UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY
Investment Company Act file number 811-06495
| | Flaherty & Crumrine Preferred and Income Opportunity Fund Incorporated | |
(Exact name of registrant as specified in charter)
301 E. Colorado Boulevard, Suite 720
Pasadena, CA 91101 |
(Address of principal executive offices) (Zip code)
R. Eric Chadwick
Flaherty & Crumrine Incorporated
301 E. Colorado Boulevard, Suite 720
Pasadena, CA 91101 |
(Name and address of agent for service)
Registrant’s telephone number, including area code:626-795-7300
Date of fiscal year end: November 30
Date of reporting period:July 1, 2018 – June 30, 2019
Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (§§ 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant’s proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.
A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget (“OMB”) control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 450 Fifth Street, NW, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. § 3507.
PROXY VOTING RECORD
FOR PERIOD JULY 1, 2018 TO JUNE 30, 2019
| REGISTRANT NAME: Flaherty & Crumrine Preferred and Income Opportunity Fund Incorporated |
| INVESTMENT COMPANY ACT FILE NUMBER: 811 - 06495 |
| REPORTING PERIOD: | 07/01/2018 - 06/30/2019 |
| REGISTRANT ADDRESS: 301 E. Colorado Boulevard, Suite 720, Pasadena, California 91101 |
| Issuer of Portfolio Security | Exchange Ticker Symbol | CUSIP # | Shareholder Meeting Date | Summary of Matter Voted On | Who Proposed Matter: Issuer / Shareholder | Whether Fund Cast Vote on Matter | Fund’s Vote For or Against Proposal, or Abstain; For or Withhold Regarding Election of Directors | Whether Vote Was For or Against Management |
| FT REAL ESTATE SECS CO | FHN | 302663208 | 5/8/2019 | Approve directors | Issuer | Yes | Withhold | N/A |
| MB FINANCIAL INC | MBFI | 55264U405 | 9/18/2018 | Approve merger of MB Financial with and into Fifth Third Financial | Issuer | Yes | For | For |
| MB FINANCIAL INC | MBFI | 55264U405 | 9/18/2018 | Approve one or more adjournments of the meeting if needed to permit further proxy soliciation in favor of merger proposal | Issuer | Yes | For | For |
| BlackRock Liquidity Fund | TSTXX | 09248U718 | 11/21/2018 | Approve directors | Issuer | Yes | For | For |
| WMI Holdings Corporation | WMIH | 92936P100 | 10/9/2018 | Approve amendment to effect a reverse stock split | Issuer | Yes | For | For |
| WMI Holdings Corporation | WMIH | 92936P100 | 10/9/2018 | Approve an adjournment of the special meeting | Issuer | Yes | For | For |
SIGNATURES
Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.
| Registrant | Flaherty & Crumrine Preferred and Income Opportunity Fund Incorporated |
| By (Signature and Title)* | /s/ R. Eric Chadwick |
| | R. Eric Chadwick, Chief Executive Officer and President
(Principal Executive Officer) |
*Print the name and title of each signing officer under his or her signature.
