| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 2021 - June 2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Suro Capital | 7/7/2021 | 86887Q109 | SSSS |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Leonard A. Potter | |||
| Mirror Vote | For | 2. To provide an advisory non-binding vote to approve executive compensation | Issuer |
| Mirror Vote | For | 3. The ratification of the selection of Marcum LLP as the independent registered public accounting firm for SuRo Capital Corp. for the fiscal year ending December 31, 2021. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Tortoise PWR & Energy Infrastr | 7/14/2021 | 89147X104 | TPZ |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Rand C. Berney | |||
| Election of Director: Jennifer Paquette | |||
| 2. To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending November 30, 2021. | |||
| Mirror vote | For | Issuer | |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Tortoise Energy Independence Fund | 7/14/2021 | 89148K200 | NDP |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Withhold | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Rand C. Berney | |||
| Election of Director: Jennifer Paquette | |||
| 2. To ratify the selection of Ernst & Young LLP as the independent registered public accounting firm of the Company for its fiscal year ending November 30, 2021. | |||
| Abstain | For | Issuer | |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Invesco High Income Trust II | 8/6/2021 | 46131F101 | VLT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| NO vote sold. | For | 1. Election of Trustees: | Issuer |
| 01 Jack M Fields | |||
| 02 Martin L Flanagan | |||
| 03 Elizabeth Krentzman | |||
| 04 Robert C. Troccoli | |||
| 05 James D Vaughn | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Delaware Enhanced Gbl Div & Inc FD | 8/19/2021 | 246060107 | DEX |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Jerome D. Abernathy | |||
| Election of Director: Thomas L. Bennett | |||
| Election of Director: Ann D. Borowiec | |||
| Election of Director: Joseph W. Chow | |||
| Election of Director: H. Jeffrey Dobbs | |||
| Election of Director: John A. Fry | |||
| Election of Director: Joseph Harroz, Jr. | |||
| Election of Director: Sandra A.J. Lawrence | |||
| Election of Director: Shawn K. Lytle | |||
| Election of Director: F. A. Sevilla-Sacasa | |||
| Election of Director: Thomas K. Whitford | |||
| Election of Director: Christianna Wood | |||
| Election of Director: Janet L. Yeomans | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Blue Water Acquisiton | 8/12/2021 | 09607T104 | BLUW |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Business Combination Proposal - To approve and adopt the Agreement and Plan of Merger, dated as of April 27, 2021 (as it may be amended or supplemented from time to time, the "Merger Agreement"), by and among Blue Water, Blue Water Merger Sub Corp., a Delaware corporation and wholly-owned subsidiary of Blue Water ("Merger Sub") and Clarus Therapeutics, Inc., a Delaware corporation ("Clarus"), and approve the transactions contemplated thereby, including the merger of Merger Sub with ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): provide that the name of Blue Water shall be changed to "Clarus Therapeutics Holdings, Inc." | Issuer |
| For | For | 3. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): provide for the structure of the board of directors of Blue Water (the "Board") immediately after the consummation of the Business Combination (the "Closing"), split into three classes of as even size as practicable, Class I, II, and III, each to serve a term of three (3) years, except for the initial term, for which the Class I directors will be up for reelection at the ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): remove and change certain provisions in the Blue Water Charter related to Blue Water's status as a special purpose acquisition company. | Issuer |
| For | For | 5. To approve and adopt a second amendment and restatement of Blue Water's certificate of incorporation ("Blue Water Charter"): conditioned upon the approval of Proposals 2 through 4, to approve the proposed Amended Charter in the form appended to the accompanying proxy statement/prospectus as Annex B, which includes the approval of all other changes in the proposed Amended Charter in connection with replacing the existing Blue Water Charter with the proposed Amended Charter as of the ... (due to space limits, see proxy statement for full proposal). | Issuer |
| 6. Vote Board of Directors: | |||
| Election of Director: John Amory | |||
| Election of Director: Alex Zisson | |||
| Election of Director: Elizabeth Cermak | |||
| Election of Director: Mark Prygocki | |||
| Election of Director: Robert Dudley | |||
| Election of Director: Kimberly Murphy | |||
| For | For | Election of Director: Joseph Hernandez | Issuer |
| For | For | 7. The Incentive Plan Proposal - To consider and vote upon a proposal to adopt the Clarus Therapeutics Holdings, Inc. 2021 Stock Option and Incentive Plan, a copy of which is appended to the accompanying proxy statement/prospectus as Annex C. | Issuer |
| For | For | 8. The ESPP Proposal - To consider and vote upon a proposal to adopt the Clarus Therapeutics Holdings, Inc. 2021 Employee Stock Purchase Plan, a copy of which is appended to the accompanying proxy statement/prospectus as Annex D. | Issuer |
| For | For | 9. The Adjournment Proposal - To consider and vote upon a proposal to adjourn this special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Amendment Proposals, the Director Election Proposal, the Incentive Plan Proposal, or the ESPP Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Vertical Cap Income Fd | 8/27/2021 | 92535C104 | VCIF |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Withhold | For | 1. To re-elect T. Neil Bathon as a Trustee of the Fund. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Saba Capital Income & Opp FD | 9/24/2021 | 78518H103 | BRW |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| ection of Director: Aditya Bindal | |||
| Election of Director: Karen Caldwell | |||
| Election of Director: Ketu Desai | |||
| Election of Director: Kieran Goodwin | |||
| Election of Director: Thomas Bumbolow | |||
| Election of Director: Andrew Kellerman | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FS KKR Capital Corp. | 10/27/2021 | 302635206 | FSK |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Election of Directors | Issuer |
| Election of Director: Todd C. Builione | |||
| Election of Director: Brian R. Ford | |||
| Election of Director: Richard I. Goldstein | |||
| Election of Director: Osagie Imasogie | |||
| Mirror Vote | For | 2. To approve the proposal to allow the Company in future offerings to sell its shares below net asset value per share in order to provide flexibility for future sales. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Spartacus Acquisition Corp. | 10/27/2021 | 84677L109 | TMTS |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Business Combination Proposal - To consider and vote upon a proposal to approve the business combination (the "Business Combination") and adopt the Agreement and Plan of Merger, dated as of June 9, 2021, as it may be amended (the "Merger Agreement"), by and among the Company, Spartacus Acquisition Shelf Corp. ("Shelf"), NextNav, LLC, NextNav Holdings, LLC ("Holdings"), NEA 14 NextNav Blocker, LLC, Oak NextNav Blocker, LLC, Columbia Progeny Partners IV, Inc., Global Long Short ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2A. The Business Combination Proposal - To consider and vote upon a proposal to approve the business combination (the "Business Combination") and adopt the Agreement and Plan of Merger, dated as of June 9, 2021, as it may be amended (the "Merger Agreement"), by and among the Company, Spartacus Acquisition Shelf Corp. ("Shelf"), NextNav, LLC, NextNav Holdings, LLC ("Holdings"), NEA 14 NextNav Blocker, LLC, Oak NextNav Blocker, LLC, Columbia Progeny Partners IV, Inc., Global Long Short ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2B. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To remove certain provisions related to the Company's status as a special purpose acquisition company. | Issuer |
| For | For | 2C. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To remove certain provisions related to the Company's status as a special purpose acquisition company. | Issuer |
| For | For | 2D. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To remove certain provisions related to the Company's status as a special purpose acquisition company. | Issuer |
| For | For | 2E. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To eliminate explicit authority to create and issue rights, warrants and options with such terms as set by the board of directors. | Issuer |
| For | For | 2F. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To eliminate explicit authority to create and issue rights, warrants and options with such terms as set by the board of directors. | Issuer |
| For | For | 2G. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To eliminate from the certificate of incorporation the ability of the board to fill any newly created directorships and vacancies; however, a similar right has been added to Shelf's proposed bylaws. | Issuer |
| For | For | 2H. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To provide that any and all directors of Shelf may be removed at any time with or without cause and only by the affirmative vote of holders of at least two-thirds (2/3) of the voting power of all then outstanding shares of capital stock. | Issuer |
| For | For | 2I. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To require the vote of at least two-thirds (2/3) of the voting power of all then outstanding shares of capital stock or a majority of the board, to adopt, amend or repeal Shelf's bylaws. | Issuer |
| For | For | 2J. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To provide that the business conducted at a special meeting of stockholders will be limited to matters properly brought before the meeting by or at the direction of the board. | Issuer |
| For | For | 2K. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To indemnify and hold harmless a person who is or was made or threatened to be made a party to or is otherwise involved in any threatened, pending or completed action, suit or proceeding, by reason of the fact that he or she is or was a ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2L. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To remove corporate opportunity provisions. | Issuer |
| For | For | 2M. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To require the vote of at least two-thirds (2/3) of the voting power of all then outstanding shares of capital stock, to amend or repeal certain provisions of the certificate of incorporation or, if two-thirds (2/3) of the board has ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2N. To approve the following material differences, between the amended and restated certificate of incorporation of Shelf that will be in effect upon the closing of the Business Combination and the Company's current amended and restated certificate of incorporation: To include certain transfer restrictions, including prohibiting the transfer of (i) common stock, warrants or shares issuable upon the exercise or conversion of warrants issued by Shelf pursuant to the Merger Agreement (a) received by ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 3. The Incentive Plan Proposal - To consider and vote upon a proposal to adopt the NextNav Inc. 2021 Omnibus Incentive Plan. | Issuer |
| For | For | 4. The Employee Stock Purchase Plan Proposal - To consider and vote upon a proposal to adopt the NextNav Inc. 2021 Employee Stock Purchase Plan. | Issuer |
| For | For | Vote Board of Directors: | Issuer |
| Election of Director: Skyler Wichers | |||
| Election of Director: Alan B. Howe | |||
| Election of Director: Andrew Day | |||
| Election of Director: Gary Parsons | |||
| Election of Director: Ganesh Pattabiraman | |||
| Election of Director: Peter Barris | |||
| Election of Director: Bandel Carano | |||
| Election of Director: James B. Fleming | |||
| Election of Director: Peter D. Aquino | |||
| For | For | 7. The Nasdaq Proposal - To approve, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of shares of the Company in connection with a private placement in connection with and immediately prior to consummation of the Business Combination. | Issuer |
| For | For | 8. The Nasdaq Proposal - To approve, for the purposes of complying with the applicable listing rules of Nasdaq, the issuance of shares of the Company in connection with a private placement in connection with and immediately prior to consummation of the Business Combination. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| DFP Healthcare Acquisition | 10/20/2021 | 23343Q100 | DFPH |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Business Combination Proposal - to consider and vote upon a proposal to approve the Agreement and Plan of Merger, dated as of June 28, 2021 (as it may be amended and/or restated from time to time, the "Merger Agreement"), by and among DFP, Orion Merger Sub I, Inc., a Delaware corporation and direct, wholly owned subsidiary of DFP ("First Merger Sub"), Orion Merger Sub II, LLC, a Delaware limited liability company and direct, wholly owned subsidiary of DFP ("Second Merger Sub") and TOI Parent, ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2. Stock Issuance Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable listing rules of Nasdaq (each, a "Nasdaq Listing Rule"), (i) the issuance of DFP Class A Common Stock, par value $0.0001 per share (the "DFP Class A Common Stock") pursuant to the Merger Agreement and up to 12,500,000 additional Earnout Shares (as defined herein), as described in more detail in the ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 3. The Charter Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal and the Stock Issuance Proposal are approved and adopted, a proposed third amended and restated certificate of incorporation (the "Proposed Charter") of DFP, which will amend and restate the second amended and restated certificate of incorporation of DFP, dated March 10, 2020, (the "Current Charter"), which Proposed Charter will be in effect upon the closing of the Business Combination (the "Closing") (the "Charter Amendment Proposal"). | Issuer |
| For | For | 4A. Advisory Charter Proposal A - to change the number of shares of authorized capital stock to 510,000,000, consisting of 500,000,000 shares of New TOI Common Stock, par value $0.0001 per share ("New TOI Common Stock") and 10,000,000 shares of preferred stock, par value $0.0001 per share from 100,000,000 shares of DFP Class A Common Stock, 10,000,000 shares of DFP Class B common stock, par value $0.0001 per share (the "DFP Class B Common Stock") and 1,000,000 shares of preferred stock, par value $0.0001 per share ("Advisory Charter Proposal A"). | Issuer |
| For | For | 4B. Advisory Charter Proposal B - to make each member of New TOI's board of directors (the "New TOI Board") subject to election at each annual meeting of stockholders (or special meeting in lieu thereof), as opposed to DFP having three classes of directors, with only one class of directors being elected in each year and each class serving a three-year term ("Advisory Charter Proposal B"). | Issuer |
| For | For | 4C. Advisory Charter Proposal C - to change the stockholder vote required to amend certain provisions of the Proposed Charter ("Advisory Charter Proposal C"). | Issuer |
| For | For | 4D. Advisory Charter Proposal D - to change the stockholder vote required to amend the amended and restated bylaws to be adopted by DFP immediately prior to the Closing ("Advisory Charter Proposal D"). | Issuer |
| For | For | 4E. Advisory Charter Proposal E - to prohibit stockholders form acting by written consent by specifying that any action required or permitted to be taken by stockholders must be effected by a duly called annual or special meeting and may not be effected by written consent ("Advisory Charter Proposal E"). | Issuer |
| For | For | 4F. Advisory Charter Proposal F - to renounce any interest or expectancy that New TOI has in, or right to be offered an opportunity to participate in, specified business opportunities that are from time to time presented to its nonemployee directors (including any non-employee director who serves as one of New TOI's officers in both his or her director and officer capacities) ("Advisory Charter Proposal F"). | Issuer |
| For | For | 4G. Advisory Charter Proposal G - to amend the exclusive forum provision of the Current Charter to provide that, among other administrative or clarifying revisions, unless New TOI consents in writing to the selection of an alternative forum, to the fullest extent permitted by law, the sole and exclusive forum for any action asserting a cause of action arising under the Securities Act or any rule or regulation promulgated thereunder (in each case, as amended) shall be the federal district courts of the United States of America ("Advisory Charter Proposal G"). | Issuer |
| For | For | 4H. Advisory Charter Proposal H - to provide for certain additional changes, including, among others, (i) changing the post-business combination company's corporate name from "DFP Healthcare Acquisitions Corp." to "The Oncology Institute, Inc." and making the company's corporate existence perpetual and (ii) removing certain provisions related to DFP's status as a blank check company that will no longer apply upon consummation of the Business Combination, all of which the DFP board of directors ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 5. The Incentive Plan Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, Stock Issuance Proposal and Charter Proposal are approved and adopted, The Oncology Institute, Inc. 2021 Incentive Award Plan (the "2021 Plan"), including the authorization of the initial share reserve under the 2021 Plan (the "Incentive Plan Proposal"). | Issuer |
| For | For | 6. The ESPP Proposal - to consider and vote upon a proposal to approve, assuming the Business Combination Proposal, the Stock Issuance Proposal, the Charter Proposal and the Incentive Plan Proposal are approved and adopted, The Oncology Institute, Inc. 2021 Employee Stock Purchase Plan (the "ESPP"), including the authorization of the initial share reserve under the ESPP (the "ESPP Proposal"). | Issuer |
| For | For | 7. Vote Board of Directors: | Issuer |
| Election of Director: Richard Barasch | |||
| Election of Director: Brad Hively | |||
| Election of Director: Karen Johnson | |||
| Election of Director: Mohit Kaushal | |||
| Election of Director: Anne McGeorge | |||
| Election of Director: Maeve O'Meara | |||
| Election of Director: Ravi Sarin | |||
| For | For | 8. The Adjournment Proposal - to consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve one or more proposals presented to stockholders for vote, or DFP determines that one or more of the closing conditions under the Business Combination is not satisfied or waived (the "Adjournment Proposal"). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Gigcapital4, Inc | 12/3/2021 | 37518G101 | GIG |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. To approve and adopt the Agreement and Plan of Merger dated June 4, 2021, as amended on August 6, 2021, and as it may be further amended from time to time, the ("Merger Agreement") by and among the Company, GigCapital4 Merger Sub Corporation, a Delaware corporation ("Merger Sub"), BigBear.ai Holdings, LLC, a Delaware limited liability company ("BigBear"), and BBAI Ultimate Holdings, LLC, a Delaware limited liability company, a copy of which is attached to the proxy statement as Annex A, and approve the transactions contemplated thereby. | Issuer |
| For | For | 2. To approve, for purposes of complying with applicable Nasdaq listing rules, the issuance of more than 20% of the Company's outstanding GigCapital4 Common Stock in connection with the Business Combination and the Convertible Note Subscription Agreements, including up to 123,710,000 shares of GigCapital4 Common Stock to Ultimate as the sole equity holder of BigBear, and 17,391,304 shares of GigCapital4 Common Stock upon conversion of the Convertible Notes. | Issuer |
| For | For | 3. To consider and vote upon a proposal to amend the Company's current amended and restated certificate of incorporation (the "Charter") to provide for the classification of our board of directors (our "Board") into three classes of directors with staggered terms of office and to make certain related changes. | Issuer |
| For | For | 4. To consider and vote upon a proposal to amend the Company's Charter to provide for certain additional changes, including but not limited to changing the Company's name from "GigCapital4, Inc." to "BigBear.ai Holdings, Inc." and eliminating certain provisions specific to our status as a blank check company. | |
| For | For | 5A. To approve the BigBear.ai Holdings, Inc. 2021 Long-Term Incentive Plan (the "2021 Plan"), including the authorization of the initial share reserve under the 2021 Plan. | Issuer |
| For | For | 5B. To approve the BigBear.ai Holdings, Inc. 2021 Employee Stock Purchase Plan (the "2021 ESPP"), including the authorization of the initial share reserve under the 2021 ESPP. | Issuer |
| For | For | 6. To elect, effective at Closing, eleven directors to serve staggered terms on our board of directors until the 2022, 2023 and 2024 annual meetings of stockholders, respectively, and until their respective successors are duly elected and qualified. | Issuer |
| For | For | 7. To approve, if necessary the adjournment of the Special Meeting to a later date or dates to permit further solicitation and votes of proxies in the event there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Nasdaq Stock Issuance Proposal, the Charter Amendment Proposals, the Equity Plans Proposals or the Election of Directors Proposal. This proposal will only be presented at the Special Meeting if there are not sufficient votes to approve the proposals. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Cion Investment Corp. | 12/3/2021 | 17259U204 | CION |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. To approve a proposal to approve the application of the reduced asset coverage requirements in Section 61(a)(2) of the Investment Company Act of 1940, as amended, to the Company, which would permit the Company to increase the maximum amount of leverage that it is permitted to incur by reducing the asset coverage requirement applicable to the Company from 200% to 150% (the "Leverage Proposal"). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Healthcor Catalio Acquistion Corp. | 12/21/2021 | G44125105 | HCAQ |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Business Combination Proposal - RESOLVED, as an ordinary resolution, that HealthCor's entry into the Business Combination Agreement, dated as of July 7, 2021 (as the same has been or may be amended, modified, supplemented or waived from time to time, the "Business Combination Agreement"), by and among HealthCor, Optimus Merger Sub I, Inc., a Delaware corporation and wholly owned subsidiary of HealthCor ("Merger Sub I"), Optimus Merger Sub II, Inc., a Delaware corporation and wholly owned subsidiary ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2. The Domestication Proposal - RESOLVED, as a special resolution, that the change of HealthCor's jurisdiction of incorporation from the Cayman Islands to the State of Delaware (the "Domestication") by deregistering as an exempted company in the Cayman Islands and continuing and domesticating as a corporation incorporated under the laws of the State of Delaware (HealthCor following the Domestication, "New Hyperfine" and such proposal, the "Domestication Proposal") be approved, ratified and confirmed in all respects. | Issuer |
| For | For | 3. The Organizational Documents Proposal - RESOLVED, as a special resolution, that, assuming the Business Combination Proposal and the Domestication Proposal are approved and adopted, the amendment and restatement of the Current Articles by their deletion and replacement with the proposed new certificate of incorporation (the "Proposed Charter") and bylaws (the "Proposed Bylaws" and, together with the Proposed Charter, the "Proposed Organizational Documents") of New Hyperfine, which, if approved, ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4A.Advisory Charter Proposal 4A - RESOLVED, that the authorized share capital in the Proposed Charter be increased from 555,000,000 shares divided into 500,000,000 Class A ordinary shares, par value $0.0001 per share (the "Class A ordinary shares"), 50,000,000 Class B ordinary shares, par value $0.0001 per share (the "Class B ordinary shares" and, together with the Class A ordinary shares, the "ordinary shares"), and 5,000,000 preference shares, par value $0.0001 per share (the "preference ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4B. Advisory Charter Proposal 4B - RESOLVED, that the Proposed Charter provide that holders of shares of Class A common stock will be entitled to cast one vote per share of Class A common stock and (i) prior to the effective time of the Mergers (the "Effective Time"), holders of shares of Class B common stock will have the right to one vote per share of Class B common stock, and (ii) effective upon the Effective Time, holders of shares of Class B common stock will be entitled to cast 20 votes ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4C. Advisory Charter Proposal 4C - RESOLVED, that the Proposed Charter provide that any action required or permitted to be taken by the stockholders of New Hyperfine at any annual or special meeting of stockholders of New Hyperfine may be taken by written consent until the time the issued and outstanding shares of Class B common stock represent less than 50% of the voting power of the then outstanding shares of capital stock of New Hyperfine that would be entitled to vote in the election of ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4D. Advisory Charter Proposal 4D - RESOLVED, that amendments to certain provisions of the Proposed Charter relating to the rights of Class A common stock and Class B common stock will require (i) so long as any shares of Class B common stock remain outstanding, the affirmative vote of the holders of at least two-thirds of the outstanding shares of Class B common stock, voting as a separate class, (ii) so long as any shares of Class A common stock remain outstanding, the affirmative vote of the ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4E. Advisory Charter Proposal 4E - RESOLVED, that the Proposed Bylaws may be amended, altered, repealed or adopted either (x) by the affirmative vote of a majority of the board of directors of New Hyperfine (the "New Hyperfine Board") present at any regular or special meeting of the New Hyperfine Board at which a quorum is present or (y) (i) when the issued and outstanding shares of Class B common stock represents less than 50% of the voting power of the then outstanding shares of capital stock ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4F. Advisory Charter Proposal 4F - RESOLVED, that the Proposed Charter provide that the number of directors will be fixed and may be modified by the New Hyperfine Board; provided that, prior to the first date on which the issued and outstanding shares of Class B common stock represents less than 50% of the voting power of the then outstanding shares of capital stock of New Hyperfine that would be entitled to vote in the election of directors, the number of directors cannot exceed a certain ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4G. Advisory Charter Proposal 4G - RESOLVED, that the Proposed Charter provide that the New Hyperfine Board is not classified, and that the New Hyperfine directors shall serve for a term of one year, expiring at the next annual meeting of stockholders of New Hyperfine, as opposed to the Current Articles, which provide that HealthCor's board of directors is divided into three classes, with each class elected for staggered three year terms. | Issuer |
| For | For | 4H. Advisory Charter Proposal 4H - RESOLVED, that the Proposed Charter provide that any or all directors of New Hyperfine may be removed from office at any time with or without cause and for any or no reason only with and immediately upon, (i) on or after the date on which the issued and outstanding shares of Class B common stock represents less than 50% of the voting power of the then outstanding shares of capital stock of New Hyperfine that would be entitled to vote in the election of directors, the ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4I. Advisory Charter Proposal 4I - RESOLVED, that various provisions in the Current Articles applicable only to blank check companies, including the provisions requiring that HealthCor have net tangible assets of at least $5,000,001 immediately prior to, or upon such consummation of, a business combination, be eliminated. | Issuer |
| For | For | 5. The Stock Issuance Proposal - RESOLVED, as an ordinary resolution, that, assuming the Business Combination Proposal, the Domestication Proposal and the Organizational Documents Proposal are approved and adopted, for the purposes of complying with the applicable listing rules of The Nasdaq Stock Market ("Nasdaq"), the issuance of (i) an aggregate of 29,663,067 shares of Class A common stock to stockholders of Hyperfine pursuant to the terms of the Business Combination Agreement, ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 6. The Director Election Proposal - RESOLVED, as an ordinary resolution, that, assuming the Business Combination Proposal, the Domestication Proposal, the Organizational Documents Proposal and the Stock Issuance Proposal are approved and adopted, the appointment of seven directors who, effective immediately after the Effective Time, will become the directors of New Hyperfine until their respective successors are duly elected and qualified pursuant to the terms of the Proposed ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 7. The Incentive Plan Proposal - RESOLVED, as an ordinary resolution, that, assuming the Business Combination Proposal, the Domestication Proposal, the Organizational Documents Proposal, the Stock Issuance Proposal and the Director Election Proposal are approved and adopted, the Hyperfine, Inc. 2021 Equity Incentive Plan (the "Incentive Plan Proposal") be approved and adopted. | Issuer |
| For | For | 8. The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the extraordinary general meeting, any of the Business Combination Proposal, the Domestication Proposal, the Organizational Documents Proposal, the Stock Issuance Proposal or the Incentive Plan Proposal would not be duly ... (due to space limits, see proxy statement for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FS Development Corp. II | 12/23/2021 | 30318F100 | FSII |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. To (a) adopt and approve the Merger Agreement and (b) approve the Business Combination (the "Business Combination Proposal"). | Issuer |
| For | For | 2. To approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable provisions of Nasdaq Stock Exchange Listing Rule 5635 (each, a "Nasdaq Listing Rule"), (a) the issuance of 32,500,000 newly issued shares of FS Development II Class A Common Stock in the Business Combination, (b) the issuance and sale of 7,500,000 newly issued shares of FS Development II Class A Common Stock in a private placement concurrent with the Business combination ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 3A. Charter Amendment Proposal A - To approve, assuming the Business Combination Proposal is approved and adopted, a proposed second amended and restated certificate of incorporation, which will amend and restate FS Development Corp. II's current certificate of incorporation, dated February 16, 2021 (the "Current Charter"), and which proposed second amended and restated certificate of incorporation will be in effect upon the closing of the Business Combination (the "Closing"). | Issuer |
| For | For | 3B. Charter Amendment Proposal B - To approve and adopt a proposed amendment to the second amended and restated certificate of incorporation to increase the number of shares of FS Development II Class A Common stock from 100,000,000 to 250,000,000 and the total number of authorized shares from 110,000,000 (following approval of Charter Amendment Proposal A) to 260,000,000, which proposed amendment to the second amended and restated certificate of incorporation will be in effect upon the Closing. | Issuer |
| For | For | 4A. Advisory Charter Proposal A - To increase the authorized shares of FS Development II Class A Common Stock to 250,000,000 shares (if Charter Amendment Proposal B passes). If Charter Amendment Proposal B does not pass, the authorized shares of FS Development II Class A Common Stock will remain 100,000,000 shares. | Issuer |
| For | For | 4B. Advisory Charter Proposal B - To increase the authorized shares of "blank check" preferred stock that the Combined Entity's board of directors could issue to discourage a takeover attempt to 10,000,000 shares. | Issuer |
| For | For | 4C. Advisory Charter Proposal C - To provide that certain amendments to provisions of the Proposed Charter will require the approval of at least 66.67% of the Combined Entity's then-outstanding shares of capital stock entitled to vote on such amendment. | Issuer |
| For | For | 4D. Advisory Charter Proposal D - To make the Combined Entity's corporate existence perpetual as opposed to FS Development II's corporate existence, which is required to be dissolved and liquidated 24 months following the closing of its initial public offering and to remove from the Proposed Charter the various provisions applicable only to specified purpose acquisition corporations contained in the Current Charter. | Issuer |
| For | For | 4E. Advisory Charter Proposal E - To provide that any amendment to the Amended Bylaws will require the approval of at least 66.67% of the Combined Entity's then-outstanding shares of capital stock entitled to vote on such amendment, provided that if the board of directors of the Combined Entity recommends approval of such amendment, such amendment will require the approval of a majority of the Combined Entity's then-outstanding shares of capital stock entitled to vote on such amendment. | Issuer |
| For | For | 5. To approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Stock Option and Incentive Plan a copy of which is appended to the accompanying proxy statement/ prospectus as Annex E, which will become effective the day prior to the Closing (the "Incentive Plan Proposal"). | Issuer |
| For | For | 6. To approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Nasdaq Stock Issuance Proposal, the Charter Amendment Proposals, the Advisory Charter Proposals, or the Incentive Plan Proposal, or we determine that one or more of the closing conditions under the Business Combination is not satisfied or waived. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Roman DBDR Tech Acquisition | 12/23/2021 | 77584N101 | DBDC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Business Combination Proposal - To approve the Agreement and Plan of Merger, dated as of April 19, 2021, and as amended as of May 25, 2021, or the "Merger Agreement", by and among Roman DBDR, CompoSecure Holdings, L.L.C., ("CompoSecure"), Roman Parent Merger Sub LLC, a Delaware limited liability company and wholly-owned subsidiary of Roman DBDR (the "Merger Sub") and LLR Equity Partners IV, L.P., a Delaware limited partnership ("Member Representative"), and the transactions contemplated ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 2. Nasdaq Stock Issuance Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, for purposes of complying with the applicable provisions of Nasdaq Stock Exchange Listing Rule 5635 (each, a "Nasdaq Listing Rule"), (a) the issuance of up to 49,195,000 (assuming no redemption) or 63,919,627 (assuming maximum redemption) of newly issued shares of Roman DBDR Class B Common Stock, par value $0.0001 per share (the "Roman DBDR Class B Common Stock") in the ...(due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 3. Governing Documents Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, a proposed second amended and restated certificate of incorporation (the "Proposed Charter"), which will amend and restate the current Amended and Restated Certificate of Incorporate of Roman DBDR, dated November 5, 2020 (the "Current Charter") and a proposed second amended and restated bylaws (the "Proposed Bylaws"), which will amend and restate the current bylaws (the "Current Bylaws"), ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4A. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To increase the authorized shares of Class A Common Stock to 250,000,000 shares. | Issuer |
| For | For | 4B. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To increase the authorized shares of "blank check" preferred stock that the Combined Entity's board of directors could issue to raise capital and/or to discourage a takeover attempt to 10,000,000 shares. | Issuer |
| For | For | 4C. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To provide that amendments to provisions of the Proposed Charter will require the approval of at least a majority of the Combined Entity's then-outstanding shares of capital stock entitled to vote on such amendment. | Issuer |
| For | For | 4D. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To provide holders of any then outstanding Preferred Stock the right, voting separately by class or series, to elect one or more directors. | Issuer |
| For | For | 4E. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To limit action required or permitted to be taken by the stockholders of the Combined Company only to annual meetings or special meetings by eliminating the right for actions to be taken by written consent. | Issuer |
| For | For | 4F. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: (i) To change the corporate name from "Roman DBDR Tech Acquisition Corp." to "CompoSecure, Inc.", (ii) to make the Combined Entity's corporate existence perpetual as opposed to Roman DBDR's corporate existence, which is presently required to be dissolved and liquidated 18 months following the closing of its initial public offering and to ... (due to space limits, see proxy statement for full proposal). | Issuer |
| For | For | 4G. Advisory Charter Proposal - To approve, on a non-binding advisory basis, the material differences between the Proposed Charter and the Current Charter: To provide that any amendment by stockholders to the Proposed By-laws will require the approval of at least a majority of the Combined Entity's then- outstanding shares of capital stock entitled to vote such amendment. | Issuer |
| For | For | 5. Director Election Proposal - To elect, assuming the Business Combination Proposal is approved and adopted, seven directors to serve staggered terms on the Combined Entity's board of directors until the 2022, 2023 and 2024 annual meeting of stockholders, respectively, and until their respective successors are duly elected and qualified. | Issuer |
| For | For | 6. Equity Incentive Plan Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Equity Incentive Plan (the "Equity Incentive Plan"), which will become effective the day prior to the Closing | Issuer |
| For | For | 7. ESPP Proposal - To approve, assuming the Business Combination Proposal is approved and adopted, the 2021 Employee Stock Purchase Plan (the "ESPP"), which will become effective the day prior to the Closing. | Issuer |
| For | For | 8. Adjournment Proposal - To approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve the Business Combination Proposal, the Nasdaq Stock Issuance Proposal, the Governing Documents Proposal, the Advisory Charter Proposals, the Director Election Proposal, the Incentive Plan Proposal or the ESPP ... (due to space limits, see proxy statement for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Barings BDC, INC. | 2/24/2022 | 06759L103 | BBDC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of September 21, 2021, by and among Barings BDC, Mercury Acquisition Sub, Inc., Sierra Income Corporation and Barings LLC (the "Merger Agreement"). | Issuer |
| Mirror Vote | For | 2. To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable. | Issuer |
| Mirror Vote | For | 3. To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1 or Proposal 2. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Pennantpark Investment Corp. | 2/8/2022 | 708062104 | PNNT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1A. Election of Director: Arthur H. Penn | Issuer |
| Mirror vote | For | 2. To ratify the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| M3-Bridge Acquisition II | 2/9/2022 | 553800103 | MBAC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Business Combination Proposal - To consider and vote upon a proposal to approve the transactions contemplated by the Agreement and Plan of Merger, dated as August 16, 2021 (as it may be amended from time to time in accordance with its terms, the "Merger Agreement"), by and among M3-Brigade Acquisition II Corp. (the "Company"), Blue Steel Merger Sub Inc. ("Merger Sub") and Syniverse Corporation ("Syniverse"), including the business combination described in the accompanying proxy statement (the "Business Combination"). | Issuer |
| For | For | 2. To approve, (i) the issuance of more than 20% of the issued and outstanding shares, and (ii) the issuance of more than one percent of the issued and outstanding shares of Common Stock. | Issuer |
| For | For | 3. Charter Proposal - To consider and vote upon a proposal to adopt two separate proposed charters, proposed charter alternative A, substantially in the form attached to the accompanying proxy statement as Annex B-1 ("Charter Amendment Alternative A"), and proposed charter alternative B, substantially in the form attached to the accompanying proxy statement as Annex B-2 ("Charter Amendment Alternative B," and together with Charter Amendment Alternative A, the "Charter Amendments"); | Issuer |
| For | For | 4A. Super Majority Vote Requirements - Proposal to add a super majority vote provision requiring that the prior affirmative vote of holders of at least sixty-six and two-thirds percent of the voting power of the outstanding shares of Common Stock, voting as a single class will be required before the Company. | Issuer |
| For | For | 4B. Change in Authorized Shares - Proposal (i) in the case of Charter Amendment Alternative A, to increase our total number of authorized shares of all classes of Common Stock (ii) in the case of Charter Amendment Alternative B, to increase our total number of authorized shares of all classes of Common Stock. | Issuer |
| For | For | 4C. Corporate Opportunity - To consider and vote upon a proposal to update the provisions regarding corporate opportunities to, among other things. | Issuer |
| For | For | 4D. Declassification of Board - To consider and vote upon a proposal to declassify our Board. | Issuer |
| For | For | 4E. Special Quorum Requirement and Director Voting Rights related to Carlyle and Twilio - To consider and vote upon a proposal to make certain of the terms of the Second Amended and Restated Certificate of Incorporation and also provide that for as long as any director nominated by Carlyle and its affiliates. | Issuer |
| For | For | 4F. Ability to Call a Special Meeting - To consider and vote upon a proposal to provide that special meetings can only be called by the Board (or an officer of the Company at the direction of the Board) and no longer individually by the Company's Chief Executive Officer or the Chairman of the Board. | Issuer |
| For | For | 4G. Class A Stock to Have Exclusive Right to Vote for the Election and Removal of Directors - To consider and vote upon a proposal to give the Class A Stock the exclusive right to vote for the election and removal of directors and the Class C Stock no right to vote for the election or removal of directors. | Issuer |
| For All | For All | 5. Vote Board of Directors: | Issuer |
| Election of Director: James Attwood | |||
| Election of Director: Kevin Beebe | |||
| Election of Director: Orisa Cherenfant | |||
| Election of Director: Andrew Davies | |||
| Election of Director: Tony Holcombe | |||
| Election of Director: Greg Kleiner | |||
| Election of Director: Dan Mead | |||
| Election of Director: Mohsin Y. Meghji | |||
| Election of Director: Lauren Nemeth | |||
| Election of Director: Matthew Perkal | |||
| Election of Director: Raymond Ranelli | |||
| For | For | 6. Incentive Award Plan Proposal - To consider and vote upon a proposal to adopt the Syniverse Technologies Corporation 2021 Omnibus Incentive Plan (the "Incentive Award Plan"), a copy of which is attached to the accompanying proxy statement as Annex J, including the authorization of the initial share reserve under the Incentive Award Plan. | Issuer |
| For | For | 7. Adjournment Proposal - To consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are insufficient votes for, or otherwise. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| PGIM Global High Yield Fund, Inc. | 3/9/2022 | 69346J106 | GHY |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1.1Election of Class I Director: Ellen S. Alberding | Issuer |
| Mirror vote | For | 1.2 Election of Class I Director: Stuart S. Parker | Issuer |
| Mirror vote | For | 1.3 Election of Class I Director: Brian K. Reid | Issuer |
| Mirror vote | For | 2. Ratify the appointment of PricewaterhouseCoopers LLP as the Fund's independent registered public accountant for the fiscal year ending July 31, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Spartan Acquisition Corp. III | 3/8/2022 | 84677R106 | SPAQ |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Business Combination Proposal - To consider and vote upon a proposal to (a) approve and adopt the Business Combination Agreement, dated as of July 28, 2021 (the "Business Combination Agreement"), by and among Spartan, Athena Pubco B.V., a Dutch private limited liability company (besloten vennootschap met beperkte aansprakelijkheid) ("Allego"), Athena Merger Sub, Inc., a Delaware corporation ("Merger Sub"), Madeleine Charging B.V., a Dutch private limited liability company (besloten vennootschap ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Governance Proposal - To consider and vote upon, on a non- binding advisory basis, a proposal to approve certain governance provisions contained in the Articles of Association of Allego N.V., the successor to Allego following the Business Combination (the "Allego Articles") that materially affect Allego shareholder rights (the "Governance Proposal"). | Issuer |
| For | For | 3. The Adjournment Proposal - To consider and vote upon a proposal to approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal (the "Adjournment Proposal"). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Tailwind Two Acquistion | 3/22/2022 | G86613109 | TWNT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Business Combination Proposal - RESOLVED, as an ordinary resolution, that Tailwind Two's entry into the Agreement and Plan of Merger, dated as of October 28, 2021 (as may be amended, supplemented or otherwise modified from time to time, the "Business Combination Agreement"), by and among Tailwind Two, Titan Merger Sub, Inc., a Delaware corporation ("Merger Sub") and Terran Orbital Corporation, a Delaware corporation ("Terran Orbital"), a copy of which is attached to the accompanying proxy ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Domestication Proposal - RESOLVED, as a special resolution, that Tailwind Two be transferred by way of continuation to Delaware pursuant to Part XII of the Companies Act (Revised) of the Cayman Islands and Section 388 of the General Corporation Law of the State of Delaware and, immediately upon being de- registered in the Cayman Islands, Tailwind Two be continued and domesticated as a corporation under the laws of the state of Delaware. | Issuer |
| For | For | 3. The Charter Proposal - RESOLVED, as a special resolution, that, upon the Domestication, the amended and restated memorandum and articles of association of Tailwind Two ("Existing Governing Documents") be amended and restated by the deletion in their entirety and the substitution in their place of the proposed new certificate of incorporation of "Terran Orbital Corporation" upon the Domestication, a copy of which is attached to the accompanying proxy statement/prospectus as Annex C (the ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 4. Advisory Governing Documents Proposal A - RESOLVED, that an amendment to change the authorized share capital of Tailwind Two from US$55,100 divided into (i) 500,000,000 Class A ordinary shares, par value $0.0001 per share, (ii) 50,000,000 Class B ordinary shares, par value $0.0001 per share and (iii) 1,000,000 preference shares, par value $0.0001 per share, to (a) 300,000,000 shares of common stock, par value $0.0001 per share, of New Terran Orbital and (b) 50,000,000 shares of preferred ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 5. Advisory Governing Documents Proposal B - RESOLVED, that an amendment to authorize the board of directors of New Terran Orbital to issue any or all shares of New Terran Orbital preferred stock in one or more classes or series, with such terms and conditions as may be expressly determined by the board of directors of New Terran Orbital and as may be permitted by the Delaware General Corporation Law be approved on a non- binding advisory basis. | Issuer |
| For | For | 6. Advisory Governing Documents Proposal C - RESOLVED, that an amendment to remove the ability of New Terran Orbital stockholders to take action by written consent in lieu of a meeting be approved on a non-binding advisory basis. | Issuer |
| For | For | 7. Advisory Governing Documents Proposal D - RESOLVED, that certain other changes in connection with the replacement of Existing Governing Documents with the Proposed Certificate of Incorporation as part of the Domestication (a copy of which is attached to the accompanying proxy statement/ prospectus as Annex C), including (i) changing the post-Business Combination corporate name from "Tailwind Two Acquisition Corp." to "Terran Orbital Corporation" (which is expected to occur after the ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 8. Advisory Governing Documents Proposal E - RESOLVED, that an amendment to require the affirmative vote of the holders of (i) at least two thirds (2/3) of the total voting power of all the then-outstanding shares of New Terran Orbital's stock entitled to vote thereon, and voting as a single class, to amend or repeal the proposed bylaws (or a majority of the total voting power of the then-outstanding shares of capital stock of New Terran Orbital entitled to vote on such amendment or repeal, ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 9. The Exchange Proposal - RESOLVED, as an ordinary resolution, that for the purposes of complying with the applicable provisions of New York Stock Exchange Listing Rule 312.03 or Nasdaq Stock Exchange Listing Rule 5635, as applicable, the issuance of shares of New Terran Orbital Common Stock in connection with the Business Combination, the Debt Financings and the PIPE Financing (each term as defined in the accompanying proxy statement/prospectus) be approved. | Issuer |
| For | For | 10. The Incentive Award Plan Proposal - RESOLVED, as an ordinary resolution, that the New Terran Orbital 2021 Omnibus Incentive Plan, a copy of which is attached to the accompanying proxy statement/prospectus as Annex E, be adopted and approved. | Issuer |
| For | For | 11. The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the Extraordinary General Meeting to a later date or dates (A) to the extent necessary to ensure that any required supplement or amendment to the accompanying proxy statement/prospectus is provided to Tailwind Two shareholders or, if as of the time for which the Extraordinary General Meeting is scheduled, there are insufficient Tailwind Two ordinary shares represented (either in person or by proxy) to ...(due to space limits, see proxy material for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| New America High Income Fund | 4/28/2022 | 641876800 | HYB |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Joseph L. Bower | |||
| Election of Director: Stuart A. McFarland | |||
| Election of Director: Marguerite Piret | |||
| Election of Director: Oleg M. Pohotsky | |||
| Election of Director: Ellen E. Terry | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| First Tr High Income L/S Fund | 4/18/2022 | 433738E109 | FSD |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1.1 Election of Class III Trustee for a three-year term: James A. Bowen | Issuer |
| Mirror vote | For | 1.2 Election of Class III Trustee for a three-year term: Niel B. Nielson | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Nuveen Short Duration Credit Opp Fd | 4/8/2022 | 67074x107 | JSD |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1A. Vote Board of Directors: | Issuer |
| Election of Director: Judith M. Stockdale | |||
| Election of Director: Carole E. Stone | |||
| Election of Director: Margaret L. Wolff | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Gabelli Utility Trust | 5/9/2022 | 36240A101 | GUT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Mario J. Gabelli | |||
| Election of Director: Elizabeth C. Bogan | |||
| Election of Director: Vincent D. Enright | |||
| Election of Director: Kuni Nakamura | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Ellsworth Growth And Income Fd | 5/9/2022 | 289074106 | ECF |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: James A. Dinsmore | |||
| Election of Director: Elizabeth C. Bogan | |||
| Election of Director: Anthonie C. van Ekris | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Bancroft Fund | 5/9/2022 | 059695106 | BCV |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Jane D. O'Keeffe | |||
| Election of Director: Elizabeth C. Bogan | |||
| Election of Director: Agnes Mullady | |||
| Election of Director: Anthonie C. van Ekris | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Nexpoint Diversified RE TR | 6/14/2022 | 65340G205 | NXDT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Bryan A. Ward | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Nexpoint Diversified RE TR Pfd 5.5% | 6/14/2022 | 65340G304 | NXDT Pfd |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Ethan Powell | |||
| Election of Director: Bryan A. Ward | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Aberdeen Asia-Pacific Income Fund | 4/28/2022 | 003009107 | FAX |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror vote | For | 1.1 Election of Class I director of the Fund, for a three-year term until the 2025 Annual Meeting of Stockholders: Stephen Bird | Issuer |
| Mirror vote | For | 3.1 To consider the continuation of the terms of Director under the Fund's Corporate Governance Policies: P. Gerald Malone (Class II - 3 year term ending 2023) | Issuer |
| Mirror vote | For | 3.2 To consider the continuation of the terms of Director under the Fund's Corporate Governance Policies: William J. Potter (Preferred - 3 year term ending 2024) | |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Highland Income Fund | 6/14/2022 | 43010E204 | HFRO |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Bryan A. Ward | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Crescent Capital BDC, Inc. | 5/13/2022 | 225655109 | CCAP |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1A.Election of Class I Director to serve for a three-year term expiring at the 2025 Annual Meeting: Kathleen S. Briscoe | Issuer |
| Mirror Vote | For | 1B. Election of Class I Director to serve for a three-year term expiring at the 2025 Annual Meeting: George G. Strong, Jr. | Issuer |
| Mirror Vote | For | 2A. Election of Class III Director to serve for a two-year term expiring at the 2024 Annual Meeting: Elizabeth Ko | Issuer |
| Mirror Vote | For | 3.To ratify the selection of Ernst & Young LLP ("E&Y") as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Templeton Global Income Fund | 6/6/2022 | 880198106 | GIM |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Vote Board of Directors: | Shareholder |
| Election of Director: Karen Caldwell | |||
| Election of Director: Ketu Desai | |||
| Election of Director: Mark Hammitt | |||
| Election of Director: Anatoly Nakum | |||
| For | For | 2. Proposal to ratify the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2022. | Shareholder |
| For | For | 3. Saba's proposal to terminate the Investment Management Agreement between the Fund and Templeton Investment Counsel, LLC, dated as of October 30, 1992, as amended or novated, and all other advisory and management agreements between the Fund and Franklin Advisers, Inc. | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Virtus Total Return Fund Inc. | 5/23/2022 | 92835W107 | ZTR |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1E. Election of Class II Director: George R. Aylward | Issuer |
| Mirror Vote | For | 1F. Election of Class II Director: F. Ford Drummond | Issuer |
| Mirror Vote | For | 1G. Election of Class II Director: John R. Mallin | Issuer |
| Mirror Vote | For | 1H. Election of Class II Director: Philip R. McLoughlin | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Portman Ridge Finance Corp. | 6/6/2022 | 73688F201 | PTMN |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: George Grunebaum | |||
| Election of Director: Dean C. Kehler | |||
| Election of Director: Matthew Westwood | |||
| Mirror Vote | For | 2. To ratify the selection of Deloitte & Touche LLP as the independent registered public accountant of the Company for the fiscal year ending December 31, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Cedar Realty Trust, Inc. | 5/27/2022 | 150602605 | CDR |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| No Vote | For | 1. To approve the sale of the Company and substantially all of its assets, including the Grocery-Anchored Portfolio Sale and the Mergers (the "Transactions"). | Issuer |
| No Vote | For | 2. To approve, on a non-binding advisory basis, the compensation to be paid or that may become payable by the Company to its named executive officers that is based on or otherwise relates to the Transactions. | Issuer |
| No Vote | For | 3. To approve one or more adjournments of the special meeting, if necessary, to solicit additional proxies if we have not obtained sufficient affirmative stockholder votes to approve the Transactions. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Firsty EaGLE Alternbative Capital BDC | 6/16/2022 | 26943B100 | FCRD |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Christopher J. Flynn | |||
| Election of Director: E.P. Giambastiani, Jr. | |||
| Election of Director: Nancy Hawthorne | |||
| Election of Director: James D. Kern | |||
| Election of Director: Deborah McAneny | |||
| Election of Director: Jane Musser Nelson | |||
| Mirror Vote | For | 2. To ratify the appointment of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Company for the fiscal year ending December 31, 2022. | Issuer |
| Mirror Vote | For | 3. To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Cushing MLP & Infra Total Return FD | 5/26/2022 | 231631300 | SRV |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. Election of Class III Trustee to serve until 2025 annual meeting: Mr. Ronald P. Trout | Issuer |
| Mirror Vote | For | 1b.Vote Board of Directors: | Issuer |
| Election of Director: Ms. Andrea N. Mullins | |||
| Election of Director: Mr. Jerry V. Swank | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FS KKR Capital | 6/22/2022 | 302635206 | FSK |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Barbara Adams | |||
| Election of Director: Michael C. Forman | |||
| Election of Director: Jerel A. Hopkins | |||
| Mirror Vote | For | 2. To approve the proposal to allow the Company in future offerings to sell its shares below net asset value per share in order to provide flexibility for future sales. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Lucent | 6/15/2022 | 55025L108 | LFT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Withhold All | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: James P. Flynn | |||
| Election of Director: James C. Hunt | |||
| Election of Director: Neil A. Cummins | |||
| Election of Director: William A. Houlihan | |||
| Election of Director: Walter C. Keenan | |||
| Election of Director: Marie D. Reynolds | |||
| Abstain | For | 2. Approval, on advisory basis, of the compensation of our named executive officers, as described in the proxy statement under "executive compensation." | Issuer |
| For | For | 3. Ratification of the appointment of KPMG LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| EV New York Municipal Bond FD | 7/14/2022 | 27827Y109 | ENX |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Thomas E. Faust Jr. | |||
| Election of Director: Cynthia E. Frost | |||
| Election of Director: Scott E. Wennerholm | |||
| Election of Director: Nancy A. Wiser | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2021 - June 30,2022 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Runway Growth Finance Corp. | 6/16/2022 | 78163D100 | RWAY |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: R. David Spreng | |||
| Election of Director: Brian Laibow | |||
| Mirror Vote | For | 2. To ratify the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2022. | Issuer |
| Mirror Vote | For | 3. To approve a proposal to authorize the Company to issue options, warrants or securities to subscribe to, convert to, or purchase common stock, subject to the conditions as set forth in the proxy statement. | Issuer |
| Mirror Vote | For | 4. To approve of the Company becoming subject to a minimum asset coverage ratio of at least 150%, permitting the Company to double its amount of debt incurrence, pursuant to Section 61(a) (2) of the Investment Company Act of 1940, as amended by the Small Business Credit Availability Act. | Issuer |
