| GORDON POINTE ACQUISITION CORP | |||||||||||||||||
| Security | 382788107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | GPAQ | Meeting Date | 24-Jan-2020 | ||||||||||||||
| ISIN | US3827881075 | Agenda | 935120799 - Management | ||||||||||||||
| Record Date | 24-Dec-2019 | Holding Recon Date | 24-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jan-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination from January 29, 2020 to February 29, 2020, plus an option for the Company to further extend such date for an additional 30 days. | Management | For | For | |||||||||||||
| 2. | Trust Amendment: Proposal to amend the Investment Management Trust Agreement, dated as of January 24, 2018, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from January 29, 2020 to February 29, 2020, plus an option for the Company to further extend such date for an additional 30 days. | Management | For | For | |||||||||||||
| JOHN HANCOCK FUNDS | |||||||||||||||||
| Security | 41013P749 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | HTY | Meeting Date | 03-Feb-2020 | ||||||||||||||
| ISIN | US41013P7490 | Agenda | 935116067 - Management | ||||||||||||||
| Record Date | 12-Nov-2019 | Holding Recon Date | 12-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 31-Jan-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | James R. Boyle | Split | For | ||||||||||||||
| 2 | William H. Cunningham | Split | For | ||||||||||||||
| 3 | Grace K. Fey | Split | For | ||||||||||||||
| 4 | Hassell H. McClellan | Split | For | ||||||||||||||
| 5 | Gregory A. Russo | Split | For | ||||||||||||||
| DD3 ACQUISITION CORP. | |||||||||||||||||
| Security | G2692M103 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | DDMX | Meeting Date | 07-Feb-2020 | ||||||||||||||
| ISIN | VGG2692M1032 | Agenda | 935126359 - Management | ||||||||||||||
| Record Date | 16-Jan-2020 | Holding Recon Date | 16-Jan-2020 | ||||||||||||||
| City / | Country | / | Mexico | Vote Deadline Date | 06-Feb-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | The Business Combination Proposal - To consider and vote upon a proposal to approve and adopt the Combination and Stock Purchase Agreement, dated as of August 2, 2019 (as amended, and as may be further amended, the "Business Combination Agreement"), by and among DD3, Campalier, S.A. de C.V., Promotora Forteza, S.A. de C.V., Strevo, S.A. de C.V., Betterware de México, S.A. de C.V. ("Betterware"), BLSM Latino América Servicios, S.A. de C.V., and, solely for the purposes of Article XI therein, DD3 Mex Acquisition Corp. | Management | For | For | |||||||||||||
| 2. | The Redomiciliation Proposal - To consider and vote upon a proposal to: (a) re-domicile DD3 out of the British Virgin Islands and continue as a company incorporated in Guadalajara, Jalisco, United Mexican States ("Mexico"), prior to the closing of the Business Combination Agreement (the "Redomiciliation"); (b) adopt, upon the Redomiciliation taking effect, the by-laws governed by the laws of Mexico, attached to the accompanying proxy statement/prospectus as Annex D (the "Interim Charter") in place of DD3's amended and restated memorandum. | Management | For | For | |||||||||||||
| 3. | The Merger Proposal - To consider and vote upon a proposal to: (a) approve the balance sheet of DD3 corresponding to the period of September 30, 2019, included on page F-74 of the financial statements attached to the accompanying proxy statement/prospectus, that shall be used for the Merger (as defined below) (the "Balance Sheet"); (b) merge DD3 through a merger by incorporation with Betterware, as surviving entity (the "combined company"), assuming the entirety of the assets and liabilities of DD3 (the "Merger"). | Management | For | For | |||||||||||||
| 4. | The Adjournment Proposal - To consider and vote upon a proposal to adjourn the special meeting of shareholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve one or more of the proposals presented at the special meeting. | Management | For | For | |||||||||||||
| BOXWOOD MERGER CORP | |||||||||||||||||
| Security | 10319T101 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | BWMC | Meeting Date | 10-Feb-2020 | ||||||||||||||
| ISIN | US10319T1016 | Agenda | 935104416 - Management | ||||||||||||||
| Record Date | 06-Nov-2019 | Holding Recon Date | 06-Nov-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Feb-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | The Business Combination Proposal: To approve and adopt the unit purchase agreement, dated as of August 12, 2019 ("Purchase Agreement"), by and among Boxwood Merger Corp. ("Boxwood" or the "Company"), Atlas TC Holdings LLC, ("Holdings"), Atlas TC Buyer LLC, a wholly- owned subsidiary of Holdings and a Delaware limited liability company ("Buyer"), Atlas Intermediate Holdings LLC, a Delaware limited liability company ("Atlas Intermediate"), and Atlas Technical Consultants Holdings LP, a Delaware limited partnership (the "Seller"). | Management | For | For | |||||||||||||
| 1A. | Stockholder Certification: I hereby certify that I am not acting in concert, or as a "group" (as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended), with any other stockholder with respect to the shares of Class A common stock, par value $0.0001 per share, of Boxwood ("Class A common stock") owned by me in connection with the business combination. | Management | For | None | |||||||||||||
| 2. | The Charter Amendment Proposal: To approve and adopt, assuming the Business Combination Proposal is approved and adopted, the second amended and restated certificate of incorporation of the Company (the "Proposed Charter"), which, if approved, would take effect upon the closing of the business combination (the "Closing"). | Management | For | For | |||||||||||||
| 3. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal A: authorize an additional 200,000,000 shares of common stock. | Management | For | For | |||||||||||||
| 4. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal B: change the stockholder vote required to amend certain provisions of the Proposed Charter and the Company's bylaws. | Management | For | For | |||||||||||||
| 5. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal C: clarify that the current exclusive forum provision in the Charter adopting Delaware as the exclusive forum for certain stockholder litigation does not apply to claims. | Management | For | For | |||||||||||||
| 6. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company (the "Charter") as reflected in the Proposed Charter, (which we refer to, collectively, as the "advisory charter proposals"): Advisory Charter Proposal D: provide that certain amendments to and actions under the Proposed Charter are subject to the director nomination agreement to be entered into by and among Boxwood and BCP. | Management | For | For | |||||||||||||
| 7. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company ("Charter") as reflected in the Proposed Charter, ("advisory charter proposals"): Advisory Charter Proposal E: To revise the existing waiver of the corporate opportunity doctrine. | Management | For | For | |||||||||||||
| 8. | The Advisory Charter Proposals: To approve and adopt, on a nonbinding advisory basis certain amendments to the amended and restated certificate of incorporation of the Company ("Charter") as reflected in the Proposed Charter, ("advisory charter proposals"): Advisory Charter Proposal F: provide for certain additional changes, including, among other things, (i) changing the post-business combination company's corporate name and (ii) removing certain provisions related to our status as a blank check company. | Management | For | For | |||||||||||||
| 9. | The Nasdaq Proposal: To approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for the purposes of complying with the applicable listing rules of The Nasdaq Stock Market ("Nasdaq"). | Management | For | For | |||||||||||||
| 10. | DIRECTOR | Management | |||||||||||||||
| 1 | L. Joe Boyer | For | For | ||||||||||||||
| 2 | Joe Reece | For | For | ||||||||||||||
| 3 | Daniel G. Weiss | For | For | ||||||||||||||
| 4 | R. Foster Duncan | For | For | ||||||||||||||
| 5 | Stephen M. Kadenacy | For | For | ||||||||||||||
| 6 | Duncan Murdoch | For | For | ||||||||||||||
| 7 | George P. Bevan | For | For | ||||||||||||||
| 11. | The Incentive Plan Proposal: To approve and adopt, assuming the condition precedent proposals are approved and adopted, the Atlas Technical Consultants, Inc. 2019 Omnibus Incentive Plan. | Management | For | For | |||||||||||||
| 12. | The Adjournment Proposal: To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the condition precedent proposals. | Management | For | For | |||||||||||||
| MUDRICK CAPITAL ACQUISITION CORPORATION | |||||||||||||||||
| Security | 624745105 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | MUDS | Meeting Date | 10-Feb-2020 | ||||||||||||||
| ISIN | US6247451056 | Agenda | 935127046 - Management | ||||||||||||||
| Record Date | 15-Jan-2020 | Holding Recon Date | 15-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Feb-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Approval of an amendment to the Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") for an additional six months, from February 12, 2020 (the "Current Termination Date") to August 12, 2020 (the "Extended Termination Date"). | Management | For | For | |||||||||||||
| B. RILEY PRINCIPAL MERGER CORP. | |||||||||||||||||
| Security | 05586Y106 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | BRPM | Meeting Date | 11-Feb-2020 | ||||||||||||||
| ISIN | US05586Y1064 | Agenda | 935126347 - Management | ||||||||||||||
| Record Date | 16-Jan-2020 | Holding Recon Date | 16-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 10-Feb-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | The Business Combination Proposal - approve and adopt the Agreement and Plan of Merger, dated as of December 12, 2019 (as the same may be amended from time to time, the "Merger Agreement"), by and among BRPM, BR Canyon Merger Sub Corp., a wholly-owned subsidiary of the Company and a Michigan corporation ("Merger Sub"), Alta Equipment Holdings, Inc., a Michigan corporation ("Alta"), and Ryan Greenawalt ("Greenawalt"), pursuant to which Merger Sub will merge with & into Alta (the "Merger") in accordance with Merger Agreement. | Management | For | For | |||||||||||||
| 2. | The Charter Amendment Proposal - approve and adopt, assuming the business combination proposal is approved and adopted, the third amended and restated certificate of incorporation of the Company (the "Proposed Charter"), which, if approved, would take effect upon the closing of the business combination (the "Closing") (we refer to this proposal as the "charter amendment proposal") The Advisory Charter Proposals - approve and adopt, on a nonbinding advisory basis, certain amendments to the amended and restated certificate of incorporation. | Management | For | For | |||||||||||||
| 3. | Advisory Charter Proposal A - to, upon completion of the business combination and the conversion of the Company's Class B common stock, par value $0.0001 per share ("Class B common stock"), into the Company's Class A common stock, par value $0.0001 per share ("Class A common stock"), increase the authorized capital stock of the Company from 126,000,000 shares, consisting of 100,000,000 shares of Class A common stock, 25,000,000 shares of Class B common stock and 1,000,000 shares of preferred stock to 201,000,000 shares. | Management | For | For | |||||||||||||
| 4. | Advisory Charter Proposal B - to change the stockholder vote required to amend certain provisions of the Proposed Charter and the Company's bylaws (we refer to this proposal as "advisory charter proposal B"). | Management | For | For | |||||||||||||
| 5. | Advisory Charter Proposal C - to clarify that the current exclusive forum provision in the Charter adopting Delaware as the exclusive forum for certain stockholder litigation does not apply to claims (i) arising under the Securities Act of 1933, as amended (the "Securities Act"), as to which the Court of Chancery of the State of Delaware and the federal district court for the District of Delaware have concurrent jurisdiction under Section 22 of the Securities Act, or (ii) brought to enforce a duty or liability created by Securities Exchange act. | Management | For | For | |||||||||||||
| 6. | Advisory Charter Proposal D - to remove the waiver of the corporate opportunity doctrine (we refer to this proposal as "advisory charter proposal D"). | Management | For | For | |||||||||||||
| 7. | Advisory Charter Proposal E - to provide that Section 203 of the Delaware General Corporation Law, which governs business combinations between the Company and certain interested stockholders, does not apply to the Company (we refer to this proposal as "advisory charter proposal E"). | Management | For | For | |||||||||||||
| 8. | Advisory Charter Proposal F - to provide for certain additional changes, including, among other things, (i) changing the post- business combination company's corporate name from "B. Riley Principal Merger Corp." to "Alta Equipment Group Inc." and making the Company's corporate existence perpetual and (ii) removing certain provisions related to our status as a blank check company that will no longer apply upon consummation of business combination, all of which our board believes are necessary to adequately address the needs of the post-business. | Management | For | For | |||||||||||||
| 9. | The NYSE Proposal - approve, assuming the business combination proposal and the charter amendment proposal are approved and adopted, for the purposes of complying with the applicable provisions of Section 312.03 of the Listed Company Manual of the New York Stock Exchange (the "NYSE"), (i) the issuance of shares of common stock to Alta's equityholders, which include Greenawalt, pursuant to the terms of the Merger Agreement, (ii) the issuance of shares of common stock to the PIPE investors (as defined in the accompanying proxy statement). | Management | For | For | |||||||||||||
| 10. | DIRECTOR | Management | |||||||||||||||
| 1 | Katherine E. White | For | For | ||||||||||||||
| 2 | Daniel Shribman | For | For | ||||||||||||||
| 3 | Zachary E. Savas | For | For | ||||||||||||||
| 4 | Ryan Greenawalt | For | For | ||||||||||||||
| 5 | Andrew Studdert | For | For | ||||||||||||||
| 11. | The Incentive Plan Proposal - approve and adopt, assuming the condition precedent proposals are approved and adopted, the Alta Equipment Group Inc. 2020 Omnibus Incentive Plan, a copy of which is attached to the accompanying proxy statement as Annex C (we refer to this proposal as the "incentive plan proposal"). | Management | For | For | |||||||||||||
| 12. | The Adjournment Proposal - approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the condition precedent proposals or the incentive plan proposal (we refer to this proposal as the "adjournment proposal"). | Management | For | For | |||||||||||||
| ABERDEEN FUNDS | |||||||||||||||||
| Security | 00301W105 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AEF | Meeting Date | 04-Mar-2020 | ||||||||||||||
| ISIN | US00301W1053 | Agenda | 935126082 - Management | ||||||||||||||
| Record Date | 31-Dec-2019 | Holding Recon Date | 31-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Election of Class III Director to serve for a term expiring in 2023: Steven N. Rappaport | Management | Split | For | |||||||||||||
| ABERDEEN FUNDS | |||||||||||||||||
| Security | 00301W105 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AEF | Meeting Date | 04-Mar-2020 | ||||||||||||||
| ISIN | US00301W1053 | Agenda | 935126082 - Management | ||||||||||||||
| Record Date | 31-Dec-2019 | Holding Recon Date | 31-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Election of Class III Director to serve for a term expiring in 2023: Steven N. Rappaport | Management | Split | For | |||||||||||||
| CHASERG TECHNOLOGY ACQUISITION CORP | |||||||||||||||||
| Security | 16166A103 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | CTAC | Meeting Date | 04-Mar-2020 | ||||||||||||||
| ISIN | US16166A1034 | Agenda | 935130257 - Management | ||||||||||||||
| Record Date | 05-Feb-2020 | Holding Recon Date | 05-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | To approve and adopt (i) Merger Agreement, by and among ChaSerg, Grid Dynamics International, Inc. ("Grid Dynamics"), and the other parties named therein, (ii) the transactions contemplated by the Merger Agreement, including a business combination that will result in the existing business of Grid Dynamics being owned by ChaSerg, a NASDAQ-listed public company, and ChaSerg's issuance of shares and payment of cash as merger consideration to Grid Dynamics' selling stockholders (collectively, the "Business Combination Proposal"). | Management | For | For | |||||||||||||
| 2. | To approve, for purposes of complying with applicable listing rules of The NASDAQ Stock Market LLC, the issuance of more than 20% of the number of shares of ChaSerg Class A Common Stock and ChaSerg Class B Common Stock, combined, outstanding prior to the Business Combination (the "NASDAQ Proposal"). | Management | For | For | |||||||||||||
| 3. | To consider and vote upon a proposal to approve the following material differences between the constitutional documents of ChaSerg that will be in effect upon the closing of the Business Combination (such entity existing after the Business Combination, "Successor") and ChaSerg's current amended and restated certificate of incorporation (the "Charter Proposals"). | Management | For | For | |||||||||||||
| 4A. | Election of Leonard Livschitz as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | For | |||||||||||||
| 4B. | Election of Marina Levinson as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | For | |||||||||||||
| 4C. | Election of Shou Zhang as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | For | |||||||||||||
| 4D. | Election of Lloyd Carney as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | For | |||||||||||||
| 4E. | Election of Michael Southworth as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | For | |||||||||||||
| 4F. | Election of Yueou Wang as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | For | |||||||||||||
| 4G. | Election of Eric Benhamou as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | For | |||||||||||||
| 4H. | Election of Weihang Wang as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | For | |||||||||||||
| 5. | To adopt and approve the ChaSerg Technology Acquisition Corp. 2020 Equity Incentive Plan and the reservation of 16,300,000 shares of Successor Common Stock for issuance pursuant to awards granted thereunder (the "Incentive Plan Proposal"). | Management | For | For | |||||||||||||
| 6. | To approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the NASDAQ Proposal, the Charter Proposals, the Director Election Proposal and the Incentive Plan Proposal. | Management | For | For | |||||||||||||
| CHASERG TECHNOLOGY ACQUISITION CORP | |||||||||||||||||
| Security | 16166A103 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | CTAC | Meeting Date | 04-Mar-2020 | ||||||||||||||
| ISIN | US16166A1034 | Agenda | 935135904 - Management | ||||||||||||||
| Record Date | 24-Feb-2020 | Holding Recon Date | 24-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | To approve and adopt (i) Merger Agreement, by and among ChaSerg, Grid Dynamics International, Inc. ("Grid Dynamics"), and the other parties named therein, (ii) the transactions contemplated by the Merger Agreement, including a business combination that will result in the existing business of Grid Dynamics being owned by ChaSerg, a NASDAQ-listed public company, and ChaSerg's issuance of shares and payment of cash as merger consideration to Grid Dynamics' selling stockholders (collectively, the "Business Combination Proposal"). | Management | For | For | |||||||||||||
| 2. | To approve, for purposes of complying with applicable listing rules of The NASDAQ Stock Market LLC, the issuance of more than 20% of the number of shares of ChaSerg Class A Common Stock and ChaSerg Class B Common Stock, combined, outstanding prior to the Business Combination (the "NASDAQ Proposal"). | Management | For | For | |||||||||||||
| 3. | To consider and vote upon a proposal to approve the following material differences between the constitutional documents of ChaSerg that will be in effect upon the closing of the Business Combination (such entity existing after the Business Combination, "Successor") and ChaSerg's current amended and restated certificate of incorporation (the "Charter Proposals"). | Management | For | For | |||||||||||||
| 4A. | Election of Leonard Livschitz as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | For | |||||||||||||
| 4B. | Election of Marina Levinson as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | For | |||||||||||||
| 4C. | Election of Shou Zhang as Class I Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2020) | Management | For | For | |||||||||||||
| 4D. | Election of Lloyd Carney as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | For | |||||||||||||
| 4E. | Election of Michael Southworth as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | For | |||||||||||||
| 4F. | Election of Yueou Wang as Class II Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2021) | Management | For | For | |||||||||||||
| 4G. | Election of Eric Benhamou as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | For | |||||||||||||
| 4H. | Election of Weihang Wang as Class III Director Nominee. (to serve until the Annual Meeting of Stockholders to be held in 2022) | Management | For | For | |||||||||||||
| 5. | To adopt and approve the ChaSerg Technology Acquisition Corp. 2020 Equity Incentive Plan and the reservation of 16,300,000 shares of Successor Common Stock for issuance pursuant to awards granted thereunder (the "Incentive Plan Proposal"). | Management | For | For | |||||||||||||
| 6. | To approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the NASDAQ Proposal, the Charter Proposals, the Director Election Proposal and the Incentive Plan Proposal. | Management | For | For | |||||||||||||
| PGIM INVESTMENTS | |||||||||||||||||
| Security | 69346H100 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | ISD | Meeting Date | 09-Mar-2020 | ||||||||||||||
| ISIN | US69346H1005 | Agenda | 935122616 - Management | ||||||||||||||
| Record Date | 18-Dec-2019 | Holding Recon Date | 18-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Kevin J. Bannon | Split | For | ||||||||||||||
| 2 | Keith F. Hartstein | Split | For | ||||||||||||||
| 3 | Grace C. Torres | Split | For | ||||||||||||||
| PGIM INVESTMENTS | |||||||||||||||||
| Security | 69346H100 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | ISD | Meeting Date | 09-Mar-2020 | ||||||||||||||
| ISIN | US69346H1005 | Agenda | 935122616 - Management | ||||||||||||||
| Record Date | 18-Dec-2019 | Holding Recon Date | 18-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Kevin J. Bannon | Split | For | ||||||||||||||
| 2 | Keith F. Hartstein | Split | For | ||||||||||||||
| 3 | Grace C. Torres | Split | For | ||||||||||||||
| PGIM INVESTMENTS | |||||||||||||||||
| Security | 69346J106 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | GHY | Meeting Date | 09-Mar-2020 | ||||||||||||||
| ISIN | US69346J1060 | Agenda | 935122628 - Management | ||||||||||||||
| Record Date | 18-Dec-2019 | Holding Recon Date | 18-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Kevin J. Bannon | Split | For | ||||||||||||||
| 2 | Keith F. Hartstein | Split | For | ||||||||||||||
| 3 | Grace C. Torres | Split | For | ||||||||||||||
| PGIM INVESTMENTS | |||||||||||||||||
| Security | 69346J106 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | GHY | Meeting Date | 09-Mar-2020 | ||||||||||||||
| ISIN | US69346J1060 | Agenda | 935122628 - Management | ||||||||||||||
| Record Date | 18-Dec-2019 | Holding Recon Date | 18-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Kevin J. Bannon | Split | For | ||||||||||||||
| 2 | Keith F. Hartstein | Split | For | ||||||||||||||
| 3 | Grace C. Torres | Split | For | ||||||||||||||
| OPES ACQUISITION CORP. | |||||||||||||||||
| Security | 68373P100 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | OPES | Meeting Date | 16-Mar-2020 | ||||||||||||||
| ISIN | US68373P1003 | Agenda | 935139180 - Management | ||||||||||||||
| Record Date | 26-Feb-2020 | Holding Recon Date | 26-Feb-2020 | ||||||||||||||
| City / | Country | / | Mexico | Vote Deadline Date | 13-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to June 18, 2020. | Management | For | For | |||||||||||||
| 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | For | |||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 20-Mar-2020 | ||||||||||||||
| ISIN | US10537L1044 | Agenda | 935128632 - Management | ||||||||||||||
| Record Date | 07-Jan-2020 | Holding Recon Date | 07-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1.1 | Election of Class II Director: Nisha Kumar | Management | For | ||||||||||||||
| 1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | For | ||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended October 31, 2020. | Management | For | ||||||||||||||
| 3. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board consider a self- tender offer for all outstanding shares of the Fund at or close to net asset value, if properly presented before the Meeting. | Shareholder | Against | ||||||||||||||
| 4. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board amend the Fund's bylaws to provide a majority of votes cast voting standard for contested director elections, if properly presented before the Meeting. | Shareholder | Against | ||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 20-Mar-2020 | ||||||||||||||
| ISIN | US10537L1044 | Agenda | 935128632 - Management | ||||||||||||||
| Record Date | 07-Jan-2020 | Holding Recon Date | 07-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1.1 | Election of Class II Director: Nisha Kumar | Management | For | ||||||||||||||
| 1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | For | ||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended October 31, 2020. | Management | For | ||||||||||||||
| 3. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board consider a self- tender offer for all outstanding shares of the Fund at or close to net asset value, if properly presented before the Meeting. | Shareholder | Against | ||||||||||||||
| 4. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board amend the Fund's bylaws to provide a majority of votes cast voting standard for contested director elections, if properly presented before the Meeting. | Shareholder | Against | ||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 20-Mar-2020 | ||||||||||||||
| ISIN | US10537L1044 | Agenda | 935128632 - Management | ||||||||||||||
| Record Date | 07-Jan-2020 | Holding Recon Date | 07-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1.1 | Election of Class II Director: Nisha Kumar | Management | For | ||||||||||||||
| 1.2 | Election of Class II Director: Jane E. Trust, CFA | Management | For | ||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended October 31, 2020. | Management | For | ||||||||||||||
| 3. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board consider a self- tender offer for all outstanding shares of the Fund at or close to net asset value, if properly presented before the Meeting. | Shareholder | Against | ||||||||||||||
| 4. | A non-binding proposal put forth by an affiliate of Bulldog Investors, LLC requesting that the Board amend the Fund's bylaws to provide a majority of votes cast voting standard for contested director elections, if properly presented before the Meeting. | Shareholder | Against | ||||||||||||||
| BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD | |||||||||||||||||
| Security | 10537L104 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | BWG | Meeting Date | 20-Mar-2020 | ||||||||||||||
| ISIN | US10537L1044 | Agenda | 935129937 - Opposition | ||||||||||||||
| Record Date | 07-Jan-2020 | Holding Recon Date | 07-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1.1 | Election of Director: Rajeev Das | Management | For | ||||||||||||||
| 1.2 | Election of Director: Andrew Dakos | Management | For | ||||||||||||||
| 2. | Ratification of PricewaterhouseCoopers LLP ("PwC")as the Fund's independent registered public accountants. | Management | For | ||||||||||||||
| 3. | To conduct a self-tender offer at or close to NAV. | Management | For | ||||||||||||||
| 4. | The Board should amend the bylaws to provide that in a contested election, a majority of the votes cast in the election of Directors shall be required to elect a Director. | Management | For | ||||||||||||||
| BIG ROCK PARTNERS ACQUISITION CORP | |||||||||||||||||
| Security | 089482103 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | BRPA | Meeting Date | 23-Mar-2020 | ||||||||||||||
| ISIN | US0894821034 | Agenda | 935142428 - Management | ||||||||||||||
| Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to July 23, 2020. | Management | For | For | |||||||||||||
| 2. | Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. | Management | For | For | |||||||||||||
| GORDON POINTE ACQUISITION CORP | |||||||||||||||||
| Security | 382788107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | GPAQ | Meeting Date | 25-Mar-2020 | ||||||||||||||
| ISIN | US3827881075 | Agenda | 935135966 - Management | ||||||||||||||
| Record Date | 18-Feb-2020 | Holding Recon Date | 18-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | The Business Combination Proposal: To approve an Agreement and Plan of Merger, (a) GPAQ Acquiror Merger Sub, Inc. ("Acquiror Merger Sub"), a wholly owned subsidiary of GPAQ Acquisition Holdings, Inc., a Delaware corporation and wholly- owned subsidiary of GPAQ ("Holdings"), will be merged with and into GPAQ, with GPAQ continuing as the surviving entity and a wholly-owned subsidiary of Holdings, and (b) GPAQ Company Merger Sub, LLC, a wholly-owned subsidiary of Holdings ("Company Merger sub") will be merged with and into HOF Village Newco, LLC | Management | For | For | |||||||||||||
| 2. | Changing the name of Holdings to "Hall of Fame Resort & Entertainment Company". | Management | For | For | |||||||||||||
| 3. | Having a single class of common stock and an authorized 100,000,000 shares of common stock. | Management | For | For | |||||||||||||
| 4. | Fixing the number of directors of Holdings at eleven, subject to change by resolution adopted by the affirmative vote of at least a majority of the board of directors then in office. | Management | For | For | |||||||||||||
| 5. | Dividing the board of directors of Holdings into three classes with staggered three-year terms. | Management | For | For | |||||||||||||
| 6. | Providing that the Court of Chancery of the State of Delaware or, if such court does not have subject matter jurisdiction thereof, another state or federal court located within the State of Delaware, shall be the exclusive forum for certain actions and claims. | Management | For | For | |||||||||||||
| 7. | Removing various provisions applicable only to special purpose acquisition corporations contained in GPAQ's current amended and restated certificate of incorporation (such as the obligation to dissolve and liquidate if a business combination is not consummated in a certain period of time). | Management | For | For | |||||||||||||
| 8. | Conditioned upon the approval of Proposals No. 2 through 7, a proposal to approve the proposed Amended and Restated Certificate of Incorporation of Holdings as a whole, which includes the approval of all other changes in the proposed Amended and Restated Certificate of Incorporation as of the closing of the business combination. | Management | For | For | |||||||||||||
| 9. | The Incentive Plan Proposal -To approve and adopt the GPAQ Acquisition Holdings, Inc. 2020 Omnibus Incentive Plan. | Management | For | For | |||||||||||||
| LEISURE ACQUISITION CORP. | |||||||||||||||||
| Security | 52539T107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | LACQ | Meeting Date | 26-Mar-2020 | ||||||||||||||
| ISIN | US52539T1079 | Agenda | 935137491 - Management | ||||||||||||||
| Record Date | 24-Feb-2020 | Holding Recon Date | 24-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension Amendment: Proposal to amend the Company's Second Amended and Restated Certificate of Incorporation, as amended on December 5, 2019, to extend the date by which the Company must consummate a business combination from April 5, 2020 to June 30, 2020. | Management | For | For | |||||||||||||
| 2. | Trust Amendment: Proposal to amend the Company's investment management trust agreement, dated December 1, 2017, as amended on December 5, 2019, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination from April 5, 2020 to June 30, 2020. | Management | For | For | |||||||||||||
| 3. | Adjournment Proposal: Proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. | Management | For | For | |||||||||||||
| EDTECHX HOLDINGS ACQUISITION CORP. | |||||||||||||||||
| Security | 28138X103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | EDTX | Meeting Date | 26-Mar-2020 | ||||||||||||||
| ISIN | US28138X1037 | Agenda | 935148773 - Management | ||||||||||||||
| Record Date | 24-Feb-2020 | Holding Recon Date | 24-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 25-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | To approve and adopt the Agreement and Plan of Reorganization, dated as of December 12, 2019, by and among EdtechX Holdings Acquisition Corp., Meten EdtechX Education Group Ltd., Meten Education Inc., Meten Education Group Ltd. and Meten International Education Group and to approve the mergers contemplated thereby | Management | For | For | |||||||||||||
| 2. | DIRECTOR | Management | |||||||||||||||
| 1 | B. Vedrenne-Cloquet | For | For | ||||||||||||||
| 2 | Charles McIntyre | For | For | ||||||||||||||
| 3 | Jishuang Zhao | For | For | ||||||||||||||
| 4 | Siguang Peng | For | For | ||||||||||||||
| 5 | Yupeng Guo | For | For | ||||||||||||||
| 6 | Yongchao Chen | For | For | ||||||||||||||
| 7 | Yanli Chen | For | For | ||||||||||||||
| 8 | Zhiyi Xie | For | For | ||||||||||||||
| 9 | Ying Cheng | For | For | ||||||||||||||
| 3A. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of incorporation: The name of the new public entity will be "Meten EdtechX Education Group Ltd. " as opposed to "EdtechX Holdings Acquisition Corp.". | Management | For | For | |||||||||||||
| 3B. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of | Management | For | For | |||||||||||||
| incorporation: Meten EdtechX Education Group Ltd. has 500,000,000 ordinary shares authorized, as opposed to EdtechX Holdings Acquisition Corp. having 25,000,000 authorized shares of common stock and 1,000,000 authorized shares of preferred stock. | |||||||||||||||||
| 3C. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of incorporation: Meten EdtechX Education Group Ltd.'s corporate existence is perpetual as opposed to EdtechX Holdings Acquisition Corp.'s corporate existence terminating if a business combination is not consummated within a specified period of time. | Management | For | For | |||||||||||||
| 3D. | To approve the following material differences between the constitutional documents of Meten EdtechX Education Group Ltd. that will be in effect upon the closing of the transactions and EdtechX's current amended and restated certificate of incorporation: Meten EdtechX Education Group Ltd.'s constitutional documents do not include the various provisions applicable only to special purpose acquisition corporations that EdtechX Holdings Acquisition Corp.'s charter contains. | Management | For | For | |||||||||||||
| 4. | To adjourn the annual meeting to a later date or dates, if necessary, if the parties are unable to consummate the mergers for any reason. | Management | For | For | |||||||||||||
| GORDON POINTE ACQUISITION CORP | |||||||||||||||||
| Security | 382788107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | GPAQ | Meeting Date | 30-Mar-2020 | ||||||||||||||
| ISIN | US3827881075 | Agenda | 935145082 - Management | ||||||||||||||
| Record Date | 18-Feb-2020 | Holding Recon Date | 18-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Mar-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination for forty-five (45) days from March 30, 2020 to May 14, 2020. | Management | For | For | |||||||||||||
| 2. | Trust Amendment: Proposal to amend the Investment Management Trust Agreement, dated as of January 24, 2018, as amended, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination for forty-five (45) days from March 30, 2020 to May 14, 2020. | Management | For | For | |||||||||||||
| DUFF & PHELPS UTILITY & CORP BD TR INC. | |||||||||||||||||
| Security | 26432K108 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | DUC | Meeting Date | 14-Apr-2020 | ||||||||||||||
| ISIN | US26432K1088 | Agenda | 935123303 - Management | ||||||||||||||
| Record Date | 27-Dec-2019 | Holding Recon Date | 27-Dec-2019 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Geraldine M. McNamara | Split | For | ||||||||||||||
| 2 | David J. Vitale | Split | For | ||||||||||||||
| 2. | Shareholder Proposal: BE IT RESOLVED, the shareholders of the Duff & Phelps Utility and Corporate Bond Trust Inc. ("DUC" or "Fund") request that the Board of Directors ("Board") promptly consider authorizing a self-tender offer for all outstanding common shares of the Fund at or close to net asset value ("NAV"). If more than 50% of Fund's outstanding common shares are tendered, the tender offer should be cancelled & the Board should take the steps necessary to liquidate, merge, or convert Fund to an open-end mutual fund or exchange traded fund. | Shareholder | Split | Against | |||||||||||||
| EATON VANCE FUNDS | |||||||||||||||||
| Security | 27829M103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | EXD | Meeting Date | 16-Apr-2020 | ||||||||||||||
| ISIN | US27829M1036 | Agenda | 935132578 - Management | ||||||||||||||
| Record Date | 04-Feb-2020 | Holding Recon Date | 04-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Thomas E. Faust Jr. | Split | For | ||||||||||||||
| 2 | Cynthia E. Frost | Split | For | ||||||||||||||
| 3 | Scott E. Wennerholm | Split | For | ||||||||||||||
| EATON VANCE FLOATING RATE | |||||||||||||||||
| Security | 278284104 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | EFF | Meeting Date | 16-Apr-2020 | ||||||||||||||
| ISIN | US2782841041 | Agenda | 935149458 - Management | ||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Thomas E. Faust Jr. | Split | For | ||||||||||||||
| 2 | Cynthia E. Frost | Split | For | ||||||||||||||
| 3 | Scott E. Wennerholm | Split | For | ||||||||||||||
| 2. | A non-binding shareholder proposal that the Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis. | Shareholder | Split | Against | |||||||||||||
| EATON VANCE FLOATING RATE | |||||||||||||||||
| Security | 278284104 | Meeting Type | Contested-Annual | ||||||||||||||
| Ticker Symbol | EFF | Meeting Date | 16-Apr-2020 | ||||||||||||||
| ISIN | US2782841041 | Agenda | 935149460 - Opposition | ||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | David Basile | Split | For | ||||||||||||||
| 2 | Peter Borish | Split | For | ||||||||||||||
| 3 | Charles Clarvit | Split | For | ||||||||||||||
| 2. | For the Board to consider declassifying the Board so that all trustees are elected on an annual basis starting at the next annual meeting of shareholders. | Management | Split | For | |||||||||||||
| GRAF INDUSTRIAL CORP. | |||||||||||||||||
| Security | 384278206 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | GRAFU | Meeting Date | 16-Apr-2020 | ||||||||||||||
| ISIN | US3842782068 | Agenda | 935170340 - Management | ||||||||||||||
| Record Date | 19-Mar-2020 | Holding Recon Date | 19-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 15-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1) | Amend (the "Extension Amendment") the Company's second amended and restated certificate of incorporation (the "charter") to extend the date by which the Company has to consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses (a "business combination") from April 18, 2020 to July 31, 2020 (the "Extension," and such date, the "Extended Date") ("the Extension Amendment Proposal"). | Management | For | For | |||||||||||||
| 2) | DIRECTOR | Management | |||||||||||||||
| 1 | Julie J. Levenson | For | For | ||||||||||||||
| 2 | Sabrina McKee | For | For | ||||||||||||||
| 3) | Approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal (the "Adjournment Proposal"). | Management | For | For | |||||||||||||
| CORNERSTONE STRATEGIC VALUE FUND, INC. | |||||||||||||||||
| Security | 21924B302 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | CLM | Meeting Date | 21-Apr-2020 | ||||||||||||||
| ISIN | US21924B3024 | Agenda | 935135598 - Management | ||||||||||||||
| Record Date | 18-Feb-2020 | Holding Recon Date | 18-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||
| 1 | Marcia E. Malzahn | For | |||||||||||||||
| 2 | Ralph W. Bradshaw | For | |||||||||||||||
| 2. | In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the said Meeting or any adjournment thereof. | Management | For | ||||||||||||||
| NUVEEN PREFERED & CONVERTIBLE INCOME 2 | |||||||||||||||||
| Security | 67073D102 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | JQC | Meeting Date | 22-Apr-2020 | ||||||||||||||
| ISIN | US67073D1028 | Agenda | 935139382 - Management | ||||||||||||||
| Record Date | 13-Jan-2020 | Holding Recon Date | 13-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1B. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | John K. Nelson | Split | For | ||||||||||||||
| 2 | Terence J. Toth | Split | For | ||||||||||||||
| 3 | Robert L. Young | Split | For | ||||||||||||||
| NUVEEN PREFERED & CONVERTIBLE INCOME 2 | |||||||||||||||||
| Security | 67073D102 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | JQC | Meeting Date | 22-Apr-2020 | ||||||||||||||
| ISIN | US67073D1028 | Agenda | 935139382 - Management | ||||||||||||||
| Record Date | 13-Jan-2020 | Holding Recon Date | 13-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1B. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | John K. Nelson | Split | For | ||||||||||||||
| 2 | Terence J. Toth | Split | For | ||||||||||||||
| 3 | Robert L. Young | Split | For | ||||||||||||||
| NUVEEN GEORGIA QUALITY MUNICIPAL INC FD | |||||||||||||||||
| Security | 67072B107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | NKG | Meeting Date | 22-Apr-2020 | ||||||||||||||
| ISIN | US67072B1070 | Agenda | 935139394 - Management | ||||||||||||||
| Record Date | 13-Jan-2020 | Holding Recon Date | 13-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | John K. Nelson | Split | For | ||||||||||||||
| 2 | Terence J. Toth | Split | For | ||||||||||||||
| 3 | Robert L. Young | Split | For | ||||||||||||||
| NUVEEN INTER DUR QLTY MUNI TERM FD | |||||||||||||||||
| Security | 670677103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | NIQ | Meeting Date | 22-Apr-2020 | ||||||||||||||
| ISIN | US6706771036 | Agenda | 935139394 - Management | ||||||||||||||
| Record Date | 13-Jan-2020 | Holding Recon Date | 13-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | John K. Nelson | Split | For | ||||||||||||||
| 2 | Terence J. Toth | Split | For | ||||||||||||||
| 3 | Robert L. Young | Split | For | ||||||||||||||
| NUVEEN INTER DUR QLTY MUNI TERM FD | |||||||||||||||||
| Security | 670677103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | NIQ | Meeting Date | 22-Apr-2020 | ||||||||||||||
| ISIN | US6706771036 | Agenda | 935139394 - Management | ||||||||||||||
| Record Date | 13-Jan-2020 | Holding Recon Date | 13-Jan-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | John K. Nelson | Split | For | ||||||||||||||
| 2 | Terence J. Toth | Split | For | ||||||||||||||
| 3 | Robert L. Young | Split | For | ||||||||||||||
| ALBERTON ACQUISITION CORP. | |||||||||||||||||
| Security | G35006116 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | ALACU | Meeting Date | 23-Apr-2020 | ||||||||||||||
| ISIN | VGG350061161 | Agenda | 935179956 - Management | ||||||||||||||
| Record Date | 13-Mar-2020 | Holding Recon Date | 13-Mar-2020 | ||||||||||||||
| City / | Country | / | China | Vote Deadline Date | 22-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension Amendment: To amend the Company's memorandum and articles of association, to extend the date before which the Company must complete a business combination ("Termination Date") from April 27, 2020 ("Current Termination Date") to October 26, 2020 or such earlier date as determined by the Board ("Extended Termination Date"), and if the Company has not completed a business combination would similarly be extended by amending the M&A to include an additional regulation 47.15 in Articles of Association in the form set forth in Annex A. | Management | For | For | |||||||||||||
| 1A. | Intention to Exercise Redemption Rights: If you intend to exercise your redemption rights, please check for box. Checking for box, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the proxy statement under the heading "The Special Meeting - -Redemption Rights." | Management | For | None | |||||||||||||
| 1B. | Shareholder Certification: I hereby certify that I am not acting on concert or as a "group" (as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended), with any other stockholder of the Company owned by me in connection with the Business Combination Proposal. | Management | For | None | |||||||||||||
| 2. | Adjournment of the Special Meeting: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Meeting, there are not sufficient votes to approve the foregoing proposal. | Management | For | For | |||||||||||||
| PUTNAM MUNICIPAL OPPORTUNITIES TRUST | |||||||||||||||||
| Security | 746922103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | PMO | Meeting Date | 24-Apr-2020 | ||||||||||||||
| ISIN | US7469221037 | Agenda | 935168890 - Management | ||||||||||||||
| Record Date | 06-Feb-2020 | Holding Recon Date | 06-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Fixing the number of Trustees at 11. | Management | Split | For | |||||||||||||
| 1B. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Liaquat Ahamed | Split | For | ||||||||||||||
| 2 | Ravi Akhoury | Split | For | ||||||||||||||
| 3 | Barbara M. Baumann | Split | For | ||||||||||||||
| 4 | Catharine Bond Hill | Split | For | ||||||||||||||
| 5 | Paul L. Joskow | Split | For | ||||||||||||||
| 6 | Kenneth R. Leibler | Split | For | ||||||||||||||
| 7 | Robert L. Reynolds | Split | For | ||||||||||||||
| 8 | Manoj P. Singh | Split | For | ||||||||||||||
| 9 | Mona K. Sutphen | Split | For | ||||||||||||||
| BARINGS BDC, INC. | |||||||||||||||||
| Security | 06759L103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 30-Apr-2020 | ||||||||||||||
| ISIN | US06759L1035 | Agenda | 935146046 - Management | ||||||||||||||
| Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Class II Director: Michael Freno | Management | Split | For | |||||||||||||
| 1B. | Election of Class II Director: John A. Switzer | Management | Split | For | |||||||||||||
| 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Management | Split | For | |||||||||||||
| BARINGS BDC, INC. | |||||||||||||||||
| Security | 06759L103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 30-Apr-2020 | ||||||||||||||
| ISIN | US06759L1035 | Agenda | 935146046 - Management | ||||||||||||||
| Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Apr-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Class II Director: Michael Freno | Management | Split | For | |||||||||||||
| 1B. | Election of Class II Director: John A. Switzer | Management | Split | For | |||||||||||||
| 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Management | Split | For | |||||||||||||
| WEALTHBRIDGE ACQUISITION LIMITED | |||||||||||||||||
| Security | G4887W110 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | HHHH | Meeting Date | 05-May-2020 | ||||||||||||||
| ISIN | VGG4887W1106 | Agenda | 935193615 - Management | ||||||||||||||
| Record Date | 09-Apr-2020 | Holding Recon Date | 09-Apr-2020 | ||||||||||||||
| City / | Country | / | Hong Kong | Vote Deadline Date | 04-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | To approve the share exchange agreement dated as of October 28, 2019 (as may be amended or supplemented from time to time, the "Share Exchange Agreement") among Wealthbridge, Scienjoy Inc. ("Scienjoy"), Lavacano Holdings Limited ("Lavacano"), WBY Entertainment Holdings Ltd. ("WBY," together with Lavacano, the "Sellers", and each "Seller") and the transactions contemplated thereunder, including but not limited to the acquisition of all of the issued and outstanding shares and ...(due to space limits, see proxy material for full proposal). | Management | For | For | |||||||||||||
| 2. | To approve as a shareholder resolution to change of Wealthbridge's name to Scienjoy Holding Corporation and the adoption of the Third Amended and Restated Memorandum and Articles of Association of Wealthbridge as further described herein. This proposal is referred to as the "Amendment Proposal" or "Proposal No. 2." | Management | For | For | |||||||||||||
| 3. | To approve the issuance of more than 20% of the issued and outstanding ordinary shares of Wealthbridge pursuant to the terms of the Share Exchange Agreement, as required by Nasdaq Listing Rules 5635(a) and (d). This proposal is referred to as the "Nasdaq Proposal" or "Proposal 3." | Management | For | For | |||||||||||||
| 4. | To approve the adjournment of the extraordinary general meeting in the event Wealthbridge does not receive the requisite shareholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal" or "Proposal 4". | Management | For | For | |||||||||||||
| ABERDEEN FUNDS | |||||||||||||||||
| Security | 00326L100 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AOD | Meeting Date | 06-May-2020 | ||||||||||||||
| ISIN | US00326L1008 | Agenda | 935157683 - Management | ||||||||||||||
| Record Date | 27-Feb-2020 | Holding Recon Date | 27-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Class III Trustee to serve until the 2023 Annual Meeting of Shareholders: Nancy Yao Maasbach | Management | Split | For | |||||||||||||
| 1B. | Election of Class III Trustee to serve until the 2023 Annual Meeting of Shareholders: Martin J. Gilbert | Management | Split | For | |||||||||||||
| ABERDEEN FUNDS | |||||||||||||||||
| Security | 00326L100 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | AOD | Meeting Date | 06-May-2020 | ||||||||||||||
| ISIN | US00326L1008 | Agenda | 935157683 - Management | ||||||||||||||
| Record Date | 27-Feb-2020 | Holding Recon Date | 27-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Class III Trustee to serve until the 2023 Annual Meeting of Shareholders: Nancy Yao Maasbach | Management | Split | For | |||||||||||||
| 1B. | Election of Class III Trustee to serve until the 2023 Annual Meeting of Shareholders: Martin J. Gilbert | Management | Split | For | |||||||||||||
| KAYNE ANDERSON MLP/MIDSTREAM INV CO | |||||||||||||||||
| Security | 486606106 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | KYN | Meeting Date | 07-May-2020 | ||||||||||||||
| ISIN | US4866061066 | Agenda | 935138114 - Management | ||||||||||||||
| Record Date | 14-Feb-2020 | Holding Recon Date | 14-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | For | |||||||||||||
| 1B. | Election of Director: BARRY R. PEARL | Management | Split | For | |||||||||||||
| 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2020. | Management | Split | For | |||||||||||||
| KAYNE ANDERSON MLP/MIDSTREAM INV CO | |||||||||||||||||
| Security | 486606106 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | KYN | Meeting Date | 07-May-2020 | ||||||||||||||
| ISIN | US4866061066 | Agenda | 935138114 - Management | ||||||||||||||
| Record Date | 14-Feb-2020 | Holding Recon Date | 14-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | For | |||||||||||||
| 1B. | Election of Director: BARRY R. PEARL | Management | Split | For | |||||||||||||
| 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2020. | Management | Split | For | |||||||||||||
| KAYNE ANDERSON MIDSTREAM/ENERGY FUND INC | |||||||||||||||||
| Security | 48661E108 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | KMF | Meeting Date | 07-May-2020 | ||||||||||||||
| ISIN | US48661E1082 | Agenda | 935138126 - Management | ||||||||||||||
| Record Date | 14-Feb-2020 | Holding Recon Date | 14-Feb-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 06-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Director: WILLIAM R. CORDES | Management | Split | For | |||||||||||||
| 1B. | Election of Director: BARRY R. PEARL | Management | Split | For | |||||||||||||
| 2. | THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KMF'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2020. | Management | Split | For | |||||||||||||
| COHEN & STEERS SELECT UTILITY FUND, INC. | |||||||||||||||||
| Security | 19248A109 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | UTF | Meeting Date | 14-May-2020 | ||||||||||||||
| ISIN | US19248A1097 | Agenda | 935144458 - Management | ||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Michael G. Clark | Split | For | ||||||||||||||
| 2 | Dean A. Junkans | Split | For | ||||||||||||||
| COHEN & STEERS QUALITY INC RLTY, FD INC. | |||||||||||||||||
| Security | 19247L106 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | RQI | Meeting Date | 14-May-2020 | ||||||||||||||
| ISIN | US19247L1061 | Agenda | 935144458 - Management | ||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Michael G. Clark | Split | For | ||||||||||||||
| 2 | Dean A. Junkans | Split | For | ||||||||||||||
| GORDON POINTE ACQUISITION CORP | |||||||||||||||||
| Security | 382788107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | GPAQ | Meeting Date | 14-May-2020 | ||||||||||||||
| ISIN | US3827881075 | Agenda | 935201614 - Management | ||||||||||||||
| Record Date | 02-Apr-2020 | Holding Recon Date | 02-Apr-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 13-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1 | Extension Amendment: Proposal to amend the Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination from May 14, 2020 to June 15, 2020, plus an option for the Company to further extend such date for an additional 30 days to July 15, 2020. | Management | For | For | |||||||||||||
| 2 | Trust Amendment: Proposal to amend the Investment Management Trust Agreement, dated as of January 24, 2018, as amended, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from May 14, 2020 to June 15, 2020, plus an option for the Company to further extend for an additional 30 days to July 15, 2020. | Management | For | For | |||||||||||||
| SOURCE CAPITAL, INC. | |||||||||||||||||
| Security | 836144105 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | SOR | Meeting Date | 22-May-2020 | ||||||||||||||
| ISIN | US8361441053 | Agenda | 935152847 - Management | ||||||||||||||
| Record Date | 16-Mar-2020 | Holding Recon Date | 16-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Atwood | Split | For | ||||||||||||||
| 2 | Brown | Split | For | ||||||||||||||
| 3 | Lipson | Split | For | ||||||||||||||
| 4 | Osborne | Split | For | ||||||||||||||
| 5 | Pisano | Split | For | ||||||||||||||
| 6 | Purcell | Split | For | ||||||||||||||
| 2A. | To approve the amendment or elimination of the fundamental investment restrictions: Commodities and Real Estate | Management | Split | For | |||||||||||||
| 2B. | To approve the amendment or elimination of the fundamental investment restrictions: Senior Securities and Borrowing | Management | Split | For | |||||||||||||
| 2C. | To approve the amendment or elimination of the fundamental investment restrictions: Concentration of Investments | Management | Split | For | |||||||||||||
| 2D. | To approve the amendment or elimination of the fundamental investment restrictions: Making Loans | Management | Split | For | |||||||||||||
| 2E. | To approve the amendment or elimination of the fundamental investment restrictions: Underwriting | Management | Split | For | |||||||||||||
| 2F. | To approve the amendment or elimination of the fundamental investment restrictions: Concentration Limits | Management | Split | For | |||||||||||||
| 2G. | To approve the amendment or elimination of the fundamental investment restrictions: Short Sales and Purchases of Securities on Margin | Management | Split | For | |||||||||||||
| 2H. | To approve the amendment or elimination of the fundamental investment restrictions: Investments in which a Director or Officer is Invested | Management | Split | For | |||||||||||||
| 2I. | To approve the amendment or elimination of the fundamental investment restrictions: Writing and Selling Options | Management | Split | For | |||||||||||||
| 2J. | To approve the amendment or elimination of the fundamental investment restrictions: Investments in Other Investment Companies | Management | Split | For | |||||||||||||
| 2K. | To approve the amendment or elimination of the fundamental investment restrictions: Investments in Securities for Which Market Quotations Are Not Readily Available | Management | Split | For | |||||||||||||
| 2L. | To approve the amendment or elimination of the fundamental investment restrictions: Purchases of Certain Restricted Securities | Management | Split | For | |||||||||||||
| THE INDIA FUND, INC. | |||||||||||||||||
| Security | 454089103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | IFN | Meeting Date | 27-May-2020 | ||||||||||||||
| ISIN | US4540891037 | Agenda | 935199441 - Management | ||||||||||||||
| Record Date | 26-Mar-2020 | Holding Recon Date | 26-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1.1 | Election of Class II Director to serve until the 2023 Annual Meeting of Stockholders: Nisha Kumar | Management | Split | For | |||||||||||||
| 1.2 | Election of Class II Director to serve until the 2023 Annual Meeting of Stockholders: Luis Rubio | Management | Split | For | |||||||||||||
| THE INDIA FUND, INC. | |||||||||||||||||
| Security | 454089103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | IFN | Meeting Date | 27-May-2020 | ||||||||||||||
| ISIN | US4540891037 | Agenda | 935199441 - Management | ||||||||||||||
| Record Date | 26-Mar-2020 | Holding Recon Date | 26-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1.1 | Election of Class II Director to serve until the 2023 Annual Meeting of Stockholders: Nisha Kumar | Management | Split | For | |||||||||||||
| 1.2 | Election of Class II Director to serve until the 2023 Annual Meeting of Stockholders: Luis Rubio | Management | Split | For | |||||||||||||
| TEMPLETON GLOBAL INCOME FUND | |||||||||||||||||
| Security | 880198106 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | GIM | Meeting Date | 28-May-2020 | ||||||||||||||
| ISIN | US8801981064 | Agenda | 935159093 - Management | ||||||||||||||
| Record Date | 12-Mar-2020 | Holding Recon Date | 12-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Edith E. Holiday | Split | For | ||||||||||||||
| 2 | J. Michael Luttig | Split | For | ||||||||||||||
| 3 | C.D. Tseretopoulos | Split | For | ||||||||||||||
| 2. | The ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2020. | Management | Split | For | |||||||||||||
| TEMPLETON GLOBAL INCOME FUND | |||||||||||||||||
| Security | 880198106 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | GIM | Meeting Date | 28-May-2020 | ||||||||||||||
| ISIN | US8801981064 | Agenda | 935159093 - Management | ||||||||||||||
| Record Date | 12-Mar-2020 | Holding Recon Date | 12-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Edith E. Holiday | Split | For | ||||||||||||||
| 2 | J. Michael Luttig | Split | For | ||||||||||||||
| 3 | C.D. Tseretopoulos | Split | For | ||||||||||||||
| 2. | The ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2020. | Management | Split | For | |||||||||||||
| LEGACY ACQUISITION CORP. | |||||||||||||||||
| Security | 524643111 | Meeting Type | Consent | ||||||||||||||
| Ticker Symbol | LGCWS | Meeting Date | 08-Jun-2020 | ||||||||||||||
| ISIN | US5246431119 | Agenda | 935222416 - Management | ||||||||||||||
| Record Date | 20-Mar-2020 | Holding Recon Date | 20-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | To approve amendments to that certain Warrant Agreement, dated as of November 16, 2017, between the Company and Continental Stock Transfer & Trust Company (the "Warrant Agreement"), which amendments provide, among other things. | Management | For | For | |||||||||||||
| SCHULTZE SPECIAL PURPOSE ACQUISITION | |||||||||||||||||
| Security | 80821R109 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | SAMA | Meeting Date | 09-Jun-2020 | ||||||||||||||
| ISIN | US80821R1095 | Agenda | 935224307 - Management | ||||||||||||||
| Record Date | 08-May-2020 | Holding Recon Date | 08-May-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | The Charter Amendment: To amend the Company's amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from June 13, 2020 to September 30, 2020. | Management | For | For | |||||||||||||
| 2. | DIRECTOR | Management | |||||||||||||||
| 1 | William G. LaPerch | For | For | ||||||||||||||
| 2 | William T. Allen | For | For | ||||||||||||||
| 3. | The Auditor Proposal: To ratify the selection by our audit committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||
| HIGHLAND FUNDS | |||||||||||||||||
| Security | 43010E404 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | HFRO | Meeting Date | 12-Jun-2020 | ||||||||||||||
| ISIN | US43010E4044 | Agenda | 935209177 - Management | ||||||||||||||
| Record Date | 16-Apr-2020 | Holding Recon Date | 16-Apr-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Dr. Bob Froehlich | Split | For | ||||||||||||||
| HIGHLAND FUNDS | |||||||||||||||||
| Security | 43010E404 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | HFRO | Meeting Date | 12-Jun-2020 | ||||||||||||||
| ISIN | US43010E4044 | Agenda | 935209177 - Management | ||||||||||||||
| Record Date | 16-Apr-2020 | Holding Recon Date | 16-Apr-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Dr. Bob Froehlich | Split | For | ||||||||||||||
| HIGHLAND FUNDS | |||||||||||||||||
| Security | 43010T104 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | HGLB | Meeting Date | 12-Jun-2020 | ||||||||||||||
| ISIN | US43010T1043 | Agenda | 935212580 - Management | ||||||||||||||
| Record Date | 16-Apr-2020 | Holding Recon Date | 16-Apr-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Dr. Bob Froehlich | Split | For | ||||||||||||||
| GORDON POINTE ACQUISITION CORP | |||||||||||||||||
| Security | 382788107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | GPAQ | Meeting Date | 15-Jun-2020 | ||||||||||||||
| ISIN | US3827881075 | Agenda | 935186862 - Management | ||||||||||||||
| Record Date | 02-Apr-2020 | Holding Recon Date | 02-Apr-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | The Business Combination Proposal - To approve an Agreement and Plan of Merger, dated as of September 16, 2019 (as amended on November 6, 2019 and March 10, 2020, the "Merger Agreement") | Management | For | For | |||||||||||||
| 2. | The Charter Amendments Proposals - To approve the following material differences from the proposed Amended and Restated Certificate of Incorporation of Holdings: Changing the name of Holdings to "Hall of Fame Resort & Entertainment Company" | Management | For | For | |||||||||||||
| 3. | The Charter Amendments Proposals - To approve the following material differences from the proposed Amended and Restated Certificate of Incorporation of Holdings: Having a single class of common stock and an authorized 100,000,000 shares of common stock | Management | For | For | |||||||||||||
| 4. | The Charter Amendments Proposals - To approve the following material differences from the proposed Amended and Restated Certificate of Incorporation of Holdings: Fixing the number of directors of Holdings at eleven, subject to change by resolution adopted by the affirmative vote of at least a majority of the board of directors then in office | Management | For | For | |||||||||||||
| 5. | The Charter Amendments Proposals - To approve the following material differences from the proposed Amended and Restated Certificate of Incorporation of Holdings: Dividing the board of directors of Holdings into three classes with staggered three- year terms | Management | For | For | |||||||||||||
| 6. | The Charter Amendments Proposals - To approve the following material differences from the proposed Amended and Restated Certificate of Incorporation of Holdings: Providing that the Court of Chancery of the State of Delaware or, if such court does not have subject matter jurisdiction thereof, another state or federal court located within the State of Delaware, shall be the exclusive forum for certain actions and claims | Management | For | For | |||||||||||||
| 7. | The Charter Amendments Proposals - To approve the following material differences from the proposed Amended and Restated Certificate of Incorporation of Holdings: Removing various provisions applicable only to special purpose acquisition corporations contained in GPAQ's current amended and restated certificate of incorporation (such as the obligation to dissolve and liquidate if a business combination is not consummated in a certain period of time). | Management | For | For | |||||||||||||
| 8. | The Charter Amendments Proposals - To approve the following material differences from the proposed Amended and Restated Certificate of Incorporation of Holdings: Conditioned upon the approval of Proposals No. 2 through 7, a proposal to approve the proposed Amended and Restated Certificate of Incorporation of Holdings as a whole, which includes the approval of all other changes in the proposed Amended and Restated Certificate of Incorporation as of the closing of the business combination. | Management | For | For | |||||||||||||
| 9. | The Incentive Plan Proposal - To approve and adopt the GPAQ Acquisition Holdings, Inc. 2020 Omnibus Incentive Plan. | Management | For | For | |||||||||||||
| CF FINANCE ACQUISITION CORP. | |||||||||||||||||
| Security | 12528N107 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | CFFA | Meeting Date | 15-Jun-2020 | ||||||||||||||
| ISIN | US12528N1072 | Agenda | 935222327 - Management | ||||||||||||||
| Record Date | 06-May-2020 | Holding Recon Date | 06-May-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 12-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from June 17, 2020 to September 17, 2020 or such earlier date as determined by the board of directors. | Management | For | For | |||||||||||||
| 2. | Adjournment Proposal: Adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Management | For | For | |||||||||||||
| ATLAS TECHNICAL CONSULTANTS, INC. | |||||||||||||||||
| Security | 049430119 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | ATCXW | Meeting Date | 19-Jun-2020 | ||||||||||||||
| ISIN | US0494301197 | Agenda | 935232518 - Management | ||||||||||||||
| Record Date | 22-Apr-2020 | Holding Recon Date | 22-Apr-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 18-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||
| 1 | L. Joe Boyer | For | For | ||||||||||||||
| 2 | Brian Ferraioli | For | For | ||||||||||||||
| 2. | To approve the selection of Grant Thornton as our independent registered public accounting firm to audit our financial statements for the fiscal year ending December 31, 2020. | Management | For | For | |||||||||||||
| ARES CAPITAL CORPORATION | |||||||||||||||||
| Security | 04010L103 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | ARCC | Meeting Date | 22-Jun-2020 | ||||||||||||||
| ISIN | US04010L1035 | Agenda | 935167999 - Management | ||||||||||||||
| Record Date | 25-Mar-2020 | Holding Recon Date | 25-Mar-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1A. | Election of Director: Michael J Arougheti | Management | Split | For | |||||||||||||
| 1B. | Election of Director: Ann Torre Bates | Management | Split | For | |||||||||||||
| 1C. | Election of Director: Steven B McKeever | Management | Split | For | |||||||||||||
| 2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | Split | For | |||||||||||||
| ACT II GLOBAL ACQUISITION CORP | |||||||||||||||||
| Security | G0080J104 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | ACTT | Meeting Date | 24-Jun-2020 | ||||||||||||||
| ISIN | KYG0080J1040 | Agenda | 935222341 - Management | ||||||||||||||
| Record Date | 01-May-2020 | Holding Recon Date | 01-May-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| E1. | The Business Combination Proposal - To approve by ordinary resolution and adopt the purchase agreement, dated as of December 19, 2019 and as amended on February 12, 2020 ("Purchase Agreement"), by and among Act II, Flavors Holdings Inc. ("Flavors Holdings"), MW Holdings I LLC ("MW Holdings I"), MW Holdings III LLC ("MW Holdings III") and Mafco Foreign Holdings, Inc. (together with Flavors Holdings, MW Holdings I and MW Holdings III, "Sellers"), & for purposes of Amendment No. 2 to the Purchase Agreement, Project Taste Intermediate LLC. | Management | For | For | |||||||||||||
| E2. | The Domestication Proposal - To approve by special resolution, the change of Act II's jurisdiction of incorporation by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (the "Domestication"). | Management | For | For | |||||||||||||
| E3. | Organizational Documents Proposal - To approve by special resolution, the following material differences between Act II's Amended and Restated Memorandum and Articles of Association and the proposed new certificate of incorporation and the proposed new bylaws of Act II Global Acquisition Corp., which will be renamed "Whole Earth Brands, Inc." in connection with the Business Combination (Act II after the Domestication, including after such change of name, is referred to herein as "Whole Earth Brands, Inc."). | Management | For | For | |||||||||||||
| E4. | The Stock Issuance Proposal - To approve by ordinary resolution, for the purposes of complying with the applicable provisions of Nasdaq Listing Rule 5635, the issuance of shares of Whole Earth Brands, Inc. common stock to the Sellers in connection with the Business Combination and any person or entity in connection with any incremental equity issuances, to the extent such issuances would require a shareholder vote under Nasdaq Listing Rule 5635. | Management | For | For | |||||||||||||
| E5. | The Incentive Award Plan Proposal - To approve by ordinary resolution, the Whole Earth Brands, Inc. 2020 Long-Term Incentive Award Plan. | Management | For | For | |||||||||||||
| E6. | The Adjournment Proposal - To approve the adjournment of the Shareholders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for the approval of one or more proposals at the Shareholders Meeting. | Management | For | For | |||||||||||||
| ACT II GLOBAL ACQUISITION CORP | |||||||||||||||||
| Security | G0080J120 | Meeting Type | Special | ||||||||||||||
| Ticker Symbol | ACTTW | Meeting Date | 24-Jun-2020 | ||||||||||||||
| ISIN | KYG0080J1206 | Agenda | 935222353 - Management | ||||||||||||||
| Record Date | 01-May-2020 | Holding Recon Date | 01-May-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| S1. | The Warrant Amendment Proposal - To approve and adopt an amendment (the "Warrant Amendment") to the warrant agreement that governs all of Act II's outstanding warrants to provide that, immediately prior to the consummation of the Business Combination (as defined in the proxy statement/prospectus). | Management | For | For | |||||||||||||
| S2. | The Warrant Holders Adjournment Proposal - To approve a proposal to adjourn the Warrant Holders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if it is determined by Act II that more time is necessary or appropriate to approve the Warrant Amendment Proposal. | Management | For | For | |||||||||||||
| PIMCO FUNDS | |||||||||||||||||
| Security | 69346N107 | Meeting Type | Annual | ||||||||||||||
| Ticker Symbol | NRGX | Meeting Date | 29-Jun-2020 | ||||||||||||||
| ISIN | US69346N1072 | Agenda | 935224802 - Management | ||||||||||||||
| Record Date | 30-Apr-2020 | Holding Recon Date | 30-Apr-2020 | ||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-Jun-2020 | ||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||
| Item | Proposal | Proposed by | Vote | Management Recommendation | |||||||||||||
| 1. | DIRECTOR | Management | Split | ||||||||||||||
| 1 | Sarah E. Cogan | Split | For | ||||||||||||||
| 2 | Joseph B. Kittredge, Jr | Split | For | ||||||||||||||
| 3 | John C. Maney | Split | For | ||||||||||||||
| 4 | William B. Ogden, IV | Split | For | ||||||||||||||
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 | Vivaldi Opportunities Fund |
| By (Signature and Title) | /s/ Michael Peck |
| Michael Peck, President | |
| Date | August 12, 2020 |
