| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| B. RILEY PRINCIPLE 150 MERGER CORP | 7/15/2022 | 05601V103 | BRPM |
| 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 (the "Original Merger Agreement"), as amended on December 29, 2021 and March 10, 2022, respectively (collectively, the "Merger Agreement Amendments" and together with the Original Merger Agreement and further amendments and/or restatements from time to time, the "Merger Agreement"), by and among BRPM, BRPM Merger Sub, Inc., a Delaware corporation and a direct wholly owned ...(due to space limits, see proxy material for full proposal). | Issuer |
| FOR | FOR | 2a. Binding Charter Proposal A - a proposal for the holders of BRPM's Class A common stock and Class B common stock, voting together as a single class, to approve the adoption of the second amended and restated certificate of incorporation of BRPM (the "Proposed Charter"), a copy of which is attached to the proxy statement/prospectus as Annex B, which will replace the Current Charter. | Issuer |
| FOR | FOR | 2b. Binding Charter Proposal B - a proposal for the holders of BRPM's Class A common stock to approve an amendment to the Current Charter to (i) increase the number of authorized shares of New FaZe's capital stock, each with a par value of $0.0001 per share, from 111,000,000 shares consisting of 100,000,000 shares of Class A common stock, 10,000,000 shares of Class B common stock, and 1,000,000 shares of preferred stock, to 501,000,000 shares consisting of 500,000,000 shares of New FaZe ...(due to space limits, see proxy material for full proposal). | Issuer |
| FOR | FOR | 3a.Advisory Charter Proposal A - If the Binding Charter Proposals are approved, the Proposed Charter will remove the provisions for BRPM's current Class B common stock (which will all convert into New FaZe's single class of common stock in connection with the Business Combination). Under the Proposed Charter, New FaZe will be authorized to issue 501,000,000 shares of capital stock, consisting of (i) 500,000,000 shares of New FaZe common stock, par value $0.0001 per share, and (ii) 1,000,000 shares of New ...(due to space limits, see proxy material for full proposal). | Issuer |
| FOR | FOR | 3b.Advisory Charter Proposal B - if the Binding Charter Proposals are approved, the Proposed Charter will provide that the number of authorized shares of any class of common stock or preferred stock may be increased or decreased (but not below the number of shares thereof then outstanding) by the affirmative vote of the holders of a majority of New FaZe's stock entitled to vote, irrespective of the provisions of Section 242(b)(2) of the DGCL. | Issuer |
| FOR | FOR | 3c.Advisory Charter Proposal C - The Proposed Charter will eliminate the ability of stockholders to act by written consent. | Issuer |
| FOR | FOR | 3d. Advisory Charter Proposal D - Under the Proposed Charter, the affirmative vote of the holders of at least two-thirds (66 2/3%) of the voting power of all of the then outstanding shares of voting stock of New FaZe will be required to amend, alter, repeal or rescind Articles V(B) (Preferred Stock), VI (Directors), VII (Stockholder Meetings), VIII (Director Liability), IX (Indemnification), X (Forum Selection), and XI (Amendments) of the Proposed Charter. | Issuer |
| FOR | FOR | 3e. Advisory Charter Proposal E - under the Proposed Charter, the board of directors of New FaZe (the "New FaZe Board") is expressly authorized to adopt, amend, alter, or repeal New FaZe's amended and restated bylaws (the "Proposed Bylaws"). The Proposed Bylaws can also be adopted, amended, altered or repealed by the stockholders, provided that any stockholder amendment to the Proposed Bylaws will require approval of at least two-thirds (66 2/3%) of the voting power of all of the then outstanding shares of voting stock of New FaZe. | Issuer |
| FOR | FOR | 3f. Advisory Charter Proposal F - The Proposed Charter will change the classification of the New FaZe Board from two classes to three classes, with each class elected for staggered term, as well as with each class consisting, as nearly as may be possible, of one third of the total number of directors constituting the whole board. Subject to the special rights of the holders of one or more outstanding series of preferred stock to elect directors, (i), a director may be removed from office ...(due to space limits, see proxy material for full proposal). | Issuer |
| FOR | FOR | 4. Advisory Charter Proposal F - The Proposed Charter will change the classification of the New FaZe Board from two classes to three classes, with each class elected for staggered term, as well as with each class consisting, as nearly as may be possible, of one third of the total number of directors constituting the whole board. Subject to the special rights of the holders of one or more outstanding series of preferred stock to elect directors, (i), a director may be removed from office ...(due to space limits, see proxy material for full proposal). | Issuer |
| FOR | FOR | 5.Vote Board of Directors: Election of Director: C. Cordozar Broadus Jr. Election of Director: Mickie Rosen Election of Director: Ross Levinsohn Election of Director: Angela Dalton Election of Director: Nick Lewin Election of Director: Paul Hamilton Election of Director: Lee Trink Election of Director: Bruce Gordon Election of Director: Daniel Shribman Election of Director: Andre Fernandez | Issuer |
| FOR | FOR | 6. The Incentive Plan Proposal - to consider and vote upon a proposal to approve the New FaZe 2022 Omnibus Incentive Plan (the "Incentive Plan"), a copy of which is attached to the proxy statement/prospectus as Annex D, including the authorization of the initial share reserve under the Incentive Plan. | Issuer |
| FOR | FOR | 7. The ESPP Proposal - to consider and vote upon a proposal to approve the New FaZe 2022 Employee Stock Purchase Plan (the "ESPP"), a copy of which is attached to the proxy statement/prospectus as Annex E, including the authorization of the initial share reserve under the ESPP. | Issuer |
| FOR | FOR | 8. 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, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, any of the foregoing proposals would not be duly approved by our stockholders. | Issuer |
| FOR | For | 7. Auditor Ratification Proposal - To consider and vote upon a proposal to approve the appointment by SCS's audit committee of Marcum LLP as the independent registered public accountants to SCS to audit and report on SCS's consolidated financial statements for the year ending December 31, 2022. | Issuer |
| FOR | For | 8. Adjournment Proposal - To consider and vote upon a proposal to approve by ordinary resolution the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation of proxies in the event that there are insufficient proxies for, or otherwise in connection with, the approval of one or more proposals at the Extraordinary General Meeting. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Logan Ridge Financial Corp. | 7/22/2022 | 541098109 | LRFC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Ted Goldthorpe | |||
| Mirror Vote | For | 2. To ratify the selection of Deloitte & Touche LLP to serve as the Company'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, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Blackrock California Muni | 7/25/2022 | 09248E102 | BFZ |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Cynthia L. Egan | |||
| Election of Director: Robert Fairbairn | |||
| Election of Director: Stayce D. Harris | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Blackrock ESG Capital Allocation | 7/25/2022 | 09262F100 | ECAT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | 1. Vote Board of Directors: | Issuer | |
| Election of Director: Frank J. Fabozzi | |||
| Election of Director: Robert Fairbairn | |||
| Election of Director: J. Phillip Holloman | |||
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Cion Investment Corp. | 7/28/2022 | 17259U204 | CION |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: | Issuer |
| Election of Director: Edward J. Estrada | |||
| Election of Director: Peter I. Finlay | |||
| Election of Director: Earl V. Hedin | |||
| Mirror Vote | For | 2. To approve a proposal to authorize flexibility for the Company, with the approval of the Board, to offer and sell Shares at a price below net asset value ("NAV") during the next 12 months following shareholder approval, subject to certain limitations described in the proxy statement (the "Share Issuance Proposal"). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FS KKR Capital Corp | 8/3/2022 | 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, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| TORTOISE ENERGY INDEPENDENCE FUND, INC. | 8/9/2022 | 8914860 20 0 | NDP |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Alexandra A. Herger Election of Director: H. Kevin Birzer | Issuer |
| Mirror Vote | For | 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, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| TORTOISE PWR & ENERGY INFREASTR FUND, INC. | 8/9/2022 | 89147X 10 4 | TPZ |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Alexandra A. Herger Election of Director: H. Kevin Birzer | Issuer |
| Mirror Vote | For | 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, 2022. | Issuer |
| Mirror Vote | Against | 3. To consider and vote on the non-binding Shareholder Proposal relating to a self-tender offer for all outstanding common shares. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Macquarie GBL INFRA TOTAL RET FD INC. | 8/10/2022 | 55608D 10 1 | MGU |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1.Election of Class II Director to serve until the 2025 Annual Meeting: Thomas W. Hunersen | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Delaware Enhanced GBL DIV& INC FD-COM | 8/10/2022 | 246060107 | DEX |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | ELection of Director: Christianna Wood Election of Director: Janet L. Yeomans 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 | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Delaware Enhanced GBL DIV& INC | 8/10/2022 | 246107106 | IVH |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: H. Jeffrey Dobbs Election of Director: F. A. Sevilla-Sacasa Election of Director: Christianna WooD Election of Director: Joseph W. Chow | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| OFS Credit Companyu | 8/16/2022 | 67000Q404 | OCCIN |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. Election of Class I Director to serve until 2025: Bilal Rashid | Issuer |
| Mirror Vote | For | 2. The ratification of the selection of KPMG LLP as our independent registered public accounting firm for the year ending October 31, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30,2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| BNY Mellon High Yield Strategies Fund | 8/16/2022 | 09660L105 | DHF |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Bradley J. Skapyak Election of Director: Roslyn M. Watson Election of Director: Benaree Pratt Wiley | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| CENTER CST BRKFLD MLP & ENGY INFRA COM | 9/9/2022 | 151461209 | CEN |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1.1 Election of Independent Class II Trustee to serve until the third annual meeting: Mr. Edward Kuczmarski | Issuer |
| Mirror Vote | For | 1.2 Election of Independent Class II Trustee to serve until the third annual meeting: Mr. Stuart McFarland | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| DELAWARE INV NATIONAL MUNI INC FD-COM | 9/11/2022 | 24610T108 | VFL |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Jerome D. Abernathy Election of Director: Thomas L. Bennett 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 | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| CION INVESTMENT CORPORATION | 9/15/2022 | 17259U204 | CION |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Edward J. Estrada Election of Director: Peter I. Finlay Election of Director: Earl V. Hedin | Issuer |
| Mirror Vote | For | 2. To approve a proposal to authorize flexibility for the Company, with the approval of the Board, to offer and sell Shares at a price below net asset value ("NAV") during the next 12 months following shareholder approval, subject to certain limitations described in the proxy statement (the "Share Issuance Proposal"). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Neuberger Berman Next Generation Connectivity Fund Inc. | 9/15/2022 | 64133Q108 | NBXG |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. Election of Class II Director: Michael J. Cosgrove | Issuer |
| Mirror Vote | For | 1b. Election of Class II Director: Deborah C. McLean | Issuer |
| Mirror Vote | For | 1c. Election of Class II Director: George W. Morriss | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Neuberger Berman New York Municipal Fund, Inc. | 9/15/2022 | 64124K102 | NBO |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. Election of Class II Director: Michael J. Cosgrove | Issuer |
| Mirror Vote | For | 1b. Election of Class II Director: Deborah C. McLean | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| NEUBERGER BERMAN CALIFORNIA MUNICIPAL FUND INC | 9/15/2022 | 64123C101 | NBW |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. Election of Class II Director: Michael J. Cosgrove | Issuer |
| Mirror Vote | For | 1b. Election of Class II Director: Deborah C. McLean | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| SABA CAPITAL INCOME & OPPORTUNITIES FD | 9/23/2022 | 78518H202 | BRW |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Thomas Bumbolow Election of Director: Karen Caldwell Election of Director: Ketu Desai Election of Director: Kieran Goodwin Election of Director: Aditya Bindal Election of Director: Andrew Kellerman | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| DWS Strategic Municipal Inc Trust | 9/23/2022 | 23342Q101 | KSM |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| 1. Vote Board of Directors: | |||
| Election of Director: Chad D. Perry | |||
| Mirror Vote | For | Election of Director: Catherine Schrand | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| DWS Municipal Income Trust | 9/23/2022 | 233368109 | KTF |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| 1. Vote Board of Directors: | |||
| Election of Director: Chad D. Perry | |||
| Mirror Vote | For | Election of Director: Catherine Schrand | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Vertical Cap Income FD.-SH OF BEN INTR | 9/28/2022 | 92535C104 | VCIF |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| 1. To re-elect Robert J. Boulware as a Trustee of the Fund. | |||
| Mirror | For | Issuer | |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| MFS HIGH YIELD MUNICIPAL TR - COM | 10/6/2022 | 59318E102 | CMU |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| 1. Vote Board of Directors: | |||
| Election of Director: Maureen R. Goldfarb | |||
| Mirror Vote | For | Election of Director: Maryanne L. Roepke | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| MFS INVESTMENT GRADE MUNICIPAL TR - COM | 10/6/2022 | 59318B108 | CXH |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| 1. Vote Board of Directors: | |||
| Election of Director: Maureen R. Goldfarb | |||
| Mirror Vote | For | Election of Director: Maryanne L. Roepke | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| MFS HIGH INCOME MUNICIPAL TR - COM | 10/6/2022 | 59318D104 | CXE |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| 1. Vote Board of Directors: | |||
| Election of Director: Maureen R. Goldfarb | |||
| Mirror Vote | For | Election of Director: Maryanne L. Roepke | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| MFS MUNICIPAL INCOME TR - COM | 10/6/2022 | 552738106 | MFM |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| 1. Vote Board of Directors: | |||
| Election of Director: Maureen R. Goldfarb | |||
| Mirror Vote | For | Election of Director: Maryanne L. Roepke | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Digtal Health Acquisition Corp. | 10/20/2022 | 253893101 | DHAC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Approval of amendment of Certificate of Incorporation to, among other things, extend the date by which the Company has to consummate a business combination for an additional three (3) months, from November 8, 2022 to February 8, 2023 and provide our board of directors the ability to further extend the date by which the Company has to consummate a business combination up to three (3) additional times for three (3) months each time, for a maximum of nine (9) additional months, with payment of any applicable extension fee. | Issuer |
| For | For | 2. Approval of amendment of the Investment Management Trust Agreement, dated as of November 3, 2021, by and between the Company and Continental Stock Transfer & Trust Company, (i) allowing the Company to extend the business combination period from November 8, 2022 to February 8, 2023 and up to three (3) times for an additional three (3) months each time during the period from February 8, 2023 to November 8, 2023 and (ii) updating certain defined terms in the Trust Agreement. | Issuer |
| For | For | 3. Approval of the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Charter Amendment Proposal and Trust Amendment Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Delaware Enhanced GBL DIV& INC | 11/8/2022 | 246107106 | IVH |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. To approve an Agreement and Plan of Reorganization providing for the transfer of all of the assets of Delaware Ivy High Income Opportunities Fund ("IVH") to abrdn Income Credit Strategies Fund (the "Acquiring Fund") in exchange solely for newly issued common shares of beneficial interest of the Acquiring Fund and the assumption by the Acquiring Fund of all or substantially all liabilities of IVH and the distribution of common shares of beneficial interest of the Acquiring Fund to the shareholders of IVH and complete liquidation of IVH. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Macquarie GBL INFRA TOTAL RET FD INC. | 11/8/2022 | 55608D 10 1 | MGU |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. To approve an Agreement and Plan of Reorganization providing for the transfer of all of the assets of Macquarie Global Infrastructure Total Return Fund Inc. ("MGU") to abrdn Global Infrastructure Income Fund (the "Acquiring Fund") in exchange solely for newly issued common shares of beneficial interest of the Acquiring Fund and the assumption by the Acquiring Fund of all or substantially all liabilities of MGU and the distribution of common shares of beneficial interest of the Acquiring Fund to the shareholders of MGU and complete liquidation of MGU. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Delaware Enhanced GBL DIV& INC FD-COM | 11/9/2022; Adjourned to 12/18/2022 | 246060107 | DEX |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. To approve an Agreement and Plan of Reorganization providing for the transfer of all of the assets of Delaware Enhanced Global Dividend and Income Fund ("DEX") to abrdn Global Dynamic Dividend Fund (the "Acquiring Fund") in exchange solely for newly issued common shares of beneficial interest of the Acquiring Fund and the assumption by the Acquiring Fund of all or substantially all liabilities of DEX and the distribution of common shares of beneficial interest of the Acquiring Fund to the shareholders of DEX and complete liquidation of DEX. | Issuer |
| Abstain | None | 2. Shareholder Proposal: RESOLVED: If shareholders of Delaware Enhanced Global Dividend and Income Fund (the Fund) do not approve the proposed merger of the Fund into Abrdn Global Dynamic Dividend Fund ("AGD") at this meeting, they request that the Board of Trustees take steps to cause the Fund to be liquidated or converted to (or merged with) an exchange traded fund (ETF) or an open-end mutual fund. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FORTRESS VALUE ACQUISITION CORP. III | 11/21/2022 | 34964G206 | FVT/U |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Charter Amendment Proposal - To amend the Company's Amended and Restated Certificate of Incorporation by adopting the second amended and restated certificate of incorporation in the form set forth in Annex A of the proxy statement to amend the date by which the Company must cease all operations except for the purpose of winding up if it fails to complete a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2.he Trust Amendment Proposal - To amend the Investment Management Trust Agreement, dated January 4, 2021 (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Trust Company, as trustee ("Continental"), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the proxy statement to change the date on which Continental must commence liquidation of the trust account established in connection with the Company's initial public ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 3. The Adjournment Proposal - To adjourn the Special Meeting to a later date or dates or sine die, if necessary, either (x) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are insufficient votes from the holders of Class A common stock, par value $0.0001 per share, and Class F common stock, par value $0.0001 per share, to approve the Charter Amendment Proposal and/or the Trust Amendment Proposal or (y) if the Company's ...(due to space limits, see proxy material for full proposal). | Issuer |
| Company Name | Meeting Date | CUSIP | Ticker |
| FORTRESS VALUE ACQUISITION CORP. IV | 11/21/2022 | 34964K108 | FVIV |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Charter Amendment Proposal — To amend the Company’s Amended and Restated Certificate of Incorporation by adopting the second amended and restated certificate of incorporation in the form set forth in Annex A of the proxy statement to amend the date by which the Company must cease all operations except for the purpose of winding up if it fails to complete a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses from March 18, 2023 to the later of (x) November 22, 2022 or (y) the date of the effectiveness of the Second Amended and Restated Certificate of Incorporation (the “Amended Termination Date”) (the “Charter Amendment Proposal”). | Issuer |
| For | For | 2. The Trust Amendment Proposal – To amend the Investment Management Trust Agreement, dated March 15, 2021 (the “Trust Agreement”), by and between the Company and Continental Stock Transfer & Trust Company, as trustee (“Continental”), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the proxy statement to change the date on which Continental must commence liquidation of the trust account established in connection with the Company’s initial public offering to the Amended Termination Date (the “Trust Amendment Proposal”). | Issuer |
| For | For | 3.The Adjournment Proposal – To adjourn the Special Meeting to a later date or dates or sine die, if necessary, either (x) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are insufficient votes from the holders of Class A common stock, par value $0.0001 per share, and Class F common stock, par value$0.0001 per share, to approve the Charter Amendment Proposal and/or the Trust Amendment Proposal or (y) if the Company’s board of directors determines before the Special Meeting that it is not necessary or no longer desirable to proceed with the Charter Amendment Proposal and/or the Trust Amendment Proposal | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| AUSTERLITZ ACQUISITION CORP II | 11/21/2022 | G0633U101 | ASZ |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Charter Amendment Proposal: To amend and restate the Company's Memorandum and Articles of Association by adopting the second amended and restated memorandum and articles of association in the form set forth in Annex A of the accompanying proxy statement (the "Second Amended and Restated Memorandum and Articles of Association") to change the date by which the Company must consummate a merger, share exchange, asset acquisition, share purchase, reorganization or similar business ...(due to space limits,see proxy material for full proposal). | Issuer |
| For | For | 2. Trust Amendment Proposal: To amend the Investment Management Trust Agreement, dated March 2, 2021 (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Trust Company, a New York limited purpose trust company, as trustee ("Continental"), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the accompanying proxy statement, to change the date on which Continental must commence liquidation of the trust account established in connection with ...(due to space limits,see proxy material for full proposal). | Issuer |
| For | For | 3. Adjournment Proposal: To adjourn the Shareholder Meeting to a later date or dates or sine die, if necessary, either (x) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Shareholder Meeting, there are insufficient votes from (i) the holders of Class A ordinary shares, par value $0.0001 per share (the "Class A Ordinary Shares"), Class B ordinary shares, par value $0.0001 per share (the "Class B Ordinary Shares"), and the Class C ordinary ...(due to space limits,see proxy material for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| PWP FORWARD ACQUISITION CORP. I | 11/27/2022 | 74709Q101 | FRW |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The First Amendment Proposal - To approve the adoption of an amendment (the "First Amendment") to the Company's Amended and Restated Certificate of Incorporation (the "Charter") as set forth in paragraphs four, six and nine of Annex A of the accompanying proxy statement to change the date (which we refer to as the "Original Termination Date") by which the Company must either (i) consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar ...(due to space limits,see proxy material for full proposal). | Issuer |
| For | For | 2. The Second Amendment Proposal - To approve the adoption of an amendment (the "Second Amendment") to the Charter as set forth in paragraphs five, seven, eight and ten of Annex A of the accompanying proxy statement to eliminate from the Charter the limitation that the Company may not redeem Public Shares to the extent that such redemption would result in the Company having net tangible assets (as determined in accordance with Rule 3a51- 1(g)(1) of the Securities Exchange Act of 1934 (the "Exchange ...(due to space limits,see proxy material for full proposal). | Issuer |
| For | For | 3. The Adjournment Proposal - To approve the adjournment of the Special Meeting from time to time to solicit additional proxies in favor of the Amendment Proposals or if otherwise determined by the chairperson of the Special Meeting to be necessary or appropriate. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| DTRT HEALTH ACQUISITION CORP. | 11/30/2022 | 23344T103 | DTRT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. To amend (the "Extension Amendment") the Company's Amended and Restated Certificate of Incorporation (our "charter") to extend the date by which the Company must consummate a business combination (the "Extension") from December 7, 2022 (the date which is 15 months from the closing date of the Company's initial public offering of our units (the "IPO")) to March 7, 2023 (the date which is 18 months from the closing date of the IPO) (the "Extended Date"). | Issuer |
| For | For | 2. A proposal to approve the adjournment of the special meeting to a later date or dates, if necessary, to permit futher solicitation and vote of proxies in the event that there insufficient votes to approve the Extension Amendment Proposal or if we determine that additional time is necessary to effectuate the Extension. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| DESTRA MULTI-ALTERNATIVE FUND | 12/7/2022 | 25065A502 | DMA |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1.1 Election of Class I Trustee: John S. Emrich - Class I | Issuer |
| Mirror Vote | For | 1.2 Election of Class I Trustee: Michael S. Erickson - Class I | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Z-WORK ACQUISITION CORP. | 12/8/2022 | 98880C102 | ZWRK |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Charter Amendment Proposal - To amend the Company's Amended and Restated Certificate of Incorporation by adopting the second amended and restated certificate of incorporation in the form set forth in Annex A of the proxy statement to amend the date by which the Company must cease all operations except for the purpose of winding up if it fails to complete a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more ...(due to space limits, see proxy material for full proposal). More Details | Issuer |
| For | For | 2. The Trust Amendment Proposal - To amend the Investment Management Trust Agreement, dated January 28, 2021 (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Trust Company, as trustee ("Continental"), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the proxy statement to change the date on which Continental must commence liquidation of the trust account established in connection with the Company's initial public ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 3. The Adjournment Proposal - To adjourn the Special Meeting to a later date or dates or sine die, if necessary, either (x) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are insufficient votes from the holders of Class A common stock, par value $0.0001 per share, and Class B Common Stock, par value $0.0001 per share, to approve the Charter Amendment Proposal and/or the Trust Amendment Proposal or (y) if the Company's ...(due to space limits, see proxy material for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ARBOR RAPHA CAPITAL BIOHOLDINGS CORP. I | 12/8/2022 | 03881F112 | ARCKW |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Proposal - a proposal to amend the Company's Amended and Restated Certificate of Incorporation (the "Certificate of Incorporation") pursuant to an amendment to the Certificate of Incorporation (as set forth in the "first" and "second" sections of Annex A of the accompanying proxy statement). | Issuer |
| For | For | 2. The Redemption Limitation Amendment Proposal - a proposal to amend the Certificate of Incorporation pursuant to an amendment to the Certificate of Incorporation (as set forth in the "third", "fourth", "fifth" and "sixth" sections of Annex A of the accompanying proxy statement). | Issuer |
| For | For | 3. The Adjournment Proposal - A proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Proposal (the "Adjournment Proposal"), which may be presented at the Special Meeting if, based on the tabulated votes, there are not sufficient votes at the time of the Special Meeting to approve the Extension Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| LONGVIEW ACQUISITION CORP II | 12/14/2022 | 54319Q105 (U-204;WS-113) | LGV/U/WS |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Charter Amendment Proposal: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination from March 23, 2023 to September 23, 2023 or such earlier date determined by the Company's board of directors (the "Board') and publicly announced by the Company. | Issuer |
| For | For | 2. Trust Amendment Proposal: Amend the Company's Investment Trust Management Agreement, dated March 18, 2021 (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Trust Company, a New York limited purpose trust company, as trustee ("ContinentaI") to change the date that Continental must commence liquidation of the trust account to the earliest of (i) the Company's completion of an initial business combination, (ii) September 23, 2023, and (iii) such earlier date determined by the Board. | Issuer |
| For | For | 3. Adjournment Proposal: Adjourn the Stockholder Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal l and/or Proposal 2, if the Board determines before the Stockholder Meeting that it is not necessary or no longer desirable to proceed with Proposal 1 and/or Proposal 2, or if otherwise determined by the chairperson of the Stockholder Meeting to be necessary or appropriate. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| GORES HOLDINGS VII, INC. | 12/15/2022 | 38286T101 | GSEV |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. To amend the Company's Amended and Restated Certificate of Incorporation (the "Charter") by adopting an amendment to the Charter in the form set forth in Annex A of the proxy statement (the "Charter Amendment") to accelerate the date by which the Company must cease all operations, except for the purpose of winding up, if it fails to complete a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses, from ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. To amend the Investment Management Trust Agreement, dated February 25, 2021 (the "Trust Agreement"), by and between the Company and Computershare Trust Company, N.A., as trustee ("Computershare"), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the proxy statement, to change the date on which Computershare must commence liquidation of the trust account established in connection with the Company's initial public offering to the Amended Termination Date (the "Trust Amendment Proposal") | Issuer |
| For | For | 3. To allow the chairman of the Special Meeting to adjourn the Special Meeting to a later date or dates, if necessary, for the absence of a quorum, to solicit additional proxies from Company stockholders to approve the Charter Amendment Proposal and/or the Trust Amendment Proposal or to ensure that any supplement or amendment to the accompanying proxy statement/prospectus is timely provided to Company stockholders | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| B. RILEY PRINCIPAL 250 MERGER CORP. | 12/16/2022 | 05602l104 | BRIV |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1a. Election of Class I Director to serve until the annual meeting: Samuel McBride | Issuer |
| For | For | 1b. Election of Class I Director to serve until the annual meeting: Timothy Presutti | Issuer |
| For | For | 2. To ratify the appointment of Marcum LLP as the Company's independent registered public accounting firm for the year ending December 31, 2022. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FIGURE ACQUISITION CORP. I | 12/16/2022 | 302438106 | FACA |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. To amend the Company's Amended and Restated Certificate of Incorporation by adopting the second amended and restated certificate of incorporation in the form set forth in Annex A of the proxy statement to amend the date by which the Company must consummate a Business Combination, from February 23, 2023 to August 23, 2023, or such other earlier date as shall be determined by our Board and publicly announced by the Company. | Issuer |
| For | For | 2. To amend the Investment Management Trust Agreement, dated February 18, 2021 (the Trust Agreement), by and between the Company and Continental Stock Transfer & Trust Company, as trustee (Continental), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the proxy statement to change the date on which Continental must commence liquidation of the trust account established in connection with the Companys initial public offering to the Amended Termination Date (the Trust Agreement Proposal). | Issuer |
| For | For | 3. To adjourn the Special Meeting to a later date or dates or sine die, if necessary, either (x) to permit further solicitation and vote of proxies if there are insufficient votes from the holders of Class A common stock and Class B common stock to approve the Charter Amendment Proposal and/or the Trust Amendment Proposal or (y) if the Company's board of directors determines before the Special Meeting that is not necessary or no longer desirable to proceed with the Charter Amendment Proposal and/or the Trust Amendment Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| EDIFY ACQUISITION CORP. | 12/20/2022 | 28059Q103 | EAC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. EXTENSION AMENDMENT - To amend the Company's Amended and Restated Certificate of Incorporation to allow the Company to extend the date by which the Company must consummate a business combination (as defined below) (the "Extension"). | Issuer |
| For | For | 2. TERMINATION AMENDMENT - To amend the Investment Management Trust Agreement, dated January 14, 2021, by and between the Company and Continental Stock Transfer & Trust Company (the "Trustee"), to allow the Company to extend the date on which the Trustee must liquidate the trust account established by the Company in connection with the IPO (the "trust account"). | Issuer |
| For | For | 3. ADJOURNMENT - To approve the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes to approve the Extension Amendment Proposal or the Trust Amendment Proposal or if the Company determines that additional time is necessary to effectuate the Extension. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| OPY ACQUISITION CORP I | 12/20/2022 | 671005106 | OHAA |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Charter Amendment Proposal: To amend our amended and restated certificate of incorporation (the "charter") to extend the initial period of time by which we have to consummate an initial business combination from April 29, 2023 to October 30, 2023, (the "New Termination Date") pursuant to an amendment in the form set forth in Annex A of the accompanying proxy statement (the "Charter Amendment Proposal"). | Issuer |
| For | For | 2.1 Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Jonathan B. Siegel | Issuer |
| For | For | 2.2 Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: David R. Epstein | Issuer |
| For | For | 2.3 Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Kim D. Blickenstaff | Issuer |
| For | For | 2.4 Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Jonathan B. Fassberg | Issuer |
| For | For | 2.5 Re-election of Director to the Company's Board, such director to serve until the next annual meeting of stockholders following the special meeting or until the election and qualification of their respective successors, subject to their earlier death, resignation or removal: Barbara L. Weber | Issuer |
| For | For | 3. The Adjournment Proposal: To approve one or more adjournments of the special meeting from time to time, if requested by the chairman of the special meeting. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| LANDCADIA HOLDINGS IV, INC. | 12/21/2022 | 51477A104 | LCA |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. To amend (the "Extension Amendment") the Company's Second Amended and Restated Certificate of Incorporation (our "charter") to extend the date by which the Company must consummate a business combination (the "Extension") from March 29, 2023 (the date which is 24 months from the closing date of the Company's initial public offering of our units (the "IPO")) to September 29, 2023 (the date which is 30 months from the closing date of the IPO (such date, the "Extended Date"). | Issuer |
| For | For | 2. To elect Scott Kelly as Class I director of the Company's board of directors, until the third annual meeting of the Company held after the special meeting or until his successor is appointed and qualified. | Issuer |
| For | For | 3. A proposal to approve the adjournment of the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes to approve Proposal 1 or Proposal 2 or if the Company determines that additional time is necessary to effectuate the Extension. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| RELATIVITY ACQUISITION CORP. | 12/21/2022 | 75944B205 | RACY |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Extension Amendment Proposal: Amend the Company's amended and restated certificate of incorporation as proposed in Annex A to the proxy statement to extend the date by which the Company has to consummate a Business Combination from February 15, 2023 to August 15, 2023 (or such earlier date as determined by the Board). | Issuer |
| For | For | 2. Adjournment Proposal: A proposal to approve the adjournment of the Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| GX Acquistion Corp. II | 12/28/2022 | 36260F105 | GXII |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Election of Class I Director to serve until the annual meeting of stockholders of the Company to be held in 2025 or until a successor is elected and qualified or his earlier resignation or removal: Hillel Weinberger | Issuer |
| For | For | 2. Auditor Ratification Proposal: Ratification of the selection of Marcum LLP by the audit committee of the Company's board of directors to serve as the Company's independent registered public accounting firm for the year ending December 31, 20 | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| LEO HOLDINGS CORP II | 1/9/2022 | G5463R102 | LHC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - RESOLVED, as a special resolution that: Article 49.4(a) of Leo's Amended and Restated Memorandum and Articles of Association be deleted in its entirety and replaced with the following new Article 49.4 (a): "In the event that the Company does not consummate a Business Combination upon the date which is the later of (i) 12 April 2023 (or 12 October 2023, if applicable under the provisions of this Article 49.4(a)) and (ii) such later date as may be ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Adjournment Proposal-RESOLVED, as an ordinary resolution, that the adjournment of the Shareholder Meeting to a later date or dates if necessary, (i) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Shareholder Meeting, there are insufficient Class A ordinary shares, par value $0.0001 per share (the "Public Shares") and Class B ordinary shares, par value $0.0001 per share in the capital of Leo 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, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ARES ACQUISITION CORPORATION | 1/24/2023 | G33032106 | AAC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Extension Amendment Proposal - To amend, by way of special resolution, AAC's amended and restated memorandum and articles of association (the "Memorandum and Articles of Association") pursuant to an amendment in the form set forth on Annex A to the accompanying proxy statement to: (i) extend the date by which AAC has to consummate a business combination (the "Charter Extension") from February 4, 2023 to August 4, 2023 (the "Charter Extension Date"), or such earlier date as determined by ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. Redemption Limitation Amendment Proposal - To amend, by way of special resolution, the Memorandum and Articles of Association pursuant to an amendment in the form set forth on Annex A to the accompanying proxy statement to delete: (i) the limitation on share repurchases prior to the consummation of a business combination that would cause AAC's net tangible assets to be less than $5,000,001 following such repurchases; (ii) the limitation that AAC shall not consummate a business combination ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 3. Adjournment Proposal - To adjourn the Shareholder 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 Shareholder Meeting, there are insufficient Class A ordinary shares, par value $0.0001 per share, and Class B ordinary shares, par value $0.0001 per share, in the capital of AAC represented (either in person or by proxy) to constitute a quorum necessary to conduct business at the ...(due to space limits, see proxy material for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30,2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| MURPHY CANYON ACQUISITION CORP | 1/25/2023 | 626642102-626642110 | MURF-MURFW |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. APPROVAL OF AN AMENDMENT TO THE COMPANY'S CERTIFICATE OF INCORPORATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION ON A MONTH-TO-MONTH BASIS UP TO TWELVE (12) TIMES, EACH SUCH EXTENSION FOR AN ADDITIONAL ONE (1) MONTH PERIOD, FROM FEBRUARY 7, 2023, UNTIL FEBRUARY 7, 2024. | Issuer |
| For | For | 2.APPROVAL OF AN AMENDMENT TO THE COMPANY'S INVESTMENT MANAGEMENT TRUST AGREEMENT, DATED AS OF FEBRUARY 2, 2022, TO ALLOW THE COMPANY TO EXTEND THE EXTENDED TERMINATION DATE FROM FEBRUARY 7, 2023, UP TO TWELVE (12) TIMES, EACH SUCH EXTENSION FOR AN ADDITIONAL ONE (1) MONTH PERIOD, UNTIL FEBRUARY 7, 2024, BY DEPOSITING INTO THE TRUST ACCOUNT ONE-THIRD OF 1% OF THE FUNDS REMAINING IN THE TRUST ACCOUNT FOLLOWING REDEMPTIONS MADE IN CONNECTION WITH APPROVAL OF THE EXTENSION AMENDMENT. | Issuer |
| For | For | 3. APPROVAL OF AN AMENDMENT TO THE COMPANY'S AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXPAND THE METHODS THAT THE COMPANY MAY EMPLOY TO NOT BECOME SUBJECT TO THE "PENNY STOCK" RULES OF THE SECURITIES AND EXCHANGE COMMISSION. | Issuer |
| For | For | 4.APPROVAL TO DIRECT THE CHAIRPERSON OF THE SPECIAL MEETING TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE MEETING, THERE ARE NOT SUFFICIENT VOTES TO APPROVE PROPOSALS 1 AND 3. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Nexpoint Diversified Real Estate Trust | 1/30/2023 | 65340G205 | NXDT |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Against | For | 1. To consider and vote upon a Long Term Incentive Plan for the Company's trustees, officers and key employees. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Nexpoint Diversified Real Estate Trust | 1/30/2023 | 65340G304 | NXDT/PA |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Against | For | 1. To consider and vote upon a Long Term Incentive Plan for the Company's trustees, officers and key employees. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| SEAPORT GLOBAL ACQUISITION II CORP. | 2/13/2023 | 81221H105 | SGII |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Extension Amendment Proposal: A proposal to amend the Company's amended and restated certificate of incorporation by allowing us to extend (the "Extension") the date by which we have to consummate a business combination (the "Combination Period") for an additional six (6) months, from February 19, 2023 (the date which is fifteen (15) months from the closing date of our initial public offering of our units (the "IPO") to August 19, 2023, (the "Extended Date"). | Issuer |
| For | For | 2. Trust Amendment Proposal: A proposal to amend the Investment Management Trust Agreement, dated November 17, 2021, (the "Trust Agreement"), by and between the Company and Continental Stock Transfer & Company (the "Trustee"), pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the accompanying proxy statement, to authorize the Extension and its implementation by the Company. | Issuer |
| For | For | 3. Founder Share Amendment Proposal: A proposal to amend the Company's amended and restated certificate of incorporation to provide for the right of a holder of Class B Common Stock of the Company ("Founder Shares") to convert into Class A Common Stock on a one-for-one basis prior to the closing of a business combination at the election of the holder. A copy of the proposed amendment, which we refer to as the "Founder Share Amendment", is set forth in Annex A to the accompanying Proxy Statement. | Issuer |
| For | For | 4. Adjournment Proposal: A proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the forgoing proposals. This proposal will only be presented at the Special Meeting if there are not sufficient votes to approve the Extension Amendment Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| DOUBLELINE YIELD OPPORTUNITIES FUND | 2/23/2023 | 25862d105 | DLY |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| NO VOTE | For | 1. Election of Class III Trustee: John C. Salter | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| TWIN RIDGE CAPITAL ACQUISITION CORP. | 3/6/2023 | G9151L104 | TRCA |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - RESOLVED, as a special resolution that: 1a. Article 49.7 of Twin Ridge's Amended and Restated Memorandum and Articles of Association be deleted in its entirety and replaced with the following new Article 49.7: "In the event that the Company does not consummate a Business Combination upon the date which is the later of (i) 8 June 2023 (or 8 March 2024, if applicable under the provisions of this Article 49.7) and (ii) such later date as may be approved by the ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the Shareholder Meeting to a later date or dates if necessary, (i) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Shareholder Meeting, there are insufficient Class A ordinary shares, par value US$0.0001 per share (the "Public Shares") and Class B ordinary shares, par value US$0.0001 per share in the capital of Twin Ridge represented (either in person or by ...(due to space limits, see proxy material for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| First Eagle Alternative Capital BDC, Inc. | 3/7/2023 | 26943B100 | FCRD |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | 1. To adopt the Agreement and Plan of Merger, dated as of October 3, 2022, by and among Crescent Capital BDC, Inc., Echelon Acquisition Sub, Inc., Echelon Acquisition Sub LLC, FCRD, and Crescent Cap Advisors, LLC, and approve the transactions contemplated thereby, including the Mergers (as defined in the Notice of Special Meeting of Stockholders) (such proposal collectively, the "Merger Proposal"). | Issuer | |
| Mirror Vote | For | 2. To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Special Meeting to approve the Merger Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| LAKESHORE ACQUISITION II CORP | 3/8/2023 | G5352N105 | LBBB |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Proposal - to consider and vote upon a proposal by special resolution to amend the Company's amended and restated memorandum & articles of association adopted by special resolution dated 03/8/2022 & effective on 03/8/2022 (together, the "Existing Charter") to: extend from 03/11/2023 (the "Original Termination Date") to 06/11/2023 (the "Extended Date"), if the Company has not consummated an initial business combination, the Company must: (a) cease all operations except for the purpose of winding up. | Issuer |
| For | For | 2. The Adjournment Proposal - to consider and vote upon a proposal by the following ordinary resolution to approve the adjournment of the General Meeting by the chairman thereof to a later date, if necessary, under certain circumstances, to solicit additional proxies for the purpose of approving the Extension Proposal, to amend the Extension Proposal, or to allow reasonable additional time for the filing or mailing of any supplemental or amended disclosure that the Company has determined in good faith after consultation with outside legal counsel is required. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| GX ACQUISITION CORP. II | 3/15/2023 | 36260F105 | GXII |
| 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 and adopt the Business Combination Agreement, dated September 25, 2022 (as may be amended from time to time, the "Business Combination Agreement"), by and among GX, NioCorp Developments Ltd., a company organized under the laws of the Province of British Columbia ("NioCorp"), and Big Red Merger Sub Ltd, a Delaware Corp. and a direct wholly owned subsidiary of NioCorp ("Merger Sub"), and the transactions contemplated thereby, pursuant to which, among other transactions. | Issuer |
| For | For | 2. The Charter Amendment Proposal - To consider and vote upon a proposal to approve the amendment to the current Amended and Restated Certificate of Incorporation of GX (the "GX Existing Charter"), as of immediately prior to the effective time of the First Merger, to remove the automatic conversion of GX Founder Shares into GX Class A Shares (such amendment, the "GX Charter Amendment"). | Issuer |
| For | For | 3. To approve the following material differences in the proposed updated Amended and Restated Certificate of Incorporation: a non-binding, advisory proposal to increase the number of authorized shares of GX Class A Shares and GX Founder Shares ("Proposal No. 3"). | Issuer |
| For | For | 4. To approve the following material differences in the proposed updated Amended and Restated Certificate of Incorporation: a non-binding, advisory proposal to increase the number of authorized shares of preferred stock of GX ("Proposal No. 4"). | Issuer |
| For | For | 5. To approve the following material differences in the proposed updated Amended and Restated Certificate of Incorporation: a non-binding, advisory proposal to declassify the board of directors from three classes to one class ("Proposal No. 5"). | Issuer |
| For | For | 6. To approve the following material differences in the proposed updated Amended and Restated Certificate of Incorporation: a non-binding, advisory proposal to provide for the election or removal of directors only upon the vote of holders of GX Class A Shares ("Proposal No. 6"). | Issuer |
| For | For | 7. To approve the following material differences in the proposed updated Amended and Restated Certificate of Incorporation: a non-binding, advisory proposal to require the affirmative vote, approval or consent of the holders of a majority of the GX Founder Shares then held by Exchanging Shareholders voting as a separate class, to amend, alter, change or repeal any provision of GX Proposed Charter which affects rights, preferences. | Issuer |
| For | For | 8. To approve the following material differences in the proposed updated Amended and Restated Certificate of Incorporation: a non-binding, advisory proposal to eliminate certain provisions related to the consummation of an initial business combination that will no longer be relevant following the Closing (such as Article IX, which sets forth various provisions related to our operations as a blank check company prior to the consummation of an initial business combination, including with respect to redemptions and the trust account) | Issuer |
| For | For | 9. To approve the following material differences in the proposed updated Amended and Restated Certificate of Incorporation: a non-binding, advisory proposal, conditioned upon the approval of Proposals No. 3 through No. 8, to approve the GX Proposed Charter as a whole, which includes the approval of all other changes in the GX Proposed Charter that will replace the GX Existing Charter, as amended by the GX Charter Amendment, as of the Closing ("Proposal No. 9" and together with Proposals No. 3 through No. 8, the "Charter Proposal"). | Issuer |
| For | For | 10. 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 a vote. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30,2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| GX ACQUISITION CORP. II | 3/20/2023 | 36260F105 | GXII |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. Approval of an amendment to the Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") for an additional three months, from March 22, 2023 (the "Current Termination Date") to June 22, 2023 (the "Extended Termination Date") ("Proposal 1"). | Issuer |
| For | For | 2. Adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FIRST TR DYNAMIC EUROPE EQUITY INC FD | 4/3/2023 | 33740D107 | FDEU |
| Vote | Non-Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1a. ELECTION OF TRUSTEE: PAUL POOLE | Shareholder |
| For | For | 1b. ELECTION OF TRUSTEE: JAKE PAMPINELLA | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FIRST TR DYNAMIC EUROPE EQUITY INC FD | 4/3/2023 | 33740D107 | FDEU |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| No Vote | For | 1.1 Election of Class I Trustee for a three year term: Denise M. Keefe | Issuer |
| No Vote | For | 1.2 Election of Class I Trustee for a three year term: Robert F. Keith | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| EXCELFIN ACQUISITION CORP | 4/13/2023 | 30069X102 | XFIN |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. THE EXTENSION AMENDMENT PROPOSAL - To amend the Company's amended and restated certificate of incorporation to extend the date by with the company must (1) effectuate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or other similar business combination with one or more businesses, (2) cease its operations except for the purpose of winding up if it fails to complete such initial business combination, and (3) redeem 100% of the Company's Class A common stock, from April 25, 2023 to October 25, 2023. | Shareholder |
| For | For | 2. THE ADJOURNMENT PROPOSAL - To approve the adjournment of the Special Meeting to a later date or dates, if necessary (i) 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, (ii) if stockholders have elected to redeem an amount of shares in connection with the Extension Amendment Proposal, such that the Company would not adhere to the continued listing requirements of The Nasdaq Global Market. | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ACCRETION ACQUISITION CORP. | 4/14/2023 | 00438Y107 | ENER |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. EXTENSION AMENDMENT PROPOSAL - To amend the Company's amended & restated certificate of incorporation to extend the date (the Termination Date) by which Company has to consummate a Business Combination (as defined below) from April 25, 2023 ("Original Termination Date") to July 25, 2023 ("Charter Extension Date") & to allow Company, without another stockholder vote, to elect to extend Termination Date to consummate a Business Combination on a monthly basis up to 5 times by an additional 1 month each time after Charter Extension Date, by resolution of Company's board. | Shareholder |
| For | For | 2. ADJOURNMENT PROPOSAL - To adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are insufficient shares of common stock, par value $0.001 per share in the capital of the Company represented (either in person or by proxy) to constitute a quorum necessary to conduct business at the Special Meeting or at the time of the Special Meeting to approve the Extension Amendment Proposal. | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| BLACKSTONE STRATEGIC CREDIT FUND | 4/19/2023 | 09257R101 | BGB |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror | For | 3.1 Election of Trustee: Jane Siebels | Shareholder |
| Mirror | For | 3.2 Election of Trustee: Daniel H. Smith, Jr. | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| NEW AMERICA HIGH INCOME FUND-COMMON | 4/26/2023 | 33740D107 | HYB |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Joseph L. Bower Election of Director: Stuart A. McFarland Election of Director: Marguerite Piret Election of Director: Ellen E. Terry Election of Director: Luis Viceira | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| PHENIXFIN CORPORATION | 4/27/2023 | 71742W103 | PFX |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. Election of Director to hold office for a term of three years: Karin Hirtler-Garvey | Issuer |
| Mirror Vote | For | 1b.Election of Director to hold office for a term of three years: Lowell W. Robinson | Issuer |
| Mirror Vote | For | 2. To ratify the appointment of KPMG LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2023. | Issuer |
| Mirror Vote | For | 3. To provide an advisory vote on executive compensation. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ALTENERGY ACQUISITION CORP. | 4/27/2023 | 02157M108 | AEAE |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. A proposal to amend the Amended and Restated Certificate of Incorporation ("Charter") ("Extension Proposal") by which the Company must (1) consummate a merger, capital stock exchange, asset acquisition, stock purchase, reorganization or similar business combination with one or more businesses ("initial business combination") or (2) cease its operations except for the purpose of winding up if it fails to complete such initial business combination, and redeem all of the Class A common stock. | Issuer |
| For | For | 2. To approve the adjournment of the Special Meeting to a later date or dates if necessary or convenient, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Proposal, which will only be presented at the Special Meeting if, based on tabulated votes, are not sufficient votes at the time of the Special Meeting to approve Extension Proposal, in which case the Adjournment Proposal will be the only proposal presented at the Special Meeting. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| LIV CAPITAL ACQUISITION CORP II | 5/1/2023 | G5510R105 | LIVB |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Proposal - as a special resolution, to amend the Company's Amended and Restated Memorandum and Articles of Association (the "Charter") pursuant to an amendment in the form set forth in Part 1 of Annex A of the accompanying proxy statement. | Issuer |
| For | For | 2. The Founder Share Amendment Proposal - as a special resolution, to amend the Company's Charter in the form set forth in Part 2 of Annex A of the accompanying proxy statement to provide for the right of a holder of Class B ordinary shares of the Company (the "Founder Shares" or the "Class B Ordinary Shares") to convert such Class B Ordinary Shares into Class A ordinary shares (the "Class A Ordinary Shares") on a one-for-one basis prior to the closing of a business combination at the election of the holder (the "Founder Share Amendment Proposal"). | Issuer |
| For | For | 3.The Adjournment Proposal - as an ordinary resolution, to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Proposal ("Adjournment Proposal"), which will only be presented at the Extraordinary General Meeting if, based on the tabulated votes, there are not sufficient votes at the time of Extraordinary General Meeting to approve the Extension Proposal. | Issuer |
| For | For | 4. The Redemption Limitation Amendment Proposal - as a special resolution, to amend the Company's Charter, as provided by the third resolution in the form set forth in Part 3 of Annex A to the accompanying proxy statement (the "Redemption Limitation Amendment" and such proposal, the "Redemption Limitation Amendment Proposal"). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| JUNIPER II CORP. | 5/2/2023 | 48203N103 | JUN |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - to approve the amendment of the Company's amended and restated certificate of incorporation (the "Certificate") pursuant to amendments to the Certificate in the form set forth in paragraphs 5, 6 and 8 of Annex A to the accompanying Proxy Statement (such amendments, collectively, the "Extension Amendment" and, such proposal, the "Extension Amendment Proposal") to extend the date by which the Company must (1) consummate an initial merger, capital stock exchange, ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Redemption Limitation Amendment Proposal - to approve the amendment of the Certificate pursuant to amendments to the Certificate in the form set forth in paragraphs 7, 9, 10 and 11 of Annex A to the accompanying Proxy Statement to eliminate from the Certificate the limitation that the Company may not redeem public shares to the extent that such redemption would result in the Company having net tangible assets (as determined in accordance with Rule 3a51-1(g)(1) of the Securities ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 3. The Auditor Ratification Proposal - to approve and ratify the appointment of Marcum LLP, as the Company's independent accountants for the fiscal years ended December 31, 2021 and December 31, 2022 and ending December 31, 2023. | Issuer |
| For | For | 4. The Adjournment Proposal - to approve the adjournment of the Special Meeting to a later date or dates, if necessary, (to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal Nos. 1, 2, and 3. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| BARINGS BDC, INC. | 5/4/2023 | 06759L103 | BBDC |
| Vote | Management Recommended Vote | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. Election of Class II Director who will serve until 2026 Annual Meeting: Steve Byers | Issuer |
| Mirror Vote | For | 1b. Election of Class II Director who will serve until 2026 Annual Meeting: Valerie Lancaster-Beal | Issuer |
| Mirror Vote | For | 1c. Election of Class II Director who will serve until 2026 Annual Meeting: John A. Switzer | Issuer |
| Mirror Vote | For | 2. To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 30% of its then outstanding common stock immediately prior to each such offering). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| BARINGS BDC, INC. | 5/4/2023 | 06759L103 | BBDC |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror | For | 1. Election of Class II Director who will serve until 2026 Annual Meeting: a. Steve Byers b. Valerie Lancaster-Beal c. John A. Switzer | Shareholder |
| Mirror | For | 2. To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 30% of its then outstanding common stock immediately prior to each such offering). | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| NUVEEN SHORT DURATION CREDIT OPP FD-COM | 5/8/2023 | 67074X107 | JSD |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror | For | 1. To approve an Agreement and Plan of Merger pursuant to which Nuveen Short Duration Credit Opportunities Fund (a "Target Fund") would be merged with and into NFRIF Merger Sub, LLC, a Massachusetts limited liability company and wholly-owned subsidiary of Nuveen Floating Rate Income Fund (the "Acquiring Fund"), with the issued and outstanding common and preferred shares of the Target Fund being converted into newly issued common and preferred shares of the Acquiring Fund. | Shareholder |
| Mirror | For | 2. Vote Board of Directors: Election of Director: Robert L. Young* Election of Director: Amy B. R. Lancellotta# Election of Director: John K. Nelson# Election of Director: Terence J. Toth# | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| NUVEEN Multi-Asset Income | 5/8/2023 | 670750108 | NMAI |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 2. Vote Board of Directors: Election of Director: Robert L. Young* Election of Director: Amy B. R. Lancellotta# Election of Director: John K. Nelson# Election of Director: Terence J. Toth# | Shareholder |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| LAMF GLOBAL VENTURES CORP I | 5/10/2023 | G5338L108 | LGVC |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Proposal - as a special resolution, to amend the Company's Amended and Restated Memorandum and Articles of Association (the "Charter") pursuant to an amendment to the Charter in the form set forth in Annex A of the accompanying proxy statement to extend the date by which the Company must consummate a merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination (a "business combination") from May 16, 2023 (the "Current Outside ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Redemption Limitation Amendment Proposal - as a special resolution, to amend the Charter pursuant to an amendment to the Charter in the form set forth in Annex B of the accompanying proxy statement to eliminate (i) the limitation that the Company may not redeem public shares in an amount that would cause the Company's net tangible assets to be less than $5,000,001 and (ii) the limitation that the Company shall not consummate a business combination unless the Company has net tangible assets ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 3. The Founder Share Amendment Proposal - as a special resolution, to amend the Charter pursuant to an amendment to the Charter in the form set forth in Annex C of the accompanying proxy statement to provide for the right of a holder of the Company's Class B ordinary shares, par value $0.0001 per share (the "Class B Ordinary Shares"), to convert into Class A ordinary shares, par value $0.0001 per share, of the Company (the "Class A Ordinary Shares" or "public shares") on a one-for-one basis ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 4. The Adjournment Proposal - as an ordinary resolution, to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary or convenient, (i) to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Proposal, the Redemption Limitation Amendment Proposal or the Founder Share Amendment Proposal, or if we otherwise determine that additional time is necessary ...(due to space limits, see proxy material for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| CHURCHILL CAPITAL CORP VI | 5/10/2023 | 17143W101 | CCVI |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - To amend the amended and restated certificate of incorporation of Churchill Capital Corp VI ("Churchill") to extend the date by which Churchill has to consummate a business combination (the "Extension"), as more fully set forth in Churchill's proxy statement (the "Extension Amendment Proposal"). | Issuer |
| For | For | 2. The Adjournment Proposal - To adjourn the special meeting of Churchill stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal or if Churchill determines that additional time is necessary to effectuate the Extension. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| CHURCHILL CAPITAL CORP VII | 5/11/2023 | 17144M102 | CVII |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - To amend the amended and restated certificate of incorporation of Churchill Capital Corp VII ("Churchill") to extend the date by which Churchill has to consummate a business combination (the "Extension"), as more fully set forth in Churchill's proxy statement (the "Extension Amendment Proposal"). | Issuer |
| For | For | 2. The Adjournment Proposal - To adjourn the special meeting of Churchill stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal or if Churchill determines that additional time is necessary to effectuate the Extension. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FIFTH WALL ACQUISITION CORP III | 5/17/2023 | G34142102 | FWAC |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - Proposal to approve, as a special resolution, the amendment of the Company's amended and restated memorandum and articles of association (as may be amended from time to time, the "Articles") to extend the date by which the Company must (1) consummate a merger, share exchange, asset acquisition, share purchase, reorganization or similar business combination with one or more businesses or entities (a "business combination") or (2) if it fails to complete such ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Redemption Limitation Amendment Proposal - Proposal to approve, as a special resolution, the amendment of the Articles to eliminate from the Articles the limitation that the Company shall not redeem public shares to the extent that such redemption would cause the Company's net tangible assets to be less than $5,000,001. | Issuer |
| For | For | 3. The Adjournment Proposal - Proposal to approve, as an ordinary resolution, the adjournment of the Extraordinary General Meeting to a later date or dates or indefinitely, if necessary or convenient, either (1) to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the foregoing proposals or (2) if our board determines before the Extraordinary General Meeting that it is not necessary or no longer desirable to proceed with the other proposals. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| PROOF ACQUISITION CORP I | 5/19/2023 | 74349W104 | PACI |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - A proposal (the "Extension Amendment Proposal") to amend the Company's Amended and Restated Certificate of Incorporation (the "Certificate of Incorporation"), as set forth in Annex A of the accompanying Proxy Statement, to change the timing of and payment required to extend the date by which the Company must consummate an initial Business Combination. | Issuer |
| For | For | 2. The Trust Agreement Amendment Proposal - A proposal (the "Trust Agreement Amendment Proposal") to approve the amendment to the Company's Investment Management Trust Agreement, dated as of November 30, 2021, by and between the Company and Continental Stock Transfer & Trust Company, as set forth in Annex B of the accompanying Proxy Statement to allow for the Extension Amendment. | Issuer |
| For | For | 2. The Adjournment Proposal - To adjourn the Special Meeting to a later date or dates, if necessary, either (x) to permit further solicitation and vote of proxies if, based on the tabulated vote at the time of the Special Meeting: (i) there are insufficient shares of Class A common stock and Class B common stock represented to constitute a quorum or (ii) there are insufficient votes to approve the Extension Amendment Proposal and the Trust Agreement Amendment Proposal or (y) if the board determines before the Special Meeting that it is not necessary. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| CUSHING NEXTGEN INFRA INCOME FUND | 5/23/2023 | 231647207 | NXG |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. Vote Board of Directors: Election of Director: Mr. Brian R. Bruce Election of Director: Mr. Ronald P. Trout | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ABERDEEN GLOBAL DYNAMIC DIVIDEND FD COM | 5/25/2023 | 00302M106 | AGD |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1.1 Election of Class III Trustee for a three-year term until the 2026 Annual Meeting: Nancy Yao Maasbach | Issuer |
| For | For | 1.2 Election of Class III Trustee for a three-year term until the 2026 Annual Meeting: Stephen Bird | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ABERDEEN ASIA-PACIFIC INCOME FUND-INC | 5/25/2023 | 003009107 | FAX |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror | For | 1.1 Election of Class II Director for a three-year term until the 2026 Annual Meeting of Shareholders: P. Gerald Malone | Issuer |
| Mirror | For | 2.1 To consider the continuation of the terms of Director under the Fund's Corporate Governance Policies: William J. Potter (Preferred Share Director, 3-year term ending 2024) | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| SURO CAPITAL CORP. | 5/31/2023 | 86887Q109 | SSSS |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. Vote Board of Directors Election of Director: Mark D. Klein Election of Director: Lisa Westley | Issuer |
| For | For | 2. To provide an advisory non-binding vote to approve executive compensation. | Issuer |
| For | 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, 2023. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ROC ENERGY ACQUISITION CORP. | 6/1/2023 | 77118V108 | ROC |
| Vote | Management Recommendation | 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 Agreement and Plan of Merger, dated as of February 13, 2023 (the "Business Combination Agreement"), among ROC, ROC Merger Sub, Inc., a Delaware corporation and a wholly owned subsidiary of ROC ("Merger Sub"), and Drilling Tools International Holdings, Inc., a Delaware corporation ("DTI"), pursuant to which Merger Sub will merge with and into DTI, with DTI surviving merger as a wholly owned subsidiary of ROC & b) approve such merger & other transactions. | Issuer |
| For | For | 2. The Nasdaq Proposal - to consider and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the Nasdaq Global Market, (a) the issuance of up to 23,253,533 shares of common stock, par value $0.0001 per share, of ROC (the "Common Stock") pursuant to the Business Combination Agreement and (b) the issuance and sale of up to 7,042,254 shares of Common Stock in a private offering of securities to certain investors. | Issuer |
| For | For | 3. The Charter Proposal - to consider and vote upon a proposal to approve the proposed amended and restated certificate of incorporation of ROC (the "Proposed Charter"), which will replace ROC's Amended and Restated Certificate of Incorporation, dated December 1, 2021, and will be in effect upon the closing (the "Closing") of the Business Combination. A copy of the Proposed Charter is attached to the accompanying proxy statement/prospectus/consent solicitation statement as Annex B. | Issuer |
| For | For | 4. The Incentive Plan Proposal - to consider and vote upon a proposal to approve the 2023 Omnibus Incentive Plan (the "2023 Plan"), a copy of which is attached to the accompanying proxy statement/prospectus/consent solicitation statement as Annex C, including the authorization of the initial share reserve under the 2023 Plan. The Incentive Plan Proposal is conditioned on the approval of the Business Combination Proposal, the Nasdaq Proposal and the Charter Proposal. | Issuer |
| For | For | 5. The Director Election Proposal - to consider and vote upon a proposal to elect C. Richard Vermillion, Thomas O. Hicks, Wayne Prejean, Eric Neuman, Curt Crofford, Jack Furst and Daniel J. Kimes to serve as directors to serve staggered terms on the board, effective upon the Closing until the 2024, 2025 and 2026 annual meetings, as applicable, or, in each case, until their respective successors are duly elected and qualified. The Director Election Proposal is conditioned on the approval of the Business Combination Proposal. | Issuer |
| For | For | 6.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 Nasdaq Proposal, the Charter Proposal, the Incentive Plan Proposal, or the Director Election Proposal. The Adjournment Proposal is not conditioned on the approval of any other proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| ROC ENERGY ACQUISITION CORP. | 6/1/2023 | 77118V108 | ROC |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Charter Amendment Proposal - a proposal to amend the Company’s amended and restated certificate of incorporation (the “Existing Charter”) in the form set forth in Annex A to the accompanying Proxy Statement (the “Amended Charter”). We refer to this amendment throughout the Proxy Statement as the “Charter Amendment” and such proposal as the “Charter Amendment Proposal.” The Charter Amendment proposes to extend the date by which the Company must consummate a business combination (the “Business Combination”), up to two times, from June 6, 2023 (the “Termination Date”) to August 6, 2023, composed of two one-month extensions (each an “Extension”), for a total of up to two months after the Termination Date (assuming the Company’s Business Combination has not occurred). The end date of each Extension shall be referred to herein as the “Extended Date.” The Charter Amendment additionally proposes that in connection with each Extension, the Sponsor (or its affiliates or permitted designees) agrees to deposit into the trust account (the “Trust Account”) for each of the two one month extensions $0.04 for each Public Share not redeemed in connection with the Charter Amendment Proposal (the “Extension Payment”) until August 6, 2023 (assuming the Company’s Business Combination has not occurred) in exchange for a non-interest bearing, unsecured promissory note payable upon consummation of a Business Combination. | Issuer |
| For | For | 2. Trust Amendment Proposal - a proposal to amend the Investment Management Trust Agreement, dated December 1, 2021, between us and Continental Stock Transfer & Trust Company (“Continental” and such agreement the “Trust Agreement”) pursuant to an amendment in the form set forth in Annex B (the “Trust Amendment”) of the accompanying proxy statement, to change the initial date on which Continental must commence liquidation of the Trust Account to the Extended Date or such later date as may be approved by our stockholders in accordance with the Charter (as may be amended) if a letter of termination under the Trust Agreement is not received by Continental prior to such date (the “Trust Amendment Proposal”). | Issuer |
| For | For | 3. The Adjournment Proposal - a proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Charter Amendment Proposal and the Trust Amendment Proposal, which we refer to as the “Adjournment Proposal.” The Adjournment Proposal will only be presented at the Special Meeting if there are not sufficient votes to approve the Charter Amendment Proposal or the Trust Amendment Proposal. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| BIOPLUS ACQUISITION CORP. | 6/2/2023 | G11217117 | BIOS |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - RESOLVED, as a special resolution, that the Amended and Restated Memorandum of Association and Articles of Association be amended in the form attached to the proxy statement as Annex A, with immediate effect, in order to extend the date by which the Company has to consummate a Business Combination from June 7, 2023 to December 7, 2023 (or such earlier date as determined by the Board). | Issuer |
| For | For | 2. The Founder Share Amendment Proposal - RESOLVED, as a special resolution, that the Amended and Restated Memorandum of Association and Articles of Association be amended in the form attached to the proxy statement as Annex A, with immediate effect, in order to provide for the right of a holder of Class B Ordinary Shares to convert into Class A Ordinary Shares on a one-for-one basis at any time prior to the closing of a Business Combination at the option of a holder of the Class B Ordinary Shares. | Issuer |
| For | For | 3. The Auditor Ratification Proposal - RESOLVED, as an ordinary resolution, that the appointment of WithumSmith+Brown, PC as the independent registered public accounting firm of the Company for the fiscal year ending December 31, 2023 be ratified, approved and confirmed in all respects. | Issuer |
| For | For | 4. The Adjournment Proposal - RESOLVED, as an ordinary resolution, that the adjournment of the extraordinary general meeting in lieu of an annual general meeting to a later date or dates to be determined by the chairman of the extraordinary general meeting in lieu of an annual general meeting, or indefinitely, if necessary or convenient, to permit further solicitation and vote of proxies be confirmed, ratified and approved in all respects. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| BLUE OCEAN ACQUISITION CORP | 6/2/2023 | G1330L105 | BOCN |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1.The Extension Amendment Proposal - Amend the Company's amended and restated memorandum and articles of association to: (a) extend the date by which the Company must (i) consummate an initial business combination; (ii) cease its operations, except for the purpose of winding up, if it fails to complete such initial business combination; and (iii) redeem 100% of the public shares from June 7, 2023 to June 7, 2024, by electing to extend the date to consummate an initial business combination. | Issuer |
| For | For | 2.The Founder Share Amendment Proposal - Amend the Company's amended and restated memorandum and articles of association to permit for the issuance of Class A ordinary shares to holders of Class B ordinary shares upon the exercise of the right of a holder of the Company's Class B ordinary shares to convert such holder's Class B ordinary shares into Class A ordinary shares on a one-for-one basis at any time and from time to time prior to the closing of an initial business combination at the election of the holder. | Issuer |
| For | For | 3. The Adjournment Proposal - Approve the adjournment of the extraordinary general meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Extension Amendment Proposal or the Founder Share Amendment Proposal or if the Board of Directors of the Company determines before the extraordinary general meeting that it is not necessary or no longer desirable to proceed with the other proposals. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| Target Global Acquisition | 6/2/2023 | G8675N109 | TGAA |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Against | For | 1. The Extension Amendment Proposal - To amend, by way of special resolution, the Company’s Articles to extend the date (the “Termination Date”) by which the Company has to consummate a Business Combination (the “Extension Amendment”) from June 13, 2023 (the “Original Termination Date”) to September 13, 2023 (the “Articles Extension Date”) and to allow the Company, without another shareholder vote, to elect to further extend the Termination Date to consummate a Business Combination on a monthly basis for up to six times by an additional one month each time after the Articles Extension Date, by resolution of the Company’s board of directors (the “Board”), if requested by Target Global Sponsor Ltd., a Cayman Islands exempted company limited by shares (the “Sponsor”), and upon two calendar days’ advance notice prior to the applicable Termination Date, until March 13, 2024 (each, an “Additional Articles Extension Date”), or a total of up to nine months after the Original Termination Date, unless the closing of a Business Combination shall have occurred prior thereto as provided by the first resolution in the form set forth in Annex A to the accompanying proxy statement (the “Extension Amendment Proposal”). | Issuer |
| Against | For | 2. The Redemption Limitation Amendment Proposal - To amend, by way of special resolution, the Company’s Articles, as provided by the second resolution in the form set forth in Annex A to the accompanying proxy statement (the “Redemption Limitation Amendment” and such proposal, the “Redemption Limitation Amendment Proposal”) to eliminate from the Articles the limitation that the Company shall not redeem Class A ordinary shares (the “Class A Ordinary Shares”) included as part of the units sold in the IPO (including any shares issued in exchange thereof, the “Public Shares”) to the extent that such redemption would cause the Company’s net tangible assets to be less than $5,000,001 (the “Redemption Limitation”). The Redemption Limitation Amendment would exceed the Redemption Limitation allow the Company to redeem Public Shares irrespective of whether such redemption would exceed the redemption Limitation. | Issuer |
| Against | For | 3. The Founder Conversion Amendment Proposal - To amend, by way of special resolution, the Company's Articles, as provided by the third resolution in the form set forth in Annex A to the accompanying proxy statement (the "Founder Conversion Amendment" and such proposal, the "Founder Conversion Amendment Proposal") to provide that the Class B Ordinary Shares may be converted either at the time of the consummation of the Company's initial Business Combination or at any earlier date at the option of the holders of the Class B Ordinary Shares. | Issuer |
| Against | For | 4. The Trust Amendment Proposal - To amend, by the affirmative vote of at least sixty-five percent (65%) of the votes cast of the then outstanding Class A Ordinary Shares (as defined below) and Class B Ordinary Shares, voting together as a single class, the amendment of that certain investment management trust agreement, dated December 8, 2021 (the “Trust Agreement”), by and between the Company and Continental Stock Transfer & Trust Company, as trustee (“Continental”), as provided by the fourth resolution in the form set forth in Annex A to the proxy statement, to change the date on which Continental must commence liquidation (the “Trust Amendment”) of the trust account established in connection with the IPO (the “Trust Account”) to the earliest of (i) the Company’s completion of a business combination; (ii) the Articles Extension Date and (iii) the Additional Articles Extension Date (the “Trust Amendment Proposal”). | Issuer |
| Against | For | The Adjournment Proposal - To adjourn, by way of ordinary resolution, the Shareholder Meeting to a later date or dates, if necessary, (i) to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Shareholder Meeting, there are insufficient Class A Ordinary Shares, par value $0.0001 per share and Class B Ordinary Shares, par value $0.0001 per share in the capital of the Company represented (either in person or by proxy) to approve the Extension Amendment Proposal, the Redemption Limitation Amendment Proposal, the Founder Conversion Amendment Proposal or the Trust Amendment Proposal, (ii) if the holders of Public Shares have elected to redeem an amount of shares in connection with the Extension Amendment such that the Company would not adhere to the continued listing requirements of the Nasdaq Stock Market LLC (“Nasdaq”), or (iii) if the Board determines before the Shareholder Meeting that it is not necessary or no longer desirable to proceed with the other proposals (the ‘‘Adjournment Proposal’’). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| RICE ACQUISITION CORP II | 6/6/2023 | RICE ACQUISITION CORP II | RONI |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. A proposal (the "Business Combination Proposal") to approve as an ordinary resolution and adopt the Business Combination Agreement, dated as of December 13, 2022 and amended on April 23, 2023 (a copy of which is attached to the proxystatement/prospectus as Annex A-1 and Annex A-2), as further amended, supplemented or otherwise modified from timeto time (the “Business Combination Agreement” and, the transactions contemplated by such agreement, the “Business Combination”), by and among Rice Acquisition Corp. II (“RONI”), Rice Acquisition Holdings II LLC (“RONI Opco”), Topo Buyer Co, LLC (the “Buyer”), Topo Merger Sub, LLC (“Merger Sub”) and NET Power, LLC, (“NET Power”), pursuant to which, among other things, Merger Sub will merge with and into NET Power, with NET Power surviving and becoming a wholly owned direct subsidiary of the Buyer. | Issuer |
| For | For | 2.A proposal (the "Domestication Proposal") to approve as a special resolution that RONI be de-registered in the Cayman Islands pursuant to Article 47 of its articles of association and registered by way of continuation as a corporation under the laws of the state of Delaware (the “Domestication”) pursuant to Part XII of the Companies Act (As Revised) of the Cayman Islands and Section 388 of the Delaware General Corporation Law (the “DGCL”) and, immediately upon being de-registered in the Cayman Islands, RONI be continued and domesticated as a corporation and, conditional upon, and with effect from, the registration of RONI as a corporation in the State of Delaware, the name of RONI be changed from “Rice Acquisition Corp. II” to “NET Power Inc.” | Issuer |
| For | For | 3. A proposal (the "Charter Proposal") to approve as a special resolution that, upon the Domestication, the amended and restated memorandum and articles of association of RONI (“Existing Governing Documents”) be amended and restated by the proposed certificate of incorporation and the proposed bylaws, copies of which are attached to the proxy statement/prospectus as Annex C and Annex D (the “Proposed Governing Documents”), of NET Power Inc. (a corporation incorporated in the State of Delaware, assuming the Domestication Proposal is approved and adopted, and the filing with and acceptance by the Secretary of State of Delaware of the Certificate of Corporate Domestication in accordance with Section 388 of the DGCL), including authorization of the change in authorized share capital as indicated thereinand the change of name of “Rice Acquisition Corp. II” to “NET Power Inc.” in connection with the Business Combination. | Issuer |
| For | For | 4. A proposal (the "Governing Documents Proposal A") to approve as an ordinary resolution the change in the authorized share capital of RONI from $33,100 divided into (i) 300,000,000 Class A ordinary shares of a par value of $0.0001 each, (ii) 30,000,000 Class B ordinary shares of a par value of $0.0001each and (iii) 1,000,000 preference shares of a par value of $0.0001 each to (a) 520,000,000 shares of Class A common stock, par value $0.0001 per share, of NET Power Inc., (b) 310,000,000 shares of Class B common stock, par value $0.0001 per share, of NET Power Inc. and (c) 1,000,000 sharesof preferred stock, par value $0.0001 per share (“NET Power Inc. preferredstock”), of NET Power Inc. | Issuer |
| For | For | 5. A proposal (the "Governing Documents Proposal B") to approve as an ordinary resolution the authorization to the board of directors of NET Power Inc. (the “NET Power Inc. Board”) to issue any or all shares of NET Power Inc. preferred stock, in one or more classes or series, with such terms and conditions as may be expressly determined by the NET Power Inc. Board and as may be permitted by the DGCL. | Issuer |
| For | For | 6. A proposal (the "Governing Documents Proposal C") to approve as an ordinary resolution that the provision that certain provisions of the proposed certificate of incorporation of NET Power Inc. are subject to that certain stockholders’ agreement by and among RONI, RONI Opco, Rice Acquisition Sponsor II LLC and certain entities affiliated with NET Power, pursuant to whichcertain governing rights and obligations of the parties are given. | Issuer |
| For | For | 7. A proposal (the "Governing Documents Proposal D") to approve as an ordinary resolution the removal of the ability of NET Power Inc. stockholders to take action by written consent in lieu of a meeting. | Issuer |
| For | For | 8. A proposal (the "Governing Documents Proposal E") to approve as an ordinary resolution that any director or the entire NET Power Inc. Board may be removed from office, but only for cause and only by the affirmative vote of the holders of a majority of the then-outstanding shares of stock of NET Power Inc. entitled to vote generally for the election of directors. | Issuer |
| For | For | 9. A proposal (the "Governing Documents Proposal F") to approve as an ordinary resolution all other changes necessary or desirable in connection with the replacement of Existing Governing Documents with the Proposed Governing Documents, including (i) changing the post-Business Combination corporate name from “Rice Acquisition Corp. II” to “NET Power Inc.” (which is expected to occur upon the consummation of the Domestication), (ii) making NET Power Inc.’s corporate existence perpetual, (iii) adopting Delaware as the exclusive forum for certain stockholder litigation and the United States District Courts as the exclusive forum for litigation arising out of the federal securities laws, and (iv) removing certain provisions related to our status as a blank check company that will no longer be applicable upon consummation of the Business Combination. | Issuer |
| For | For | 10. Vote Board of Directors: Election of Director: Ralph Alexander Election of Director: Jeff Bennett Election of Director: J. Kyle Derham Election of Director: Fred Forthuber Election of Director: Joseph T. Kelliher Election of Director: Carol Peterson Election of Director: Brad Pollock Election of Director: Daniel Joseph Rice, IV Election of Director: Eunkyung Sung Election of Director: Alejandra Veltmann | Issuer |
| For | For | 11. A proposal (the "NYSE Proposal") to approve as an ordinary resolution, assuming the Business Combination Proposal and the Governing Documents Proposals are approved and adopted, for purposes of complying with the applicable provisions of Section 312.03 of the New York Stock Exchange’s Listed Company Manual, the issuance of more than 20% of common stock in connection with the Business Combination and private placements pursuant to which certain investors have agreed to purchase an aggregate of 49,044,995 newly issued shares of Class A common stock (the “PIPE Financing”). | Issuer |
| For | For | 12. A proposal (the "Incentive Plan Proposal") to approve as an ordinary resolution, the NET Power Inc. 2023 Omnibus Incentive Plan, a copy of which is attached to the proxy statement/prospectus as Annex J. | Issuer |
| For | For | 13. A proposal (the "Adjournment Proposal") to approve as an ordinary resolution the adjournment of the extraordinary general meeting to a later date or dates (i) to the extent necessary to ensure that any required supplement or amendmentto the proxy statement/prospectus is provided to RONI shareholders or, if as of the time for which the extraordinary general meeting is scheduled, there are insufficient RONI ordinary shares represented (either in person or by proxy) to constitute a quorum necessary to conduct business at the extraordinary general meeting, (ii) in order to solicit additional proxies from RONI shareholders in favor of one or more of the proposals at the extraordinary general meeting or (iii) if RONI shareholders have elected to redeem an amount of the Class A shares issued as part of the units in the initial public offering of RONI (the “RONI IPO”) such that the condition to consummation of the Business Combination that the aggregate cash proceeds to be received by RONI from the trust account established at the consummation of the RONI IPO in connection with the Business Combination, together with the aggregate gross proceeds from the PIPE Financing and the Interim Company Financing (as defined in the Business Combination Agreement), and all cash on the consolidated balance sheet of RONI and its subsidiaries, minus transaction expenses (for RONI and for NET Power), minus transaction expenses (for RONI and for NET Power), plus all cash on the consolidated balance sheet of RONI and its subsidiaries in the aggregate, equal no less than $200,000,000 after deducting any amounts paid to RONI shareholders that exercise their redemption rights in connection with the Business Combination would not be satisfied. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| APOLLO TACTICAL INCOME FUND INC. | 6/9/2023 | 037638103 | AIF |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1a. Election of Director: Robert L. Borden | Issuer |
| For | For | 1b. Election of Director: Meredith Coffey | Issuer |
| For | For | 2. To consider and ratify the appointment of Deloitte & Touche LLP as the Fund's independent registered public accounting firm for the fiscal year ending December 31, 2023. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| BATTERY FUTURE ACQUISITION CORP | 6/12/2023 | G0888J108 | BFAC |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Amendment Proposal - "RESOLVED, as a special resolution, that the Articles of Association of BFAC currently in effect be amended and restated by the deletion in their entirety and the substitution in their place of the Second Amended and Restated Articles of Association of BFAC (a copy of which is attached to the proxy statement for this Meeting as Annex A)." | Issuer |
| For | For | 2. The Trust Agreement Amendment Proposal - To approve an amendment to the Company's Investment Management Trust Agreement, dated December 14, 2021, allowing BFAC to (1) extend the Business Combination Period up to twelve times for an additional one month each time, from June 17, 2023 to June 17, 2024, by depositing into the trust account the lesser of (i) $0.03 for each Class A ordinary share not redeemed in connection with the Special Meeting, multiplied by the number of public shares outstanding, and (ii) $250,000. | Issuer |
| For | For | 3. The Adjournment Proposal - To adjourn the special meeting of BFAC shareholders to a later date or dates, if necessary, to permit further solicitation and vote of Proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal or where the board of directors of BFAC has determined it is otherwise necessary or desirable. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| SWIFTMERGE ACQUISITION CORP | 6/12/2023 | G63836103 | IVCP |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Proposal - As a special resolution to amend the Company's amended and restated memorandum and articles of association ("Articles") in the form set forth in Part 1 of Annex A of the accompanying proxy statement to extend the date that the Company has to consummate a business combination from June 17, 2023 to March 15, 2024, Conditional upon the approval of Proposal 2. | Issuer |
| For | For | 2. Amendment of Trust Agreement - Amend the Investment Management Trust Agreement, dated December 17, 2021, by and between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed its initial business combination from June 17, 2023 to March 15, 2024. Proposal 2 is conditioned on the approval of Proposal 1. | Issuer |
| For | For | 3. Founder Share Amendment Proposal - As a special resolution, to amend the Company's Articles pursuant to an amendment in the form set forth in Part 2 of Annex A of the accompanying proxy statement to provide for the right of a holder of the Founder Shares to convert into Class A Ordinary Shares on a one-for-one basis prior to the closing of a business combination at the election of the holder, where the holders of such Shares have waived any right to receive funds from the Trust Account. | Issuer |
| For | For | 4.Adjournment - Adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of Proposal 1 or Proposal 2. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| PEARL HOLDINGS ACQUISITION CORP | 6/12/2023 | G44525106 | PRLH |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Extension Proposal - as a special resolution, to amend the Company's Amended and Restated Memorandum and Articles of Association (the "Charter") as set forth in Annex A of the accompanying proxy statement to extend the date by which the Company must either (i) consummate a merger, share exchange, asset acquisition, share purchase, reorganisation or similar business combination, as further described in the Charter, (an initial "Business Combination") or (ii) cease its operations ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Redemption Limitation Amendment Proposal - as a special resolution, to amend the Company's Charter as set forth in Annex A of the accompanying proxy statement to eliminate from the Charter the limitation that the Company shall not redeem public shares to the extent that such redemption would cause the Company's net tangible assets to be less than US$5,000,001 following such redemptions (the "Redemption Limitation") in order to allow the Company to redeem public shares irrespective ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 3. The Liquidation Amendment Proposal - as a special resolution, to amend the Company's Charter as set forth in Annex A of the accompanying proxy statement to permit the Board, in its sole discretion, to elect to cease all operations on an earlier date (the "Liquidation Amendment" and such proposal, the "Liquidation Amendment Proposal" and, collectively with the Extension Proposal and the Redemption Limitation Amendment Proposal, the "Charter Amendment Proposals"). | Issuer |
| For | For | 4. The Trust Amendment Proposal - a proposal to amend the Company's investment management trust agreement, dated as of December 14, 2021, by and between Continental Stock Transfer & Trust Company ("Continental") and the Company (the "Trust Agreement") pursuant to an amendment to the Trust Agreement in the form set forth in Annex B of the accompanying proxy statement to extend the date by which the Company would be required to consummate our initial Business Combination from the Original Expiration Date, to the ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 5.The Adjournment Proposal - as an ordinary resolution, to approve the adjournment of the Extraordinary General Meeting to a later date or dates, if necessary or convenient, either (i) to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of any of the Charter Amendment Proposals or the Trust Amendment Proposal, which will only be presented at the Extraordinary General Meeting if, based on the tabulated votes, ...(due to space limits, see proxy material for full proposal). | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| NEXPOINT DIVERSIFIED REAL ESTATE TRUST | 6/13/2023 | 65340G205 & 65340G304 | NXDT & NXDTPA |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Withhold | For | 1a. Election of trustee to serve until the 2024 annual meeting of shareholders: James Dondero | Issuer |
| Withhold | For | 1b. Election of trustee to serve until the 2024 annual meeting of shareholders: Brian Mitts | Issuer |
| Withhold | For | 1c. Election of trustee to serve until the 2024 annual meeting of shareholders: Edward Constantino | Issuer |
| Withhold | For | 1d. Election of trustee to serve until the 2024 annual meeting of shareholders: Scott Kavanaugh | Issuer |
| Withhold | For | 1e. Election of trustee to serve until the 2024 annual meeting of shareholders: Arthur Laffer | Issuer |
| Withhold | For | 1f. Election of trustee to serve until the 2024 annual meeting of shareholders: Carol Swain | Issuer |
| Withhold | For | 1g. Election of trustee to serve until the 2024 annual meeting of shareholders: Catherine Wood | Issuer |
| Against | For | 2. To approve the issuance of shares to the Company's adviser as payment of fees under the Advisory Agreement, which may exceed five percent of the common equity or the voting power of the Company prior to such issuance. | Issuer |
| Against | For | 3. To approve in a non-binding, advisory vote, the compensation to our named executive officers. | Issuer |
| 1 YEAR | For | 4. To approve in a non-binding, advisory vote, whether a shareholder vote to approve the compensation of our named executive officers should occur every one, two or three years. | Issuer |
| Abstain | For | 5. To ratify the appointment of KPMG LLP as the Company's independent registered public accounting firm for 2023. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| VERTICAL CAPITAL INCOME FUND | 6/15/2023 | 92535C104 | VCIF |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1a. To elect Mark Garbin as a Trustee of the Fund. | Issuer |
| Mirror Vote | For | 1b. To elect Sanjeev Handa as a Trustee of the Fund. | Issuer |
| Mirror Vote | For | 1c. To elect Joan McCabe as a Trustee of the Fund. | Issuer |
| Mirror Vote | For | 1d. To elect Brian Marcus as a Trustee of the Fund. | Issuer |
| Mirror Vote | For | 1e. To elect Lauren Basmadjian as a Trustee of the Fund. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| VERTICAL CAPITAL INCOME FUND | 6/15/2023 | 92535C104 | VCIF |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 2. To approve an investment advisory agreement between the Fund and a new investment adviser, Carlyle Global Credit Investment Management L.L.C. | Issuer |
| Mirror Vote | For | 3. To approve a change in the Fund's classification from a diversified investment company to a non-diversified investment company. | Issuer |
| Mirror Vote | For | 4. To approve a change in the Fund's industry concentration policy from concentrated in the mortgage-related industry to non-concentrated. | Issuer |
| Mirror Vote | For | 5.To approve a change to the Fund's Declaration of Trust that would increase the shareholder approval threshold in a contested Trustee election to a majority of shares outstanding. | Issuer |
| Mirror Vote | For | 6. To approve a change to the Fund's Declaration of Trust to require shareholders representing at least 10% of shares to join in a derivative action when the demand on the Board is not excused. | Issuer |
| Mirror Vote | For | 7. To approve a change to the Fund's Declaration of Trust to add a Delaware state court exclusive jurisdiction clause. | Issuer |
| Mirror Vote | For | 8. To approve a change to the Fund's Declaration of Trust stating that the Fund may only be dissolved upon approval of at least 80% of the Trustees. | Issuer |
| Mirror Vote | For | 9. To approve certain vote threshold changes to the Declaration of Trust as follows. To approve certain merger or similar transaction conditions such that a merger or similar transactions with a Principal Shareholder shall require approval from a majority of the Trustees then in office and the affirmative vote of at least 75% of the outstanding Shares, excluding the Shares held by a Principal Shareholder party to the proposed transaction. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| SABA CAPITAL INCOME & OPPORTUNITIES FUND | 6/20/2023 | 78518H202 | BRW |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror | For | 1. Vote Board of Directors: Election of Director: Thomas Bumbolow Election of Director: Karen Caldwell Election of Director: Ketu Desai Election of Director: Kieran Goodwin Election of Director: Aditya Bindal Election of Director: Andrew Kellerman | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| MS EMERGING MKTS DOMESTIC DEBT FD, INC. | 6/22/2023 | 617477104 | EDD |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Frances L. Cashman Election of Director: Kathleen A. Dennis Election of Director: Joseph J. Kearns Election of Director: Patricia A. Maleski | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| MS EMERGING MKTS DEBT FD, INC. COM | 6/22/2023 | 61744H105 | MSD |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Frances L. Cashman Election of Director: Kathleen A. Dennis Election of Director: Joseph J. Kearns Election of Director: Patricia A. Maleski | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| PORTMAN RIDGE FINANCE CORPORATION | 6/22/2023 | 73688F201 | PTMN |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1.Vote Board of Directors: Election of Director: Jennifer Kwon Chou Election of Director: Joseph Morea Election of Director: Robert Warshauer | Issuer |
| For | 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, 2023. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| LOGAN RIDGE FINANCE CORPORATION | 6/22/2023 | 541098109 | LRFC |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror Vote | For | 1. Vote Board of Directors: Election of Director: Alexander Duka Election of Director: Robert Warshauer | Issuer |
| Mirror Vote | For | 2. To ratify the selection of Deloitte & Touche LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2023. | Issuer |
| Name of Fund: | High Income Securities Fund. (PCF) | ||
| Period: | July 1, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| FS KKR CAPITAL CORP | 6/23/2023 | 302635206 | FSK |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| Mirror | For | 1. Vote Board of Directors: Election of Director: Michael J. Hagan Election of Director: Jeffrey K. Harrow Election of Director: James H. Kropp Election of Director: Elizabeth J. Sandler | Issuer |
| Mirror | For | 2. To approve a 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, 2022 - June 30, 2023 | ||
| Company Name | Meeting Date | CUSIP | Ticker |
| GOGREEN INVESTMENTS CORP | 6/29/2023 | GOGREEN INVESTMENTS CORP | GOGN |
| Vote | Management Recommendation | Proposal | Propose by issuer or shareholder |
| For | For | 1. The Business Combination Proposal: To consider and vote upon, as an ordinary resolution, a proposal to approve and adopt the business combination described in the proxy statement/prospectus, which proposal shall include approval of each of (a) the merger of GoGreen into Aqua Merger Sub, a Cayman Islands exempted company ("Merger Sub") and wholly owned direct subsidiary of Lifezone Metals Limited, an Isle of Man company ("Lifezone Metals"), with Merger Sub surviving the merger and ...(due to space limits, see proxy material for full proposal). | Issuer |
| For | For | 2. The Merger Proposal: To consider and vote upon, as a special resolution, a proposal to approve and authorize the Plan of Merger (made in accordance with the provisions of Section 233 of the Cayman Companies Act and included as Annex B to the proxy statement/prospectus) and to authorize the Merger of GoGreen with and into Merger Sub with Merger Sub surviving the Merger. | Issuer |
| For | For | 3. The Adjournment Proposal: To consider and vote upon, as an ordinary resolution, a proposal to adjourn the extraordinary general meeting to a later date or dates, to be determined by the chairman of the extraordinary general meeting, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the extraordinary general meeting, there are not sufficient votes to approve one or more proposals presented to shareholders for vote. | Issuer |
