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 number811-23255
Vivaldi Opportunities Fund
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(Exact name of registrant as specified in charter)
c/o UMB Fund Services, Inc.
235 West Galena Street
Milwaukee, WI 53212
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(Address of principal executive offices) (Zip code)
Terrance P. Gallagher
235 West Galena Street
Milwaukee, WI 53212
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(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, 2018 - June 30, 2019
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.
PROXY VOTING RECORD
For the Vivaldi Opportunities Fund
Vivaldi Opportunities Fund- Proxy Voting Record 7/1/2018 - 6/30/2019
| 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 |
| Palmer Square Opportunistic Income Fund | PSOIX | 611776105 | 12/17/2018 | Approve Investment Advisory Agreement between Palmer Square Opportunistic Income Fund and Palmer Square Capital Management LLC | Yes | For | With Management |
| Rivernorth Marketplace Lending Corp. | RMPLX | 76882B108 | 9/14/2018 | Elect Director Fred G. Steingraber | Yes | For | With Management |
| Rivernorth Marketplace Lending Corp. | RMPLX | 76882B108 | 9/14/2018 | Elect Director James G. Kelley | Yes | For | With Management |
| Rivernorth Marketplace Lending Corp. | RMPLX | 76882B108 | 9/14/2018 | Elect Director Patrick W. Galley | Yes | For | With Management |
| Advent Claymore Convertible Securities and Income Fund | AVK | 00764C109 | 7/20/2018 | Approve Reorganization of Funds between Advent Claymore Convertible Securities and Income Fund II and Advent Claymore Convertible Securities and Income Fund | Yes | For | With Management |
| Advent Claymore Convertible Securities and Income Fund | AVK | 00764C109 | 7/20/2018 | Approve Reorganization of Funds between Advent/Claymore Enhanced Growth & Income Fund and Advent Claymore Convertible Securities and Income Fund | Yes | For | With Management |
| Advent Claymore Convertible Securities and Income Fund | AVK | 00764C109 | 7/20/2018 | Elect Director Ronald A. Nyberg | Yes | For | With Management |
| Advent Claymore Convertible Securities and Income Fund | AVK | 00764C109 | 7/20/2018 | Elect Director Tracy V. Maitland | Yes | For | With Management |
| Advent/Claymore Enhanced Growth & Income Fund | LCM | 00765E104 | 7/20/2018 | Approve Reorganization of Funds between Advent/Claymore Enhanced Growth & Income Fund and Advent Claymore Convertible Securities and Income Fund | Yes | For | With Management |
| Advent/Claymore Enhanced Growth & Income Fund | LCM | 00765E104 | 7/20/2018 | Elect Director Ronald A. Nyberg | Yes | For | With Management |
| Advent/Claymore Enhanced Growth & Income Fund | LCM | 00765E104 | 7/20/2018 | Elect Director Tracy V. Maitland | Yes | For | With Management |
| Bain Capital Specialty Finance, Inc. | BCSF | 05684B107 | 2/1/2019 | Adjourn Meeting | Yes | For | With Management |
| Bain Capital Specialty Finance, Inc. | BCSF | 05684B107 | 2/1/2019 | Amend Investment Advisory Agreement between Bain Capital Specialty Finance, Inc. and BCSF Advisors, LP | Yes | For | With Management |
| Bain Capital Specialty Finance, Inc. | BCSF | 05684B107 | 2/1/2019 | Approve Reduced Asset Coverage Ratio | Yes | For | With Management |
| Barings BDC, Inc. | BBDC | 06759L103 | 5/9/2019 | Elect Director Eric Lloyd | Yes | For | With Management |
| Barings BDC, Inc. | BBDC | 06759L103 | 5/9/2019 | Elect Director Mark F. Mulhern | Yes | For | With Management |
| Barings BDC, Inc. | BBDC | 06759L103 | 5/9/2019 | Ratify Ernst & Young LLP as Auditors | Yes | For | With Management |
| Big Rock Partners Acquisition Corp. | BRPA | 089482103 | 5/21/2019 | Amend Certificate of Incorporation to Extend the Termination Date to August 22, 2019 | Yes | For | With Management |
| Big Rock Partners Acquisition Corp. | BRPA | 089482103 | 5/21/2019 | Approve Early Termination | Yes | For | With Management |
| Big Rock Partners Acquisition Corp. | BRPA | 089482103 | 5/21/2019 | Elect Director Lori B. Wittman | Yes | For | With Management |
| Big Rock Partners Acquisition Corp. | BRPA | 089482103 | 5/21/2019 | Elect Director Michael Fong | Yes | For | With Management |
| Big Rock Partners Acquisition Corp. | BRPA | 089482103 | 5/21/2019 | Elect Director Stuart F. Koenig | Yes | For | With Management |
| BrandywineGLOBAL - Global Income Opportunities Fund, Inc. | BWG | 10537L104 | 2/22/2019 | Elect Director Daniel P. Cronin | Yes | For | With Management |
| BrandywineGLOBAL - Global Income Opportunities Fund, Inc. | BWG | 10537L104 | 2/22/2019 | Elect Director Nisha Kumar | Yes | For | With Management |
| BrandywineGLOBAL - Global Income Opportunities Fund, Inc. | BWG | 10537L104 | 2/22/2019 | Elect Director Paolo M. Cucchi | Yes | For | With Management |
| Clough Global Equity Fund | GLQ | 18914C100 | 7/19/2018 | Elect Director Adam D. Crescenzi | Yes | For | With Management |
| Clough Global Equity Fund | GLQ | 18914C100 | 7/19/2018 | Elect Director Jerry G. Rutledge | Yes | For | With Management |
| Clough Global Opportunities Fund | GLO | 18914E106 | 7/19/2018 | Elect Director Clifford J. Weber | Yes | For | With Management |
| Clough Global Opportunities Fund | GLO | 18914E106 | 7/19/2018 | Elect Director Edmund J. Burke | Yes | For | With Management |
| Clough Global Opportunities Fund | GLO | 18914E106 | 7/19/2018 | Elect Director Vincent W. Versaci | Yes | For | With Management |
| Cornerstone Strategic Value Fund, Inc. | CLM | 21924B302 | 4/16/2019 | Approve Investment Advisory Agreement with Cornerstone Advisors Asset Management LLC | Yes | For | With Management |
| Cornerstone Strategic Value Fund, Inc. | CLM | 21924B302 | 4/16/2019 | Elect Director Andrew A. Strauss | Yes | For | With Management |
| Cornerstone Strategic Value Fund, Inc. | CLM | 21924B302 | 4/16/2019 | Elect Director Glenn W. Wilcox, Sr. | Yes | For | With Management |
| Cornerstone Strategic Value Fund, Inc. | CLM | 21924B302 | 4/16/2019 | Other Business | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Approve Investment Advisory Agreement with Cornerstone Advisors Asset Management LLC | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Elect Director Andrew A. Strauss | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Elect Director Edwin Meese, III | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Elect Director Glenn W. Wilcox, Sr. | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Elect Director Matthew W. Morris | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Elect Director Ralph W. Bradshaw | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Elect Director Robert E. Dean | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Elect Director Scott B. Rogers | Yes | For | With Management |
| Cornerstone Total Return Fund, Inc. | CRF | 21924U300 | 4/16/2019 | Other Business | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Approve Subadvisory Agreement between Delaware Management Company and Each of Macquarie Investment Management Europe Limited, Macquarie Investment Management Global Limited, and Macquarie Funds Management Hong Kong Limited | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Ann D. Borowiec | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Frances A. Sevilla-Sacasa | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Janet L. Yeomans | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director John A. Fry | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Joseph W. Chow | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Lucinda S. Landreth | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Shawn K. Lytle | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Thomas K. Whitford | Yes | For | With Management |
| Delaware Investments Dividend and Income Fund, Inc. | DDF | 245915103 | 8/15/2018 | Elect Director Thomas L. Bennett | Yes | For | With Management |
| Eaton Vance Limited Duration Income Fund | EVV | 27828H105 | 1/17/2019 | Elect Director Cynthia E. Frost | Yes | For | With Management |
| Eaton Vance Limited Duration Income Fund | EVV | 27828H105 | 1/17/2019 | Elect Director Scott E. Wennerholm | Yes | For | With Management |
| Eaton Vance Limited Duration Income Fund | EVV | 27828H105 | 1/17/2019 | Elect Director Valerie A. Mosley | Yes | For | With Management |
| Eaton Vance Tax-Managed Buy-Write Strategy Fund | EXD | 27829M103 | 4/18/2019 | Elect Director Helen Frame Peters | Yes | For | With Management |
| Eaton Vance Tax-Managed Buy-Write Strategy Fund | EXD | 27829M103 | 4/18/2019 | Elect Director Marcus L. Smith | Yes | For | With Management |
| Eaton Vance Tax-Managed Buy-Write Strategy Fund | EXD | 27829M103 | 4/18/2019 | Elect Director Mark R. Fetting | Yes | For | With Management |
| Eaton Vance Tax-Managed Buy-Write Strategy Fund | EXD | 27829M103 | 4/18/2019 | Elect Director Valerie A. Mosley | Yes | For | With Management |
| First Trust Senior Floating Rate 2022 Target Term Fund | FIV | 33740K101 | 9/10/2018 | Elect Director Richard E. Erickson | Yes | For | With Management |
| First Trust Senior Floating Rate 2022 Target Term Fund | FIV | 33740K101 | 9/10/2018 | Elect Director Thomas R. Kadlec | Yes | For | With Management |
| Garrison Capital Inc. | GARS | 366554103 | 8/14/2018 | Approve the Application of Reduced Asset Coverage Requirements | Yes | For | With Management |
| Garrison Capital, Inc. | GARS | 366554103 | 5/1/2019 | Elect Director Cecil Martin | Yes | For | With Management |
| Garrison Capital, Inc. | GARS | 366554103 | 5/1/2019 | Elect Director Joseph Tansey | Yes | For | With Management |
| Garrison Capital, Inc. | GARS | 366554103 | 5/1/2019 | Ratify RSM US LLP as Auditors | Yes | For | With Management |
| Haymaker Acquisition Corp. | HYAC | 420870107 | 3/6/2019 | Adjourn Meeting | Yes | For | With Management |
| Haymaker Acquisition Corp. | HYAC | 420870107 | 3/6/2019 | Adopt Supermajority Vote Requirement for Mergers | Yes | For | With Management |
| Haymaker Acquisition Corp. | HYAC | 420870107 | 3/6/2019 | Amend Securities Transfer Restrictions | Yes | For | With Management |
| Haymaker Acquisition Corp. | HYAC | 420870107 | 3/6/2019 | Approve Business Combination Proposal | Yes | For | With Management |
| Haymaker Acquisition Corp. | HYAC | 420870107 | 3/6/2019 | Approve Stock Ownership Limitations | Yes | For | With Management |
| High Income Securities Fund | PCF | 42968F108 | 1/22/2019 | Approve Reorganization of Fund from a Massachusetts Business Trust Into a Newly Established Delaware Corporation | Yes | For | With Management |
| High Income Securities Fund | PCF | 42968F108 | 1/22/2019 | Approve to Change the Nature of the Fund's Business and to De-Register the Fund as an Investment Company to Permit the Fund to Operate as a Holding Company | Yes | For | With Management |
| Highland Floating Rate Opportunities Fund | HLFZX | 430101618 | 6/14/2019 | Adjourn Meeting | Yes | For | With Management |
| Highland Floating Rate Opportunities Fund | HLFZX | 430101618 | 6/14/2019 | Amend Fundamental Investment Policy Regarding Concentration | Yes | For | With Management |
| Highland Floating Rate Opportunities Fund | HLFZX | 430101618 | 6/14/2019 | Elect Director Bryan A. Ward | Yes | For | With Management |
| Highland Floating Rate Opportunities Fund | HLFZX | 430101618 | 6/14/2019 | Elect Director Ethan Powell | Yes | For | With Management |
| Invesco High Income Trust II | VLT | 46131F101 | 8/9/2018 | Elect Director Bruce L. Crockett | Yes | For | With Management |
| Invesco High Income Trust II | VLT | 46131F101 | 8/9/2018 | Elect Director Jack M. Fields | Yes | For | With Management |
| Invesco High Income Trust II | VLT | 46131F101 | 8/9/2018 | Elect Director Martin L. Flanagan | Yes | For | With Management |
| Invesco High Income Trust II | VLT | 46131F101 | 8/9/2018 | Elect Director Robert C. Troccoli | Yes | For | With Management |
| Invesco Senior Income Trust | VVR | 46131H107 | 8/9/2018 | Elect Director Bruce L. Crockett | Yes | For | With Management |
| Invesco Senior Income Trust | VVR | 46131H107 | 8/9/2018 | Elect Director Jack M. Fields | Yes | For | With Management |
| Invesco Senior Income Trust | VVR | 46131H107 | 8/9/2018 | Elect Director Martin L. Flanagan | Yes | For | With Management |
| Invesco Senior Income Trust | VVR | 46131H107 | 8/9/2018 | Elect Director Robert C. Troccoli | Yes | For | With Management |
| Kayne Anderson MLP/Midstream Investment Company | KYN | 486606106 | 6/27/2019 | Elect Director Albert L. Richey | Yes | For | With Management |
| Kayne Anderson MLP/Midstream Investment Company | KYN | 486606106 | 6/27/2019 | Elect Director Anne K. Costin | Yes | For | With Management |
| Kayne Anderson MLP/Midstream Investment Company | KYN | 486606106 | 6/27/2019 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | With Management |
| Leisure Acquisition Corp. | LACQU | 52539T206 | 12/14/2018 | Elect Director Marc J. Falcone | Yes | For | With Management |
| Leisure Acquisition Corp. | LACQU | 52539T206 | 12/14/2018 | Ratify Marcum LLP as Auditors | Yes | For | With Management |
| Madison Covered Call & Equity Strategy Fund | MCN | 557437100 | 9/28/2018 | Amend Fundamental Investment Policy Regarding Industry Concentration | Yes | For | With Management |
| Madison Covered Call & Equity Strategy Fund | MCN | 557437100 | 9/28/2018 | Approve Reorganization of Funds between Madison Strategic Sector Premium Fund and Madison Covered Call & Equity Strategy Fund | Yes | For | With Management |
| Madison Covered Call & Equity Strategy Fund | MCN | 557437100 | 9/28/2018 | Elect Director James R. Imhoff, Jr. | Yes | For | With Management |
| Madison Covered Call & Equity Strategy Fund | MCN | 557437100 | 9/28/2018 | Issue Shares in Connection with Merger | Yes | For | With Management |
| Managed Duration Investment Grade Municipal Fund | MZF | 56165R103 | 7/12/2018 | Approve Plan of Liquidation and Dissolution of the Fund | Yes | For | With Management |
| Morgan Stanley Emerging Markets Debt Fund, Inc. | MSD | 61744H105 | 6/25/2019 | Elect Director Frank L. Bowman | Yes | For | With Management |
| Morgan Stanley Emerging Markets Debt Fund, Inc. | MSD | 61744H105 | 6/25/2019 | Elect Director Jakki L. Haussler | Yes | For | With Management |
| Morgan Stanley Emerging Markets Debt Fund, Inc. | MSD | 61744H105 | 6/25/2019 | Elect Director Manuel H. Johnson | Yes | For | With Management |
| Morgan Stanley Emerging Markets Debt Fund, Inc. | MSD | 61744H105 | 6/25/2019 | Elect Director Patricia Maleski | Yes | For | With Management |
| Morgan Stanley Emerging Markets Fund, Inc. | MSF | 61744G107 | 1/7/2019 | Approve Reorganization of Funds between Morgan Stanley Emerging Markets Fund, Inc. and Morgan Stanley Institutional Fund, Inc., on behalf of the Emerging Markets Portfolio | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Adjourn Meeting | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Amend Charter to Eliminate Blank Check Company Provisions | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Approve Omnibus Stock Plan | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Approve SPAC Transaction | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Classify the Board of Directors | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Eliminate Class of Common Stock and Increase Authorized Shares of Common Stock | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Fix Number of Directors at Eight | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Increase Authorized Preferred Stock | Yes | For | With Management |
| MTech Acquisition Corp. | MTEC | 55378W107 | 6/17/2019 | Restrict Right to Act by Written Consent | Yes | For | With Management |
| NexPoint Strategic Opportunities Fund | NHF | 65340G205 | 6/14/2019 | Elect Director Bryan A. Ward | Yes | For | With Management |
| NexPoint Strategic Opportunities Fund | NHF | 65340G205 | 6/14/2019 | Elect Director Ethan Powell | Yes | For | With Management |
| Nuveen Credit Strategies Income Fund | JQC | 67073D102 | 4/10/2019 | Elect Director Carole E. Stone | Yes | For | With Management |
| Nuveen Credit Strategies Income Fund | JQC | 67073D102 | 4/10/2019 | Elect Director Judith M. Stockdale | Yes | For | With Management |
| Nuveen Credit Strategies Income Fund | JQC | 67073D102 | 4/10/2019 | Elect Director Margaret L. Wolff | Yes | For | With Management |
| Nuveen Credit Strategies Income Fund | JQC | 67073D102 | 4/10/2019 | Elect Director William C. Hunter | Yes | For | With Management |
| Nuveen Emerging Markets Debt 2022 Target Term Fund | JEMD | 67077P101 | 4/10/2019 | Elect Director Carole E. Stone | Yes | For | With Management |
| Nuveen Emerging Markets Debt 2022 Target Term Fund | JEMD | 67077P101 | 4/10/2019 | Elect Director Judith M. Stockdale | Yes | For | With Management |
| Nuveen Emerging Markets Debt 2022 Target Term Fund | JEMD | 67077P101 | 4/10/2019 | Elect Director Margaret L. Wolff | Yes | For | With Management |
| Nuveen Emerging Markets Debt 2022 Target Term Fund | JEMD | 67077P101 | 4/10/2019 | Elect Director William C. Hunter | Yes | For | With Management |
| Nuveen Intermediate Duration Quality Municipal Term Fund | NIQ | 670677103 | 4/10/2019 | Elect Director Carole E. Stone | Yes | For | With Management |
| Nuveen Intermediate Duration Quality Municipal Term Fund | NIQ | 670677103 | 4/10/2019 | Elect Director Judith M. Stockdale | Yes | For | With Management |
| Nuveen Intermediate Duration Quality Municipal Term Fund | NIQ | 670677103 | 4/10/2019 | Elect Director Margaret L. Wolff | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Adjourn Meeting | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Amend Governing Documents - Bundled Proposal | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Approve Amended and Restated Governing Documents | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Approve Issuance of Shares in Connection with the Business Combination | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Approve Omnibus Stock Plan | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Approve SPAC Transaction | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Change Jurisdiction of Incorporation from Cayman Islands to the State of Delaware | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Classify the Board of Directors | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Eliminate Right to Act by Written Consent | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Eliminate Right to Call a Special Meeting | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Provide Directors May Only Be Removed for Cause | Yes | For | With Management |
| One Madison Corporation | OMAD | G6772P100 | 5/28/2019 | Require Advance Notice for Shareholder Nominations | Yes | For | With Management |
| PGIM Global Short Duration High Yield Fund, Inc. | GHY | 69346J106 | 3/8/2019 | Elect Director Barry H. Evans | Yes | For | With Management |
| PGIM Global Short Duration High Yield Fund, Inc. | GHY | 69346J106 | 3/8/2019 | Elect Director Brian K. Reid | Yes | For | With Management |
| PGIM Global Short Duration High Yield Fund, Inc. | GHY | 69346J106 | 3/8/2019 | Elect Director Ellen S. Alberding | Yes | For | With Management |
| PGIM Global Short Duration High Yield Fund, Inc. | GHY | 69346J106 | 3/8/2019 | Elect Director Stuart S. Parker | Yes | For | With Management |
| PGIM Short Duration High Yield Fund, Inc. | ISD | 69346H100 | 3/8/2019 | Elect Director Barry H. Evans | Yes | For | With Management |
| PGIM Short Duration High Yield Fund, Inc. | ISD | 69346H100 | 3/8/2019 | Elect Director Brian K. Reid | Yes | For | With Management |
| PGIM Short Duration High Yield Fund, Inc. | ISD | 69346H100 | 3/8/2019 | Elect Director Ellen S. Alberding | Yes | For | With Management |
| PGIM Short Duration High Yield Fund, Inc. | ISD | 69346H100 | 3/8/2019 | Elect Director Stuart S. Parker | Yes | For | With Management |
| SPROTT FOCUS TRUST, INC. | FUND | 85208J109 | 9/5/2018 | Elect Director James R. Pierce, Jr. | Yes | For | With Management |
| SPROTT FOCUS TRUST, INC. | FUND | 85208J109 | 9/5/2018 | Elect Director W. Whitney George | Yes | For | With Management |
| Templeton Emerging Markets Income Fund | TEI | 880192109 | 5/30/2019 | Amend Fundamental Investment Restriction Regarding Investments in Commodities | Yes | For | With Management |
| Templeton Emerging Markets Income Fund | TEI | 880192109 | 5/30/2019 | Elect Director Gregory E. Johnson | Yes | For | With Management |
| Templeton Emerging Markets Income Fund | TEI | 880192109 | 5/30/2019 | Elect Director Mary C. Choksi | Yes | For | With Management |
| Templeton Emerging Markets Income Fund | TEI | 880192109 | 5/30/2019 | Elect Director Rupert H. Johnson, Jr. | Yes | For | With Management |
| Templeton Emerging Markets Income Fund | TEI | 880192109 | 5/30/2019 | Eliminate Fundamental Investment Policy Requiring the Fund to Invest at Least 65% of Its Total Assets in U.S. Dollar-Denominated Securities | Yes | For | With Management |
| Templeton Emerging Markets Income Fund | TEI | 880192109 | 5/30/2019 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | With Management |
| Templeton Global Income Fund | GIM | 880198106 | 5/30/2019 | Elect Director Gregory E. Johnson | Yes | For | With Management |
| Templeton Global Income Fund | GIM | 880198106 | 5/30/2019 | Elect Director Larry D. Thompson | Yes | For | With Management |
| Templeton Global Income Fund | GIM | 880198106 | 5/30/2019 | Elect Director Mary C. Choksi | Yes | For | With Management |
| Templeton Global Income Fund | GIM | 880198106 | 5/30/2019 | Elect Director Rupert H. Johnson, Jr. | Yes | For | With Management |
| Templeton Global Income Fund | GIM | 880198106 | 5/30/2019 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | With Management |
| The China Fund, Inc. | CHN | 169373107 | 12/7/2018 | Approve Investment Advisory and Management Agreement between The China Fund, Inc. and Matthews International Capital Management, LLC | Yes | For | With Management |
| The China Fund, Inc. | CHN | 169373107 | 3/13/2019 | Elect Director Richard A. Silver | Yes | For | With Management |
| The India Fund, Inc. | IFN | 454089103 | 6/19/2019 | Elect Director Hugh Young | Yes | For | With Management |
| The India Fund, Inc. | IFN | 454089103 | 6/19/2019 | Elect Director Nancy Yao Maasbach | Yes | For | With Management |
| Tortoise Midstream Energy Fund, Inc. | NTG | 89148B101 | 5/20/2019 | Elect Director Alexandra A. Herger | Yes | For | With Management |
| Tortoise Midstream Energy Fund, Inc. | NTG | 89148B101 | 5/20/2019 | Ratify Ernst & Young LLP as Auditors | Yes | For | With Management |
| Triangle Capital Corporation | TCAP | 895848109 | 7/24/2018 | Adjourn Meeting | Yes | For | With Management |
| Triangle Capital Corporation | TCAP | 895848109 | 7/24/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Triangle Capital Corporation | TCAP | 895848109 | 7/24/2018 | Approve Investment Advisory Agreement | Yes | For | With Management |
| Triangle Capital Corporation | TCAP | 895848109 | 7/24/2018 | Approve Issuance of Shares for a Private Placement | Yes | For | With Management |
| Triangle Capital Corporation | TCAP | 895848109 | 7/24/2018 | Approve Sale of Company Assets | Yes | For | With Management |
| Triangle Capital Corporation | TCAP | 895848109 | 7/24/2018 | Reduce Required Asset Coverage Ratio | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Adjourn Meeting | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Amend Articles to Remove Certain Provisions Relating to the Company's Status as a Blank-Check Company That Will No Longer Apply Upon the Consummation of the Business Combination | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Approve Issuance of Shares in Connection with the Business Combination | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Approve SPAC Transaction | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Change Company Name to Bioceres Crop Solutions Corp. | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Change Fiscal Year End to June 30 | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Declassify the Board of Directors | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | Elect Kyle P. Bransfield, Juan Sartori, Federico Trucco, Enrique Lopez Lecube, Carlos Camargo de Colon, Ari Freisinger, and Natalia Zang as Directors | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | If you Certify that you are Not Acting in Concert, or as a Group, in Connection with the Proposed Business Combination, you should vote FOR this proposal. If you are Acting in Concert, vote AGAINST | Yes | For | With Management |
| Union Acquisition Corp. | LTN.UT | G9366W119 | 2/27/2019 | If you wish to Exercise your Redemption Rights, you should vote FOR this proposal. If you wish not to Exercise your Redemption Rights, you should vote AGAINST | Yes | For | With Management |
| Virtus Total Return Fund Inc. | ZF | 92837G100 | 5/21/2019 | Elect Director George R. Aylward | Yes | For | With Management |
| Virtus Total Return Fund Inc. | ZF | 92837G100 | 5/21/2019 | Elect Director Philip R. McLoughlin | Yes | For | With Management |
| Virtus Total Return Fund Inc. | ZF | 92837G100 | 5/21/2019 | Elect Director William R. Moyer | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Christopher P. Sullivan | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Colleen D. Baldwin | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Dina Santoro | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director John V. Boyer | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Joseph E. Obermeyer | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Martin J. Gavin | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Patricia W. Chadwick | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Patrick W. Kenny | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Roger B. Vincent | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Russell H. Jones | Yes | For | With Management |
| Voya Prime Rate Trust | PPR | 92913A100 | 7/10/2018 | Elect Director Sheryl K. Pressler | Yes | For | With Management |
| Western Asset Global High Income Fund, Inc. | EHI | 95766B109 | 9/28/2018 | Elect Director Jane E. Trust | Yes | For | With Management |
| Western Asset Global High Income Fund, Inc. | EHI | 95766B109 | 9/28/2018 | Elect Director Leslie H. Gelb | Yes | For | With Management |
| Western Asset Global High Income Fund, Inc. | EHI | 95766B109 | 9/28/2018 | Elect Director William R. Hutchinson | Yes | For | With Management |
| Altaba, Inc. | AABA | 021346101 | 10/16/2018 | Elect Director Catherine J. Friedman | Yes | For | With Management |
| Altaba, Inc. | AABA | 021346101 | 10/16/2018 | Elect Director Eric K. Brandt | Yes | For | With Management |
| Altaba, Inc. | AABA | 021346101 | 10/16/2018 | Elect Director Richard L. Kauffman | Yes | For | With Management |
| Altaba, Inc. | AABA | 021346101 | 10/16/2018 | Elect Director Thomas J. McInerney | Yes | For | With Management |
| Altaba, Inc. | AABA | 021346101 | 10/16/2018 | Elect Director Tor R. Braham | Yes | For | With Management |
| ANDEAVOR | ANDV | 03349M105 | 9/24/2018 | Adjourn Meeting | Yes | For | With Management |
| ANDEAVOR | ANDV | 03349M105 | 9/24/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| ANDEAVOR | ANDV | 03349M105 | 9/24/2018 | Approve Merger Agreement | Yes | For | With Management |
| Apptio, Inc. | APTI | 03835C108 | 1/8/2019 | Adjourn Meeting | Yes | For | With Management |
| Apptio, Inc. | APTI | 03835C108 | 1/8/2019 | Approve Merger Agreement | Yes | For | With Management |
| ARRIS International Plc | ARRS | G0551A103 | 2/1/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| ARRIS International Plc | ARRS | G0551A103 | 2/1/2019 | Approve Matters Relating to the Offer | Yes | For | With Management |
| ARRIS International Plc | ARRS | G0551A103 | 2/1/2019 | Approve Scheme of Arrangement | Yes | For | With Management |
| athenahealth, Inc. | ATHN | 04685W103 | 2/7/2019 | Adjourn Meeting | Yes | For | With Management |
| athenahealth, Inc. | ATHN | 04685W103 | 2/7/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| athenahealth, Inc. | ATHN | 04685W103 | 2/7/2019 | Approve Merger Agreement | Yes | For | With Management |
| Attunity Ltd. | ATTU | M15332121 | 4/7/2019 | Approve Accelerated Vesting of Unvested Options | Yes | For | With Management |
| Attunity Ltd. | ATTU | M15332121 | 4/7/2019 | Approve the Acquisition of Attunity by "QlikTech International AB" | Yes | For | With Management |
| Attunity Ltd. | ATTU | M15332121 | 4/7/2019 | Vote FOR if you are NOT a Parent, Merger Sub, Any Person Holding at Least 25% of the Means of Control of Either of Them, Anyone Acting on Their Behalf, or Any Relative or Corporation Controlled By, as indicated in the proxy card; otherwise, vote AGAINST | Yes | Against | With Management |
| AV Homes, Inc. | AVHI | 00234P102 | 9/26/2018 | Adjourn Meeting | Yes | For | With Management |
| AV Homes, Inc. | AVHI | 00234P102 | 9/26/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| AV Homes, Inc. | AVHI | 00234P102 | 9/26/2018 | Approve Merger Agreement | Yes | For | With Management |
| CA, Inc. | CA | 12673P105 | 9/12/2018 | Adjourn Meeting | Yes | For | With Management |
| CA, Inc. | CA | 12673P105 | 9/12/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| CA, Inc. | CA | 12673P105 | 9/12/2018 | Approve Merger Agreement | Yes | For | With Management |
| Celgene Corporation | CELG | 151020104 | 4/12/2019 | Adjourn Meeting | Yes | For | With Management |
| Celgene Corporation | CELG | 151020104 | 4/12/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Celgene Corporation | CELG | 151020104 | 4/12/2019 | Approve Merger Agreement | Yes | For | With Management |
| Charter Financial Corp. (Georgia) | CHFN | 16122W108 | 8/21/2018 | Adjourn Meeting | Yes | For | With Management |
| Charter Financial Corp. (Georgia) | CHFN | 16122W108 | 8/21/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Charter Financial Corp. (Georgia) | CHFN | 16122W108 | 8/21/2018 | Approve Merger Agreement | Yes | For | With Management |
| Cheniere Energy Partners LP Holdings, LLC | CQH | 16411W108 | 9/19/2018 | Approve Merger Agreement | Yes | For | With Management |
| CoBiz Financial, Inc. | COBZ | 190897108 | 9/27/2018 | Adjourn Meeting | Yes | For | With Management |
| CoBiz Financial, Inc. | COBZ | 190897108 | 9/27/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| CoBiz Financial, Inc. | COBZ | 190897108 | 9/27/2018 | Approve Merger Agreement | Yes | For | With Management |
| Dominion Energy Midstream Partners LP | (blank) | FDS0VZZQ0 | 2/15/2019 | Approve Merger Agreement | Yes | For | With Management |
| Dun & Bradstreet Corp. | DNB | 26483E100 | 11/7/2018 | Adjourn Meeting | Yes | For | With Management |
| Dun & Bradstreet Corp. | DNB | 26483E100 | 11/7/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Dun & Bradstreet Corp. | DNB | 26483E100 | 11/7/2018 | Approve Merger Agreement | Yes | For | With Management |
| Education Realty Trust, Inc. | EDR | 28140H203 | 9/14/2018 | Adjourn Meeting | Yes | For | With Management |
| Education Realty Trust, Inc. | EDR | 28140H203 | 9/14/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Education Realty Trust, Inc. | EDR | 28140H203 | 9/14/2018 | Approve Merger Agreement | Yes | For | With Management |
| Ellie Mae, Inc. | ELLI | 28849P100 | 4/15/2019 | Adjourn Meeting | Yes | For | With Management |
| Ellie Mae, Inc. | ELLI | 28849P100 | 4/15/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Ellie Mae, Inc. | ELLI | 28849P100 | 4/15/2019 | Approve Merger Agreement | Yes | For | With Management |
| Energen Corp. | EGN | 29265N108 | 11/27/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Energen Corp. | EGN | 29265N108 | 11/27/2018 | Approve Merger Agreement | Yes | For | With Management |
| First Data Corp. | FDC | 32008D106 | 4/11/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| First Data Corp. | FDC | 32008D106 | 4/11/2019 | Approve Merger Agreement | Yes | For | With Management |
| First Data Corporation | FDC | 32008D106 | 5/9/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| First Data Corporation | FDC | 32008D106 | 5/9/2019 | Elect Director Frank J. Bisignano | Yes | For | With Management |
| First Data Corporation | FDC | 32008D106 | 5/9/2019 | Elect Director Heidi G. Miller | Yes | For | With Management |
| First Data Corporation | FDC | 32008D106 | 5/9/2019 | Elect Director Henry R. Kravis | Yes | For | With Management |
| First Data Corporation | FDC | 32008D106 | 5/9/2019 | Ratify Ernst & Young LLP as Auditor | Yes | For | With Management |
| Forest City Realty Trust, Inc. | FCE.A | 345605109 | 11/15/2018 | Adjourn Meeting | Yes | For | With Management |
| Forest City Realty Trust, Inc. | FCE.A | 345605109 | 11/15/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Forest City Realty Trust, Inc. | FCE.A | 345605109 | 11/15/2018 | Approve Merger Agreement | Yes | For | With Management |
| Gramercy Property Trust | GPT | 385002308 | 8/9/2018 | Adjourn Meeting | Yes | For | With Management |
| Gramercy Property Trust | GPT | 385002308 | 8/9/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Gramercy Property Trust | GPT | 385002308 | 8/9/2018 | Approve Merger Agreement | Yes | For | With Management |
| ILG, Inc. | ILG | 44967H101 | 8/28/2018 | Adjourn Meeting | Yes | For | With Management |
| ILG, Inc. | ILG | 44967H101 | 8/28/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| ILG, Inc. | ILG | 44967H101 | 8/28/2018 | Approve Merger Agreement | Yes | For | With Management |
| K2M Group Holdings, Inc. | KTWO | 48273J107 | 11/7/2018 | Adjourn Meeting | Yes | For | With Management |
| K2M Group Holdings, Inc. | KTWO | 48273J107 | 11/7/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| K2M Group Holdings, Inc. | KTWO | 48273J107 | 11/7/2018 | Approve Merger Agreement | Yes | For | With Management |
| KMG Chemicals, Inc. | KMG | 482564101 | 11/13/2018 | Adjourn Meeting | Yes | For | With Management |
| KMG Chemicals, Inc. | KMG | 482564101 | 11/13/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| KMG Chemicals, Inc. | KMG | 482564101 | 11/13/2018 | Approve Merger Agreement | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Adjourn Meeting | Yes | Do Not Vote | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Adjourn Meeting | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Advisory Vote on Golden Parachutes | Yes | Against | Against Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Advisory Vote on Golden Parachutes | Yes | Do Not Vote | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Approve Merger Agreement | Yes | Against | Against Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Approve Merger Agreement | Yes | Do Not Vote | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 11/27/2018 | Adjourn Meeting | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 11/27/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 11/27/2018 | Approve Merger Agreement | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Adjourn Meeting | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Amend Charter | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Approve Merger Agreement | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Adjourn Meeting | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Amend Executive Severance Benefits Agreement of Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Grant of 2019 Performance-Based Cash Incentive Award to Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Grant of Restricted Share Units to Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Increase in Annual Base Cash Compensation for Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Merger Agreement | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Payment of Cash Bonus to Greg Waters | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Tax Equalization Payments to Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Are Not a Parent Affiliate Vote FOR. Otherwise, Vote AGAINST | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 4b Please Select "FOR". If You Do Have a Personal Interest in Item 4b Please Select "AGAINST" | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | 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 | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 6b Please Select "FOR". If You Do Have a Personal Interest in Item 6b Please Select "AGAINST" | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 7b Please Select "FOR". If You Do Have a Personal Interest in Item 7b Please Select "AGAINST" | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 8b Please Select "FOR". If You Do Have a Personal Interest in Item 8b Please Select "AGAINST" | Yes | For | With Management |
| Nutrisystem, Inc. | NTRI | 67069D108 | 3/5/2019 | Adjourn Meeting | Yes | For | With Management |
| Nutrisystem, Inc. | NTRI | 67069D108 | 3/5/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Nutrisystem, Inc. | NTRI | 67069D108 | 3/5/2019 | Approve Merger Agreement | Yes | For | With Management |
| Ocean Rig UDW, Inc. | ORIG | FDS0S4WL7 | 11/29/2018 | Adjourn Meeting | Yes | For | With Management |
| Ocean Rig UDW, Inc. | ORIG | FDS0S4WL7 | 11/29/2018 | Approve Drag-Along Sellers | Yes | For | With Management |
| Ocean Rig UDW, Inc. | ORIG | FDS0S4WL7 | 11/29/2018 | Approve Merger Agreement | Yes | For | With Management |
| Pinnacle Foods, Inc. | PF | 72348P104 | 10/23/2018 | Adjourn Meeting | Yes | For | With Management |
| Pinnacle Foods, Inc. | PF | 72348P104 | 10/23/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Pinnacle Foods, Inc. | PF | 72348P104 | 10/23/2018 | Approve Merger Agreement | Yes | For | With Management |
| Quantenna Communications, Inc. | QTNA | 74766D100 | 6/14/2019 | Adjourn Meeting | Yes | For | With Management |
| Quantenna Communications, Inc. | QTNA | 74766D100 | 6/14/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Quantenna Communications, Inc. | QTNA | 74766D100 | 6/14/2019 | Approve Merger Agreement | Yes | For | With Management |
| Red Hat, Inc. | RHT | 756577102 | 1/16/2019 | Adjourn Meeting | Yes | For | With Management |
| Red Hat, Inc. | RHT | 756577102 | 1/16/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Red Hat, Inc. | RHT | 756577102 | 1/16/2019 | Approve Merger Agreement | Yes | For | With Management |
| RSP Permian, Inc. | RSPP | 74978Q105 | 7/17/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| RSP Permian, Inc. | RSPP | 74978Q105 | 7/17/2018 | Approve Merger Agreement | Yes | For | With Management |
| Select Income REIT | SIR | 81618T100 | 12/20/2018 | Adjourn Meeting | Yes | For | With Management |
| Select Income REIT | SIR | 81618T100 | 12/20/2018 | Approve Merger Agreement | Yes | For | With Management |
| Shire Plc | SHP | G8124V108 | 12/5/2018 | Approve Matters Relating to the Recommended Cash and Share Offer for Shire plc by Takeda Pharmaceutical Company Limited | Yes | For | With Management |
| Shire Plc | SHP | G8124V108 | 12/5/2018 | Approve Scheme of Arrangement | Yes | For | With Management |
| SodaStream International Ltd. | SODA | M9068E105 | 10/9/2018 | Approve Acquisition of SodaStream by PepsiCo, Inc. | Yes | For | With Management |
| SodaStream International Ltd. | SODA | M9068E105 | 10/9/2018 | Vote FOR if you are NOT PepsiCo, Inc., Merger Sub, or PepsiCo Ventures B.V., or a related party thereof; otherwise vote AGAINST. If you vote AGAINST, please provide an explanation to your account manager. | Yes | For | With Management |
| Spectra Energy Partners LP | SEP | 84756N109 | 12/12/2018 | Approve Merger Agreement | Yes | For | With Management |
| SunCoke Energy Partners, L.P. | SXCP | 86722Y101 | 6/27/2019 | Approve Merger Agreement | Yes | For | With Management |
| TCF Financial Corporation | TCF | 872275102 | 6/7/2019 | Adjourn Meeting | Yes | For | With Management |
| TCF Financial Corporation | TCF | 872275102 | 6/7/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| TCF Financial Corporation | TCF | 872275102 | 6/7/2019 | Approve Merger Agreement | Yes | For | With Management |
| The Ultimate Software Group, Inc. | ULTI | 90385D107 | 4/30/2019 | Adjourn Meeting | Yes | For | With Management |
| The Ultimate Software Group, Inc. | ULTI | 90385D107 | 4/30/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| The Ultimate Software Group, Inc. | ULTI | 90385D107 | 4/30/2019 | Approve Merger Agreement | Yes | For | With Management |
| TransMontaigne Partners LP | TLP | 89376V100 | 2/26/2019 | Adjourn Meeting | Yes | For | With Management |
| TransMontaigne Partners LP | TLP | 89376V100 | 2/26/2019 | Approve Merger Agreement | Yes | For | With Management |
| Tribune Media Co. | TRCO | 896047503 | 3/12/2019 | Adjourn Meeting | Yes | For | With Management |
| Tribune Media Co. | TRCO | 896047503 | 3/12/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Tribune Media Co. | TRCO | 896047503 | 3/12/2019 | Approve Merger Agreement | Yes | For | With Management |
| Tribune Media Co. | TRCO | 896047503 | 5/1/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Tribune Media Co. | TRCO | 896047503 | 5/1/2019 | Elect Director Peter E. Murphy | Yes | For | With Management |
| Tribune Media Co. | TRCO | 896047503 | 5/1/2019 | Elect Director Ross Levinsohn | Yes | For | With Management |
| Tribune Media Co. | TRCO | 896047503 | 5/1/2019 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Chase Carey | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director David F. DeVoe | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Delphine Arnault | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Jacques Nasser AC | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director James R. Murdoch | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director James W. Breyer | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director K. Rupert Murdoch AC | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Lachlan K. Murdoch | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Robert S. Silberman | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Roderick I. Eddington | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Tidjane Thiam | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Ratify Ernst & Young LLP as Auditors | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Approve Recapitalization Plan for all Stock to Have One-vote per Share | Yes | Against | With Management |
| Vectren Corp. | VVC | 92240G101 | 8/28/2018 | Adjourn Meeting | Yes | For | With Management |
| Vectren Corp. | VVC | 92240G101 | 8/28/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Vectren Corp. | VVC | 92240G101 | 8/28/2018 | Approve Merger Agreement | Yes | For | With Management |
| Williams Partners L.P. | WPZ | 96949L105 | 8/9/2018 | Approve Merger Agreement | Yes | For | With Management |
| ANDEAVOR | ANDV | 03349M105 | 9/24/2018 | Adjourn Meeting | Yes | For | With Management |
| ANDEAVOR | ANDV | 03349M105 | 9/24/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| ANDEAVOR | ANDV | 03349M105 | 9/24/2018 | Approve Merger Agreement | Yes | For | With Management |
| Apptio, Inc. | APTI | 03835C108 | 1/8/2019 | Adjourn Meeting | Yes | For | With Management |
| Apptio, Inc. | APTI | 03835C108 | 1/8/2019 | Approve Merger Agreement | Yes | For | With Management |
| ARRIS International Plc | ARRS | G0551A103 | 2/1/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| ARRIS International Plc | ARRS | G0551A103 | 2/1/2019 | Approve Matters Relating to the Offer | Yes | For | With Management |
| ARRIS International Plc | ARRS | G0551A103 | 2/1/2019 | Approve Scheme of Arrangement | Yes | For | With Management |
| athenahealth, Inc. | ATHN | 04685W103 | 2/7/2019 | Adjourn Meeting | Yes | For | With Management |
| athenahealth, Inc. | ATHN | 04685W103 | 2/7/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| athenahealth, Inc. | ATHN | 04685W103 | 2/7/2019 | Approve Merger Agreement | Yes | For | With Management |
| CA, Inc. | CA | 12673P105 | 9/12/2018 | Adjourn Meeting | Yes | For | With Management |
| CA, Inc. | CA | 12673P105 | 9/12/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| CA, Inc. | CA | 12673P105 | 9/12/2018 | Approve Merger Agreement | Yes | For | With Management |
| Dominion Energy Midstream Partners LP | (blank) | FDS0VZZQ0 | 2/15/2019 | Approve Merger Agreement | Yes | For | With Management |
| Dun & Bradstreet Corp. | DNB | 26483E100 | 11/7/2018 | Adjourn Meeting | Yes | For | With Management |
| Dun & Bradstreet Corp. | DNB | 26483E100 | 11/7/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Dun & Bradstreet Corp. | DNB | 26483E100 | 11/7/2018 | Approve Merger Agreement | Yes | For | With Management |
| Education Realty Trust, Inc. | EDR | 28140H203 | 9/14/2018 | Adjourn Meeting | Yes | For | With Management |
| Education Realty Trust, Inc. | EDR | 28140H203 | 9/14/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Education Realty Trust, Inc. | EDR | 28140H203 | 9/14/2018 | Approve Merger Agreement | Yes | For | With Management |
| Energen Corp. | EGN | 29265N108 | 11/27/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Energen Corp. | EGN | 29265N108 | 11/27/2018 | Approve Merger Agreement | Yes | For | With Management |
| Forest City Realty Trust, Inc. | FCE.A | 345605109 | 11/15/2018 | Adjourn Meeting | Yes | For | With Management |
| Forest City Realty Trust, Inc. | FCE.A | 345605109 | 11/15/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Forest City Realty Trust, Inc. | FCE.A | 345605109 | 11/15/2018 | Approve Merger Agreement | Yes | For | With Management |
| Gramercy Property Trust | GPT | 385002308 | 8/9/2018 | Adjourn Meeting | Yes | For | With Management |
| Gramercy Property Trust | GPT | 385002308 | 8/9/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Gramercy Property Trust | GPT | 385002308 | 8/9/2018 | Approve Merger Agreement | Yes | For | With Management |
| ILG, Inc. | ILG | 44967H101 | 8/28/2018 | Adjourn Meeting | Yes | For | With Management |
| ILG, Inc. | ILG | 44967H101 | 8/28/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| ILG, Inc. | ILG | 44967H101 | 8/28/2018 | Approve Merger Agreement | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Adjourn Meeting | Yes | Do Not Vote | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Adjourn Meeting | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Advisory Vote on Golden Parachutes | Yes | Against | Against Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Advisory Vote on Golden Parachutes | Yes | Do Not Vote | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Approve Merger Agreement | Yes | Against | Against Management |
| LaSalle Hotel Properties | LHO | 517942108 | 9/6/2018 | Approve Merger Agreement | Yes | Do Not Vote | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 11/27/2018 | Adjourn Meeting | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 11/27/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| LaSalle Hotel Properties | LHO | 517942108 | 11/27/2018 | Approve Merger Agreement | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Adjourn Meeting | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Amend Charter | Yes | For | With Management |
| MB Financial, Inc. | MBFI | 55264U108 | 9/18/2018 | Approve Merger Agreement | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Adjourn Meeting | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Amend Executive Severance Benefits Agreement of Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Grant of 2019 Performance-Based Cash Incentive Award to Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Grant of Restricted Share Units to Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Increase in Annual Base Cash Compensation for Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Merger Agreement | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Payment of Cash Bonus to Greg Waters | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | Approve Tax Equalization Payments to Eyal Waldman | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Are Not a Parent Affiliate Vote FOR. Otherwise, Vote AGAINST | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 4b Please Select "FOR". If You Do Have a Personal Interest in Item 4b Please Select "AGAINST" | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | 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 | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 6b Please Select "FOR". If You Do Have a Personal Interest in Item 6b Please Select "AGAINST" | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 7b Please Select "FOR". If You Do Have a Personal Interest in Item 7b Please Select "AGAINST" | Yes | For | With Management |
| Mellanox Technologies, Ltd. | MLNX | M51363113 | 6/20/2019 | If You Do Not Have a Personal Interest in Item 8b Please Select "FOR". If You Do Have a Personal Interest in Item 8b Please Select "AGAINST" | Yes | For | With Management |
| Pacific Biosciences of California, Inc. | PACB | 69404D108 | 1/24/2019 | Adjourn Meeting | Yes | For | With Management |
| Pacific Biosciences of California, Inc. | PACB | 69404D108 | 1/24/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Pacific Biosciences of California, Inc. | PACB | 69404D108 | 1/24/2019 | Approve Merger Agreement | Yes | For | With Management |
| Pinnacle Foods, Inc. | PF | 72348P104 | 10/23/2018 | Adjourn Meeting | Yes | For | With Management |
| Pinnacle Foods, Inc. | PF | 72348P104 | 10/23/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Pinnacle Foods, Inc. | PF | 72348P104 | 10/23/2018 | Approve Merger Agreement | Yes | For | With Management |
| Red Hat, Inc. | RHT | 756577102 | 1/16/2019 | Adjourn Meeting | Yes | For | With Management |
| Red Hat, Inc. | RHT | 756577102 | 1/16/2019 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| Red Hat, Inc. | RHT | 756577102 | 1/16/2019 | Approve Merger Agreement | Yes | For | With Management |
| RSP Permian, Inc. | RSPP | 74978Q105 | 7/17/2018 | Advisory Vote on Golden Parachutes | Yes | For | With Management |
| RSP Permian, Inc. | RSPP | 74978Q105 | 7/17/2018 | Approve Merger Agreement | Yes | For | With Management |
| Shire Plc | SHP | G8124V108 | 12/5/2018 | Approve Matters Relating to the Recommended Cash and Share Offer for Shire plc by Takeda Pharmaceutical Company Limited | Yes | For | With Management |
| Shire Plc | SHP | G8124V108 | 12/5/2018 | Approve Scheme of Arrangement | Yes | For | With Management |
| Spectra Energy Partners LP | SEP | 84756N109 | 12/12/2018 | Approve Merger Agreement | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Chase Carey | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director David F. DeVoe | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Delphine Arnault | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Jacques Nasser AC | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director James R. Murdoch | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director James W. Breyer | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director K. Rupert Murdoch AC | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Lachlan K. Murdoch | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Robert S. Silberman | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Roderick I. Eddington | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Elect Director Tidjane Thiam | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Ratify Ernst & Young LLP as Auditors | Yes | For | With Management |
| Twenty-First Century Fox, Inc. | FOXA | 90130A101 | 11/14/2018 | Approve Recapitalization Plan for all Stock to Have One-vote per Share | Yes | Against | With Management |
| Adesto Technologies Corporation | IOTS | 00687D101 | 6/4/2019 | Elect Director Keith L. Crandell | Yes | For | With Management |
| Adesto Technologies Corporation | IOTS | 00687D101 | 6/4/2019 | Ratify BPM LLP as Auditors | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Elect Director Erin N. Kane | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Elect Director Michael L. Marberry | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Eliminate Supermajority Vote Requirement to Amend Bylaws | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Advisory Vote on Say on Pay Frequency | Yes | Three Years | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Carl J. (Rick) Rickertsen | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Idalene F. Kesner | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Paula A. Sneed | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Robert A. Steele | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Scott B. Ullem | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Stephen E. Sterrett | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Thomas E. Salmon | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Provide Right to Call Special Meeting | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Ratify Ernst & Young LLP as Auditors | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Amend Bylaws to Call Special Meetings | Yes | Against | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Alan H. Schumacher | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Dominic DiNapoli | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director J. David Smith | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Karel K. Czanderna | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Kim S. Fennebresque | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Mitchell B. Lewis | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Ratify BDO USA, LLP as Auditors | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Charles Adair | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Charles Macaluso | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Cynthia Pharr Lee | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director D. Eugene Ewing | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Dirk Kloosterboer | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Gary W. Mize | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Linda Goodspeed | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Mary R. Korby | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Michael E. Rescoe | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Nicole M. Ringenberg | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Randall C. Stuewe | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Ratify KPMG LLP as Auditor | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Bradley C. Shoup | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Christopher M. Bingaman | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director James F. Laird | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Nicole R. St. Pierre | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Paul A. Reeder, III | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Paula R. Meyer | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Randolph J. Fortener | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Ratify KPMG LLP as Auditor | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Amend Long-Term Incentive Plan | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Elect Director Angela Logothetis | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Elect Director Claude Seguin | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Elect Director Francois Cote | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Elect Director Germain Lamonde | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Elect Director Philippe Morin | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Elect Director Randy E. Tornes | Yes | For | With Management |
| EXFO, Inc. | EXF | 302046107 | 1/9/2019 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Advisory Vote on Say on Pay Frequency | Yes | One Year | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Elect Director Maura J. Clark | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Elect Director Olivier Rabiller | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Ratify Deloitte SA as Auditors | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Advisory Vote on Say on Pay Frequency | Yes | One Year | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Amend Omnibus Stock Plan | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Elect Director Hugh Steven Wilson | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Elect Director James P. Parmelee | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Elect Director Jeffrey S. Serota | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Elect Director Mark A. Snell | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Elect Director Matthew A. Drapkin | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Elect Director Peter A. Reed | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Elect Director Thomas S. Harbin, III | Yes | For | With Management |
| Great Elm Capital Group, Inc. | GEC | 39036P209 | 10/16/2018 | Ratify Deloitte & Touche LLP as Auditors | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Bradley J. Wechsler | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Dana Settle | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Darren Throop | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director David W. Leebron | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Eric A. Demirian | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Kevin Douglas | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Michael MacMillan | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Neil S. Braun | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Richard L. Gelfond | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Advisory Vote on Say on Pay Frequency | Yes | One Year | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Amend Articles of Association | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Amend Employee Savings-Related Share Purchase Plan | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Approve Remuneration Report | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Authorize Audit Committee to Fix Remuneration of Auditors | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Allisha Elliott | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Alok Maskara | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Clive Snowdon | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director David Landless | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Richard Hipple | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Ratify PricewaterhouseCoopers LLP as Auditor | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Carl J. Rickertsen | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Jarrod M. Patten | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Leslie J. Rechan | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Michael J. Saylor | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Stephen X. Graham | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Ratify KPMG LLP as Auditors | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Approve Omnibus Stock Plan | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Jean K. Holley | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director John N. Fox, Jr. | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Marc D. Boroditsky | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Marc Zenner | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Matthew Moog | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Michael P. Cullinane | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Scott M. Clements | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director T. Kendall "Ken" Hunt | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Ratify KPMG LLP as Auditors | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Advisory Vote on Say on Pay Frequency | Yes | One Year | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Approve Omnibus Stock Plan | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Alan Johnson | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Benjamin Rosenzweig | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Dan Ginsberg | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Joseph Boehm | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Marla Gottschalk | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Sue Collyns - Withdrawn | Yes | With Management | |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Susan Chapman-Hughes | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Ratify Deloitte & Touche LLP as Auditor | Yes | For | With Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Elect Director HP Jin | Yes | Withhold | Against Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Elect Director Randy Ortiz | Yes | For | With Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Ratify Grant Thornton LLP as Auditors | Yes | For | With Management |
| The Walt Disney Company | DIS | 254687106 | 7/27/2018 | Adjourn Meeting | Yes | For | With Management |
| The Walt Disney Company | DIS | 254687106 | 7/27/2018 | Issue Shares in Connection with Acquisition | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 2/27/2019 | Adjourn Meeting | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 2/27/2019 | Issue Shares in Connection with Merger | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 5/8/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 5/8/2019 | Elect Director David C. Jukes | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 5/8/2019 | Elect Director Kerry J. Preete | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 5/8/2019 | Elect Director Mark J. Byrne | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 5/8/2019 | Elect Director Robert L. Wood | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 5/8/2019 | Elect Director William S. Stavropoulos | Yes | For | With Management |
| Univar, Inc. | UNVR | 91336L107 | 5/8/2019 | Ratify Ernst & Young LLP as Auditors | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Advisory Vote on Say on Pay Frequency | Yes | Three Years | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Benjamin P. Cowart | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Christopher Stratton | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Dan Borgen | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director David L. Phillips | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director James P. Gregory | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Timothy C. Harvey | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Ratify Ham, Langston & Brezina, L.L.P. as Auditors | Yes | For | With Management |
| Adesto Technologies Corporation | IOTS | 00687D101 | 6/4/2019 | Elect Director Keith L. Crandell | Yes | For | With Management |
| Adesto Technologies Corporation | IOTS | 00687D101 | 6/4/2019 | Ratify BPM LLP as Auditors | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Elect Director Erin N. Kane | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Elect Director Michael L. Marberry | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Eliminate Supermajority Vote Requirement to Amend Bylaws | Yes | For | With Management |
| Advansix Inc. | ASIX | 00773T101 | 6/11/2019 | Ratify PricewaterhouseCoopers LLP as Auditors | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Advisory Vote on Say on Pay Frequency | Yes | Three Years | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Carl J. (Rick) Rickertsen | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Idalene F. Kesner | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Paula A. Sneed | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Robert A. Steele | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Scott B. Ullem | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Stephen E. Sterrett | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Elect Director Thomas E. Salmon | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Provide Right to Call Special Meeting | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Ratify Ernst & Young LLP as Auditors | Yes | For | With Management |
| Berry Global Group, Inc. | BERY | 08579W103 | 3/6/2019 | Amend Bylaws to Call Special Meetings | Yes | Against | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Alan H. Schumacher | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Dominic DiNapoli | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director J. David Smith | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Karel K. Czanderna | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Kim S. Fennebresque | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Elect Director Mitchell B. Lewis | Yes | For | With Management |
| BlueLinx Holdings Inc. | BXC | 09624H208 | 5/17/2019 | Ratify BDO USA, LLP as Auditors | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Charles Adair | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Charles Macaluso | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Cynthia Pharr Lee | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director D. Eugene Ewing | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Dirk Kloosterboer | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Gary W. Mize | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Linda Goodspeed | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Mary R. Korby | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Michael E. Rescoe | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Nicole M. Ringenberg | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Elect Director Randall C. Stuewe | Yes | For | With Management |
| Darling Ingredients, Inc. | DAR | 237266101 | 5/7/2019 | Ratify KPMG LLP as Auditor | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Bradley C. Shoup | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Christopher M. Bingaman | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director James F. Laird | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Nicole R. St. Pierre | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Paul A. Reeder, III | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Paula R. Meyer | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Elect Director Randolph J. Fortener | Yes | For | With Management |
| Diamond Hill Investment Group, Inc. | DHIL | 25264R207 | 5/1/2019 | Ratify KPMG LLP as Auditor | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Advisory Vote on Say on Pay Frequency | Yes | One Year | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Elect Director Maura J. Clark | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Elect Director Olivier Rabiller | Yes | For | With Management |
| Garrett Motion Inc. | GTX | 366505105 | 6/4/2019 | Ratify Deloitte SA as Auditors | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director Daniel Allen | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director E. Rogers Novak, Jr. | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director Jean S. Desravines | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director Jill A. Greenthal | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director John F. Killian | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director John J. Lynch, Jr. | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director John R. McKernan, Jr. | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director L. Gordon Crovitz | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director Lawrence K. Fish | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Elect Director Tracey D. Weber | Yes | For | With Management |
| Houghton Mifflin Harcourt Company | HMHC | 44157R109 | 5/21/2019 | Ratify PricewaterhouseCoopers LLP as Auditor | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Approve PricewaterhouseCoopers LLP as Auditors and Authorize Board to Fix Their Remuneration | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Bradley J. Wechsler | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Dana Settle | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Darren Throop | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director David W. Leebron | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Eric A. Demirian | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Kevin Douglas | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Michael MacMillan | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Neil S. Braun | Yes | For | With Management |
| IMAX Corporation | IMAX | 45245E109 | 6/5/2019 | Elect Director Richard L. Gelfond | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Advisory Vote on Say on Pay Frequency | Yes | One Year | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Amend Articles of Association | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Amend Employee Savings-Related Share Purchase Plan | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Approve Remuneration Report | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Authorize Audit Committee to Fix Remuneration of Auditors | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Allisha Elliott | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Alok Maskara | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Clive Snowdon | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director David Landless | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Elect Director Richard Hipple | Yes | For | With Management |
| Luxfer Holdings PLC | LXFR | G5698W116 | 5/15/2019 | Ratify PricewaterhouseCoopers LLP as Auditor | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Carl J. Rickertsen | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Jarrod M. Patten | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Leslie J. Rechan | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Michael J. Saylor | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Elect Director Stephen X. Graham | Yes | For | With Management |
| MicroStrategy Incorporated | MSTR | 594972408 | 5/29/2019 | Ratify KPMG LLP as Auditors | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Approve Omnibus Stock Plan | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Jean K. Holley | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director John N. Fox, Jr. | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Marc D. Boroditsky | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Marc Zenner | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Matthew Moog | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Michael P. Cullinane | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director Scott M. Clements | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Elect Director T. Kendall "Ken" Hunt | Yes | For | With Management |
| OneSpan Inc. | OSPN | 68287N100 | 6/12/2019 | Ratify KPMG LLP as Auditors | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Advisory Vote on Say on Pay Frequency | Yes | One Year | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Approve Omnibus Stock Plan | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Alan Johnson | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Benjamin Rosenzweig | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Dan Ginsberg | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Joseph Boehm | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Marla Gottschalk | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Sue Collyns - Withdrawn | Yes | With Management | |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Elect Director Susan Chapman-Hughes | Yes | For | With Management |
| Potbelly Corporation | PBPB | 73754Y100 | 5/16/2019 | Ratify Deloitte & Touche LLP as Auditor | Yes | For | With Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Elect Director HP Jin | Yes | Withhold | Against Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Elect Director Randy Ortiz | Yes | For | With Management |
| TeleNav, Inc. | TNAV | 879455103 | 11/15/2018 | Ratify Grant Thornton LLP as Auditors | Yes | For | With Management |
| The Walt Disney Company | DIS | 254687106 | 7/27/2018 | Adjourn Meeting | Yes | For | With Management |
| The Walt Disney Company | DIS | 254687106 | 7/27/2018 | Issue Shares in Connection with Acquisition | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Advisory Vote on Say on Pay Frequency | Yes | Three Years | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Advisory Vote to Ratify Named Executive Officers' Compensation | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Benjamin P. Cowart | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Christopher Stratton | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Dan Borgen | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director David L. Phillips | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director James P. Gregory | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Elect Director Timothy C. Harvey | Yes | For | With Management |
| Vertex Energy, Inc. | VTNR | 92534K107 | 6/20/2019 | Ratify Ham, Langston & Brezina, L.L.P. as Auditors | Yes | For | With Management |
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.
RegistrantVivaldi Opportunities Fund
By (Signature and Title) /s/ Michael Peck
Michael Peck, President
DateAugust 28, 2019
