UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM N-PX
ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT
COMPANY
INVESTMENT COMPANY ACT FILE NUMBER: 811-21934
NAME OF REGISTRANT: RiverNorth Funds
ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 325 N Lasalle St.
Suite 645
Chicago, IL 60654
NAME AND ADDRESS OF AGENT FOR SERVICE: Marc L. Collins
325 North LaSalle Street,
Suite 645
Chicago, IL 60654
REGISTRANT'S TELEPHONE NUMBER: 312 832 1440
DATE OF FISCAL YEAR END: 09/30
DATE OF REPORTING PERIOD: 07/01/2014 - 06/30/2015
All proxies required to be voted proportionally were done so. Some matters had too few votes for (or
against) a proposal to equal more than 1%
RiverNorth
--------------------------------------------------------------------------------------------------------------------------
DWS HIGH INCOME OPPORTUNITIES FUND, INC Agenda Number: 934060649
--------------------------------------------------------------------------------------------------------------------------
Security: 23339M204
Meeting Type: Annual
Meeting Date: 03-Sep-2014
Ticker: DHG
ISIN: US23339M2044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN W. BALLANTINE Mgmt Split 81% For 19% Withheld Split
DAWN-MARIE DRISCOLL Mgmt Split 81% For 19% Withheld Split
KENNETH C. FROEWISS Mgmt Split 81% For 19% Withheld Split
REBECCA W. RIMEL Mgmt Split 81% For 19% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMERGING MKTS Agenda Number: 934015214
--------------------------------------------------------------------------------------------------------------------------
Security: 617477104
Meeting Type: Annual
Meeting Date: 01-Jul-2014
Ticker: EDD
ISIN: US6174771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KATHLEEN A. DENNIS Mgmt Split 97% For 3% Withheld Split
JOSEPH J. KEARNS Mgmt Split 96% For 4% Withheld Split
MICHAEL E. NUGENT Mgmt Split 97% For 3% Withheld Split
FERGUS REID Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ABERCROMBIE & FITCH CO. Agenda Number: 934228544
--------------------------------------------------------------------------------------------------------------------------
Security: 002896207
Meeting Type: Annual
Meeting Date: 18-Jun-2015
Ticker: ANF
ISIN: US0028962076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JAMES B. BACHMANN Mgmt For For
1B. ELECTION OF DIRECTOR: BONNIE R. BROOKS Mgmt For For
1C. ELECTION OF DIRECTOR: TERRY L. BURMAN Mgmt For For
1D. ELECTION OF DIRECTOR: SARAH M. GALLAGHER Mgmt For For
1E. ELECTION OF DIRECTOR: MICHAEL E. GREENLEES Mgmt For For
1F. ELECTION OF DIRECTOR: ARCHIE M. GRIFFIN Mgmt For For
1G. ELECTION OF DIRECTOR: ARTHUR C. MARTINEZ Mgmt For For
1H. ELECTION OF DIRECTOR: CHARLES R. PERRIN Mgmt For For
1I. ELECTION OF DIRECTOR: STEPHANIE M. SHERN Mgmt For For
1J. ELECTION OF DIRECTOR: CRAIG R. STAPLETON Mgmt For For
2. APPROVAL OF AMENDMENTS TO THE COMPANY'S Mgmt For For
AMENDED AND RESTATED BYLAWS TO IMPLEMENT
"PROXY ACCESS".
3. ADVISORY RESOLUTION TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION.
4. RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING JANUARY 30,
2016.
5. STOCKHOLDER PROPOSAL ON ADOPTION OF A Shr Against For
POLICY REGARDING ACCELERATED VESTING OF
EQUITY AWARDS OF NAMED EXECUTIVE OFFICERS
UPON A CHANGE OF CONTROL, IF THE
STOCKHOLDER PROPOSAL IS PROPERLY PRESENTED
AT THE ANNUAL MEETING.
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 934127881
--------------------------------------------------------------------------------------------------------------------------
Security: 003009107
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: FAX
ISIN: US0030091070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARTIN J. GILBERT Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN FUNDS Agenda Number: 934127918
--------------------------------------------------------------------------------------------------------------------------
Security: 00301T102
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: ETF
ISIN: US00301T1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
STEVEN N. RAPPAPORT Mgmt Split 20% For 80% Withheld Split
ALEXANDER ZAGOREOS Mgmt Split 20% For 80% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ADAMS EXPRESS COMPANY Agenda Number: 934136599
--------------------------------------------------------------------------------------------------------------------------
Security: 006212104
Meeting Type: Annual
Meeting Date: 30-Apr-2015
Ticker: ADX
ISIN: US0062121043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ENRIQUE R. ARZAC Mgmt Split 78% For 22% Withheld Split
PHYLLIS O. BONANNO Mgmt Split 77% For 23% Withheld Split
KENNETH J. DALE Mgmt Split 79% For 21% Withheld Split
FREDERIC A. ESCHERICH Mgmt Split 80% For 20% Withheld Split
ROGER W. GALE Mgmt Split 79% For 21% Withheld Split
KATHLEEN T. MCGAHRAN Mgmt Split 78% For 22% Withheld Split
CRAIG R. SMITH Mgmt Split 80% For 20% Withheld Split
MARK E. STOECKLE Mgmt Split 78% For 22% Withheld Split
2. THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Mgmt Split 90% For 8% Against 2% AbstainSplit
AS INDEPENDENT PUBLIC AUDITORS.
3. TO CONSIDER AND VOTE UPON A PROPOSAL TO Mgmt Split 78% For 19% Against 3% AbstainSplit
AMEND THE COMPANY'S FUNDAMENTAL INVESTMENT
POLICY ON INVESTMENTS IN COMMODITIES OR
COMMODITIES CONTRACTS.
4. TO CONSIDER AND VOTE UPON A PROPOSAL TO Mgmt Split 81% For 16% Against 3% AbstainSplit
APPROVE THE COMPANY PROVIDING INVESTMENT
ADVISORY SERVICES TO OUTSIDE ACCOUNTS.
5. TO CONSIDER AND VOTE UPON, IF PROPERLY Shr Split 34% For 62% Against 4% AbstainSplit
PRESENTED, A STOCKHOLDER PROPOSAL
RECOMMENDING THAT THE BOARD OF DIRECTORS
CONSIDER CAUSING THE COMPANY TO CONDUCT A
SELF- TENDER OFFER FOR ALL OF ITS
OUTSTANDING COMMON SHARES.
--------------------------------------------------------------------------------------------------------------------------
ADVENT/CLAYMORE ENHANCED FUND Agenda Number: 934073189
--------------------------------------------------------------------------------------------------------------------------
Security: 00765E104
Meeting Type: Annual
Meeting Date: 30-Sep-2014
Ticker: LCM
ISIN: US00765E1047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: MR. MICHAEL A. Mgmt Split 95% For 2% Against 3% AbstainSplit
SMART
1B. ELECTION OF CLASS I TRUSTEE: MR. DANIEL L. Mgmt Split 95% For 2% Against 3% AbstainSplit
BLACK
--------------------------------------------------------------------------------------------------------------------------
ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD Agenda Number: 934138733
--------------------------------------------------------------------------------------------------------------------------
Security: 01879R106
Meeting Type: Annual
Meeting Date: 30-Mar-2015
Ticker: AWF
ISIN: US01879R1068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARSHALL C. TURNER, JR. Mgmt Split 97% For 3% Withheld Split
GARRY L. MOODY Mgmt Split 97% For 3% Withheld Split
EARL D. WEINER Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ALLIANCEBERNSTEIN INCOME FUND, INC. Agenda Number: 934138430
--------------------------------------------------------------------------------------------------------------------------
Security: 01881E101
Meeting Type: Annual
Meeting Date: 16-Apr-2015
Ticker: ACG
ISIN: US01881E1010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARSHALL C. TURNER, JR. Mgmt Split 79% For 21% Withheld Split
GARRY L. MOODY Mgmt Split 79% For 21% Withheld Split
EARL D. WEINER Mgmt Split 79% For 21% Withheld Split
2. TO APPROVE, IF PROPERLY PRESENTED, ONE Shr Split 51% For 47% Against 2% AbstainSplit
NONBINDING STOCKHOLDER PROPOSAL.
--------------------------------------------------------------------------------------------------------------------------
ALLIANZGI Agenda Number: 934050028
--------------------------------------------------------------------------------------------------------------------------
Security: 018829101
Meeting Type: Annual
Meeting Date: 31-Jul-2014
Ticker: NIE
ISIN: US0188291019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ALAN RAPPAPORT Mgmt Split 87% For 13% Withheld Split
HANS W. KERTESS Mgmt Split 87% For 13% Withheld Split
WILLIAM B. OGDEN, IV Mgmt Split 87% For 13% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ALLIANZGI Agenda Number: 934216917
--------------------------------------------------------------------------------------------------------------------------
Security: 018829101
Meeting Type: Annual
Meeting Date: 02-Jun-2015
Ticker: NIE
ISIN: US0188291019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JAMES A. JACOBSON# Mgmt Split 88% For 12% Withheld Split
F. FORD DRUMMOND# Mgmt Split 89% For 11% Withheld Split
DAVEY S. SCOON* Mgmt Split 88% For 12% Withheld Split
JAMES S. MACLEOD# Mgmt Split 88% For 12% Withheld Split
JULIAN SLUYTERS# Mgmt Split 89% For 11% Withheld Split
SUSAN M. KING@ Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ALPINE GLOBAL PREMIER PPTYS FD Agenda Number: 934177254
--------------------------------------------------------------------------------------------------------------------------
Security: 021060207
Meeting Type: Annual
Meeting Date: 20-May-2015
Ticker: AOD
ISIN: US0210602076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SAMUEL A. LIEBER Mgmt Split 96% For 4% Withheld Split
2. TO TRANSACT SUCH OTHER BUSINESS AS MAY Mgmt Split 43% For 56% Against 1% AbstainSplit
PROPERLY COME BEFORE THE MEETING OR ANY
ADJOURNMENTS THEREOF.
--------------------------------------------------------------------------------------------------------------------------
AMERICAN CAPITAL, LTD. Agenda Number: 934136727
--------------------------------------------------------------------------------------------------------------------------
Security: 02503Y103
Meeting Type: Annual
Meeting Date: 24-Apr-2015
Ticker: ACAS
ISIN: US02503Y1038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: MARY C. BASKIN Mgmt Split 88% For 7% Against 5% AbstainSplit
1B ELECTION OF DIRECTOR: NEIL M. HAHL Mgmt Split 88% For 8% Against 4% AbstainSplit
1C ELECTION OF DIRECTOR: PHILIP R. HARPER Mgmt Split 87% For 8% Against 5% AbstainSplit
1D ELECTION OF DIRECTOR: STAN LUNDINE Mgmt Split 87% For 8% Against 5% AbstainSplit
1E ELECTION OF DIRECTOR: KRISTEN L. MANOS Mgmt Split 93% For 3% Against 4% AbstainSplit
1F ELECTION OF DIRECTOR: SUSAN K. NESTEGARD Mgmt Split 94% For 1% Against 5% AbstainSplit
1G ELECTION OF DIRECTOR: KENNETH D. PETERSON Mgmt Split 88% For 7% Against 5% AbstainSplit
1H ELECTION OF DIRECTOR: ALVIN N. PURYEAR Mgmt Split 87% For 8% Against 5% AbstainSplit
1I ELECTION OF DIRECTOR: MALON WILKUS Mgmt Split 92% For 4% Against 4% AbstainSplit
2. APPROVAL OF THE AMERICAN CAPITAL, LTD. Mgmt Split 88% For 11% Against 1% AbstainSplit
EMPLOYEE CASH INCENTIVE PLAN.
3. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt Split 98% For 1% Against 1% AbstainSplit
YOUNG LLP TO SERVE AS OUR INDEPENDENT
PUBLIC ACCOUNTANT FOR THE YEAR ENDING
DECEMBER 31, 2015.
--------------------------------------------------------------------------------------------------------------------------
AMERICAN SELECT PORTFOLIO INC. Agenda Number: 934056549
--------------------------------------------------------------------------------------------------------------------------
Security: 029570N11
Meeting Type: Annual
Meeting Date: 15-Aug-2014
Ticker:
ISIN:
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROGER A. GIBSON Mgmt Split 97% For 3% Withheld Split
JOHN P. KAYSER Mgmt Split 97% For 3% Withheld Split
LEONARD W. KEDROWSKI Mgmt Split 97% For 3% Withheld Split
RICHARD K. RIEDERER Mgmt Split 97% For 3% Withheld Split
JAMES M. WADE Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
AMERICAN SELECT PORTFOLIO INC. Agenda Number: 934056537
--------------------------------------------------------------------------------------------------------------------------
Security: 029570108
Meeting Type: Annual
Meeting Date: 15-Aug-2014
Ticker: SLA
ISIN: US0295701082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN AGREEMENT AND PLAN OF MERGER Mgmt Split 96% For 3% Against 1% AbstainSplit
PURSUANT TO WHICH EACH TARGET FUND WILL
MERGE WITH AND INTO DRAIF MERGER SUB, LLC,
A MASSACHUSETTS LIMITED LIABILITY COMPANY
AND A WHOLLY-OWNED SUBSIDIARY OF
DIVERSIFIED REAL ASSET INCOME FUND, A NEWLY
ORGANIZED MASSACHUSETTS BUSINESS TRUST (THE
"ACQUIRING FUND"), ... (DUE TO SPACE
LIMITS, SEE PROXY STATEMENT FOR FULL
PROPOSAL)
2.A TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 96% For 3% Against 1% AbstainSplit
BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC.
AND NUVEEN FUND ADVISORS, LLC.
2.B TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 96% For 3% Against 1% AbstainSplit
BETWEEN U.S. BANCORP ASSET MANAGEMENT, INC.
AND NUVEEN ASSET MANAGEMENT, LLC.
--------------------------------------------------------------------------------------------------------------------------
APOLLO SENIOR FLOATING RATE, INC. Agenda Number: 934163748
--------------------------------------------------------------------------------------------------------------------------
Security: 037638103
Meeting Type: Annual
Meeting Date: 12-May-2015
Ticker: AIF
ISIN: US0376381036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BARRY COHEN Mgmt Split 99% For 1% Withheld Split
ELLIOT STEIN, JR. Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
APPLE INC. Agenda Number: 934118983
--------------------------------------------------------------------------------------------------------------------------
Security: 037833100
Meeting Type: Annual
Meeting Date: 10-Mar-2015
Ticker: AAPL
ISIN: US0378331005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: TIM COOK Mgmt For For
1B. ELECTION OF DIRECTOR: AL GORE Mgmt For For
1C. ELECTION OF DIRECTOR: BOB IGER Mgmt For For
1D. ELECTION OF DIRECTOR: ANDREA JUNG Mgmt For For
1E. ELECTION OF DIRECTOR: ART LEVINSON Mgmt For For
1F. ELECTION OF DIRECTOR: RON SUGAR Mgmt For For
1G. ELECTION OF DIRECTOR: SUE WAGNER Mgmt For For
2. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS THE COMPANY'S INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM FOR 2015
3. AN ADVISORY RESOLUTION TO APPROVE EXECUTIVE Mgmt For For
COMPENSATION
4. THE AMENDMENT OF THE APPLE INC. EMPLOYEE Mgmt For For
STOCK PURCHASE PLAN
5. A SHAREHOLDER PROPOSAL BY THE NATIONAL Shr Against For
CENTER FOR PUBLIC POLICY RESEARCH ENTITLED
"RISK REPORT"
6. A SHAREHOLDER PROPOSAL BY MR. JAMES Shr Against For
MCRITCHIE AND MR. JOHN HARRINGTON ENTITLED
"PROXY ACCESS FOR SHAREHOLDERS"
--------------------------------------------------------------------------------------------------------------------------
ARCH COAL, INC. Agenda Number: 934150967
--------------------------------------------------------------------------------------------------------------------------
Security: 039380100
Meeting Type: Annual
Meeting Date: 23-Apr-2015
Ticker: ACI
ISIN: US0393801008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: GOVERNOR DAVID D. Mgmt For For
FREUDENTHAL
1B. ELECTION OF DIRECTOR: PATRICIA F. GODLEY Mgmt For For
1C. ELECTION OF DIRECTOR: JAMES A. SABALA Mgmt For For
1D. ELECTION OF DIRECTOR: WESLEY M. TAYLOR Mgmt For For
1E. ELECTION OF DIRECTOR: PETER I. WOLD Mgmt For For
2. ADVISORY APPROVAL OF THE COMPANY'S NAMED Mgmt For For
EXECUTIVE OFFICER COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For
YOUNG, LLP AS INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING
DECEMBER 31, 2015.
4. AUTHORIZE THE BOARD OF DIRECTORS OF THE Mgmt For For
COMPANY TO EFFECT, IN ITS DISCRETION, A
REVERSE STOCK SPLIT OF THE OUTSTANDING AND
TREASURY SHARES OF COMMON STOCK OF ARCH
COAL, INC. AT A REVERSE STOCK SPLIT RATIO
OF EITHER 1-FOR-5 OR 1-FOR-10, AS
DETERMINED BY THE BOARD OF DIRECTORS AND
APPROVE A CORRESPONDING AMENDMENT TO THE
COMPANY'S RESTATED CERTIFICATE OF
INCORPORATION, SUBJECT TO THE BOARD OF
DIRECTOR'S AUTHORITY TO ABANDON SUCH
AMENDMENT.
5. STOCKHOLDER PROPOSAL: PROXY ACCESS Shr Against For
PROVISION.
--------------------------------------------------------------------------------------------------------------------------
AVENUE INCOME CREDIT STRATEGIES FUND Agenda Number: 934185201
--------------------------------------------------------------------------------------------------------------------------
Security: 05358E106
Meeting Type: Annual
Meeting Date: 14-May-2015
Ticker: ACP
ISIN: US05358E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
DARREN THOMPSON Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BANCROFT FUND LTD. Agenda Number: 934114909
--------------------------------------------------------------------------------------------------------------------------
Security: 059695106
Meeting Type: Annual
Meeting Date: 09-Feb-2015
Ticker: BCV
ISIN: US0596951063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KINCHEN C. BIZZELL Mgmt Split 98% For 2% Withheld Split
ELIZABETH C. BOGAN, PHD Mgmt Split 98% For 2% Withheld Split
2. PROPOSAL TO RATIFY SELECTION OF Mgmt Split 98% For 1% Against 1% AbstainSplit
ACCOUNTANTS.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK Agenda Number: 934047324
--------------------------------------------------------------------------------------------------------------------------
Security: 09255Q105
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: BHL
ISIN: US09255Q1058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 99% For 1% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 99% For 1% Withheld Split
R. GLENN HUBBARD Mgmt Split 99% For 1% Withheld Split
W. CARL KESTER Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK Agenda Number: 934047324
--------------------------------------------------------------------------------------------------------------------------
Security: 09258A107
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: BIT
ISIN: US09258A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 99% For 1% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 99% For 1% Withheld Split
R. GLENN HUBBARD Mgmt Split 99% For 1% Withheld Split
W. CARL KESTER Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK CORPORATE HIGH YIELD FD VI INC Agenda Number: 934046726
--------------------------------------------------------------------------------------------------------------------------
Security: 09255P107
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: HYT
ISIN: US09255P1075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 98% For 2% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 77% For 23% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
FRANK J. FABOZZI Mgmt Split 77% For 23% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 98% For 2% Withheld Split
JAMES T. FLYNN Mgmt Split 77% For 23% Withheld Split
HENRY GABBAY Mgmt Split 98% For 2% Withheld Split
JERROLD B. HARRIS Mgmt Split 98% For 2% Withheld Split
R. GLENN HUBBARD Mgmt Split 98% For 2% Withheld Split
W. CARL KESTER Mgmt Split 77% For 23% Withheld Split
KAREN P. ROBARDS Mgmt Split 77% For 23% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 934046726
--------------------------------------------------------------------------------------------------------------------------
Security: 09255R103
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: DSU
ISIN: US09255R1032
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 99% For 1% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 99% For 1% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 99% For 1% Withheld Split
FRANK J. FABOZZI Mgmt Split 99% For 1% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 98% For 2% Withheld Split
JAMES T. FLYNN Mgmt Split 98% For 2% Withheld Split
HENRY GABBAY Mgmt Split 99% For 1% Withheld Split
JERROLD B. HARRIS Mgmt Split 98% For 2% Withheld Split
R. GLENN HUBBARD Mgmt Split 98% For 2% Withheld Split
W. CARL KESTER Mgmt Split 99% For 1% Withheld Split
KAREN P. ROBARDS Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK ENHANCED DIVID ACHIEVERS TR Agenda Number: 934047324
--------------------------------------------------------------------------------------------------------------------------
Security: 09251A104
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: BDJ
ISIN: US09251A1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 86% For 14% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 86% For 14% Withheld Split
R. GLENN HUBBARD Mgmt Split 86% For 14% Withheld Split
W. CARL KESTER Mgmt Split 86% For 14% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK FLTING RT INCOME STRA FD INC Agenda Number: 934046726
--------------------------------------------------------------------------------------------------------------------------
Security: 09255X100
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: FRA
ISIN: US09255X1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 98% For 2% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 97% For 3% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 98% For 2% Withheld Split
FRANK J. FABOZZI Mgmt Split 98% For 2% Withheld Split
KATHLEEN F. FELDSTEIN Mgmt Split 97% For 3% Withheld Split
JAMES T. FLYNN Mgmt Split 97% For 3% Withheld Split
HENRY GABBAY Mgmt Split 98% For 2% Withheld Split
JERROLD B. HARRIS Mgmt Split 97% For 3% Withheld Split
R. GLENN HUBBARD Mgmt Split 97% For 3% Withheld Split
W. CARL KESTER Mgmt Split 97% For 3% Withheld Split
KAREN P. ROBARDS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR Agenda Number: 934047324
--------------------------------------------------------------------------------------------------------------------------
Security: 092501105
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: BOE
ISIN: US0925011050
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 98% For 2% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 98% For 2% Withheld Split
R. GLENN HUBBARD Mgmt Split 98% For 2% Withheld Split
W. CARL KESTER Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK INTL GROWTH & INCOME Agenda Number: 934047324
--------------------------------------------------------------------------------------------------------------------------
Security: 092524107
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: BGY
ISIN: US0925241079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 91% For 9% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 91% For 9% Withheld Split
R. GLENN HUBBARD Mgmt Split 91% For 9% Withheld Split
W. CARL KESTER Mgmt Split 91% For 9% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MUNICIPAL TARGET Agenda Number: 934047918
--------------------------------------------------------------------------------------------------------------------------
Security: 09257P105
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: BTT
ISIN: US09257P1057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 97% For 3% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 97% For 3% Withheld Split
R. GLENN HUBBARD Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK PREFERRED & EQUITY ADVANTAGE Agenda Number: 934047324
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Annual
Meeting Date: 30-Jul-2014
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL L. AUDET Mgmt Split 96% For 4% Withheld Split
MICHAEL J. CASTELLANO Mgmt Split 96% For 4% Withheld Split
R. GLENN HUBBARD Mgmt Split 96% For 4% Withheld Split
W. CARL KESTER Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKSTONE FUNDS Agenda Number: 934139482
--------------------------------------------------------------------------------------------------------------------------
Security: 09256U105
Meeting Type: Annual
Meeting Date: 22-Apr-2015
Ticker: BSL
ISIN: US09256U1051
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS W. JASPER Mgmt Split 98% For 2% Withheld Split
GARY S. SCHPERO Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKSTONE FUNDS Agenda Number: 934139470
--------------------------------------------------------------------------------------------------------------------------
Security: 09257D102
Meeting Type: Annual
Meeting Date: 22-Apr-2015
Ticker: BGX
ISIN: US09257D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS W. JASPER Mgmt Split 82% For 18% Withheld Split
GARY S. SCHPERO Mgmt Split 82% For 18% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKSTONE FUNDS Agenda Number: 934139494
--------------------------------------------------------------------------------------------------------------------------
Security: 09257R101
Meeting Type: Annual
Meeting Date: 22-Apr-2015
Ticker: BGB
ISIN: US09257R1014
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS W. JASPER Mgmt Split 83% For 17% Withheld Split
GARY S. SCHPERO Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 934089764
--------------------------------------------------------------------------------------------------------------------------
Security: 101507101
Meeting Type: Special
Meeting Date: 14-Nov-2014
Ticker: BIF
ISIN: US1015071012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
5 TO APPROVE THE ISSUANCE OF ADDITIONAL Mgmt Split 99% For 1% Against Split
COMMON SHARES OF BOULDER GROWTH & INCOME
FUND, INC. IN CONNECTION WITH THE
REORGANIZATIONS PURSUANT TO AN AGREEMENT
AND PLAN OF REORGANIZATION AMONG BOULDER
GROWTH & INCOME FUND, INC., BOULDER TOTAL
RETURN FUND, INC., THE DENALI FUND INC. AND
FIRST OPPORTUNITY FUND, INC. (THE
"REORGANIZATIONS").
6 TO APPROVE THE ELIMINATION OF A FUNDAMENTAL Mgmt Split 97% For 3% Against Split
INVESTMENT POLICY LIMITING THE ABILITY TO
INVEST MORE THAN 4% OF TOTAL ASSETS IN ANY
SINGLE ISSUER.
7 TO APPROVE A NEW INVESTMENT ADVISORY Mgmt Split 99% For 1% Against Split
AGREEMENT BETWEEN BOULDER GROWTH & INCOME
FUND, INC. AND ROCKY MOUNTAIN ADVISERS,
LLC, EFFECTIVE UPON COMPLETION OF THE
REORGANIZATIONS, AND PURSUANT TO WHICH
ROCKY MOUNTAIN ADVISERS, LLC WILL PROVIDE
INVESTMENT ADVISORY SERVICES AS A
CO-INVESTMENT ADVISER.
8 TO APPROVE A NEW INVESTMENT ADVISORY Mgmt Split 99% For 1% Against Split
AGREEMENT BETWEEN BOULDER GROWTH & INCOME
FUND, INC. AND STEWART WEST INDIES TRADING
COMPANY, LTD. (DOING BUSINESS AS STEWART
INVESTMENT ADVISERS), EFFECTIVE UPON
COMPLETION OF THE REORGANIZATIONS, AND
PURSUANT TO WHICH STEWART INVESTMENT
ADVISERS WILL PROVIDE INVESTMENT ADVISORY
SERVICES AS A CO-INVESTMENT ADVISER.
9 TO APPROVE A MOTION TO ADJOURN OR POSTPONE Mgmt Split 98% For 2% Against Split
THE SPECIAL MEETING TO ANOTHER TIME AND/OR
PLACE FOR THE PURPOSE OF SOLICITING
ADDITIONAL PROXIES IN FAVOR OF THE
PROPOSALS TO BE SUBMITTED AT THE SPECIAL
MEETING, IF NECESSARY.
--------------------------------------------------------------------------------------------------------------------------
BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 934092317
--------------------------------------------------------------------------------------------------------------------------
Security: 101507101
Meeting Type: Annual
Meeting Date: 21-Nov-2014
Ticker: BIF
ISIN: US1015071012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
STEPHEN C. MILLER* Mgmt Split 92% For 8% Withheld Split
JOEL W. LOONEY# Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BOULDER TOTAL RETURN FUND, INC. Agenda Number: 934089776
--------------------------------------------------------------------------------------------------------------------------
Security: 101541100
Meeting Type: Special
Meeting Date: 14-Nov-2014
Ticker: BTF
ISIN: US1015411002
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3 TO APPROVE AN AGREEMENT AND PLAN OF Mgmt Split 99% For 1% Against Split
REORGANIZATION PURSUANT TO WHICH BOULDER
TOTAL RETURN FUND, INC. WOULD TRANSFER ALL
OF ITS ASSETS TO BOULDER GROWTH & INCOME
FUND, INC. IN EXCHANGE FOR SHARES OF
BOULDER GROWTH & INCOME FUND, INC., AND THE
ASSUMPTION BY BOULDER GROWTH & INCOME FUND,
INC. OF ALL OF THE LIABILITIES OF BOULDER
TOTAL RETURN FUND, INC.
9 TO APPROVE A MOTION TO ADJOURN OR POSTPONE Mgmt Split 98% For 1% Against 1% AbstainSplit
THE SPECIAL MEETING TO ANOTHER TIME AND/OR
PLACE FOR THE PURPOSE OF SOLICITING
ADDITIONAL PROXIES IN FAVOR OF THE
PROPOSALS TO BE SUBMITTED AT THE SPECIAL
MEETING, IF NECESSARY.
--------------------------------------------------------------------------------------------------------------------------
BROOKFIELD FUND Agenda Number: 934090109
--------------------------------------------------------------------------------------------------------------------------
Security: 11272P102
Meeting Type: Annual
Meeting Date: 20-Nov-2014
Ticker: HHY
ISIN: US11272P1021
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LOUIS P. SALVATORE Mgmt Split 96% For 4% Withheld Split
JONATHAN C. TYRAS Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BROOKFIELD FUND Agenda Number: 934122362
--------------------------------------------------------------------------------------------------------------------------
Security: 11272P102
Meeting Type: Annual
Meeting Date: 25-Feb-2015
Ticker: HHY
ISIN: US11272P1021
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EDWARD A. KUCZMARSKI Mgmt Split 92% For 8% Withheld Split
STUART A. MCFARLAND Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CAMPBELL SOUP COMPANY Agenda Number: 934083522
--------------------------------------------------------------------------------------------------------------------------
Security: 134429109
Meeting Type: Annual
Meeting Date: 19-Nov-2014
Ticker: CPB
ISIN: US1344291091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
PAUL R. CHARRON Mgmt For For
BENNETT DORRANCE Mgmt For For
LAWRENCE C. KARLSON Mgmt For For
RANDALL W. LARRIMORE Mgmt For For
MARC B. LAUTENBACH Mgmt For For
MARY ALICE D. MALONE Mgmt For For
SARA MATHEW Mgmt For For
DENISE M. MORRISON Mgmt For For
CHARLES R. PERRIN Mgmt For For
A. BARRY RAND Mgmt For For
NICK SHREIBER Mgmt For For
TRACEY T. TRAVIS Mgmt For For
ARCHBOLD D. VAN BEUREN Mgmt For For
LES C. VINNEY Mgmt For For
2 RATIFY APPOINTMENT OF INDEPENDENT Mgmt For For
REGISTERED PUBLIC ACCOUNTING FIRM
3 CONDUCT AN ADVISORY VOTE ON EXECUTIVE Mgmt For For
COMPENSATION.
4 RE-APPROVE THE CAMPBELL SOUP COMPANY ANNUAL Mgmt For For
INCENTIVE PLAN.
--------------------------------------------------------------------------------------------------------------------------
CBRE CLARION SECURITIES Agenda Number: 934087025
--------------------------------------------------------------------------------------------------------------------------
Security: 12504G100
Meeting Type: Annual
Meeting Date: 10-Nov-2014
Ticker: IGR
ISIN: US12504G1004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
T. RITSON FERGUSON Mgmt Split 96% For 4% Withheld Split
FREDERICK S. HAMMER Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CENTRAL EUROPE, RUSSIA & TURKEY FD COM Agenda Number: 934238913
--------------------------------------------------------------------------------------------------------------------------
Security: 153436100
Meeting Type: Annual
Meeting Date: 26-Jun-2015
Ticker: CEE
ISIN: US1534361001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MR. WALTER C. DOSTMAN Mgmt Split 98% For 2% Withheld Split
DR. FRANZ WILHELM HOPP Mgmt Split 98% For 2% Withheld Split
MR. C.H. STRENGER Mgmt Split 65% For 35% Withheld Split
MR. JOACHIM WAGNER Mgmt Split 95% For 5% Withheld Split
2. TO RATIFY THE APPOINTMENT BY THE AUDIT Mgmt For For
COMMITTEE AND THE BOARD OF DIRECTORS OF
PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT
PUBLIC ACCOUNTING FIRM, AS INDEPENDENT
AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER
31, 2015.
--------------------------------------------------------------------------------------------------------------------------
CENTRAL SECURITIES CORPORATION Agenda Number: 934125510
--------------------------------------------------------------------------------------------------------------------------
Security: 155123102
Meeting Type: Annual
Meeting Date: 18-Mar-2015
Ticker: CET
ISIN: US1551231020
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
L. PRICE BLACKFORD Mgmt Split 93% For 7% Withheld Split
SIMMS C. BROWNING Mgmt Split 92% For 8% Withheld Split
DONALD G. CALDER Mgmt Split 92% For 8% Withheld Split
DAVID C. COLANDER Mgmt Split 93% For 7% Withheld Split
JAY R. INGLIS Mgmt Split 92% For 8% Withheld Split
WILMOT H. KIDD Mgmt Split 93% For 7% Withheld Split
C. CARTER WALKER, JR. Mgmt Split 92% For 8% Withheld Split
2. RATIFICATION OF THE APPOINTMENT OF KPMG LLP Mgmt Split 96% For 4% Against Split
AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR 2015.
3. IF PROPERLY PRESENTED, TO ACT UPON A Shr Split 12% For 87% Against 1% AbstainSplit
STOCKHOLDER PROPOSAL RECOMMENDING THAT THE
BOARD OF DIRECTORS CONSIDER WHETHER THE
CORPORATION BE LIQUIDATED.
--------------------------------------------------------------------------------------------------------------------------
CISCO SYSTEMS, INC. Agenda Number: 934082215
--------------------------------------------------------------------------------------------------------------------------
Security: 17275R102
Meeting Type: Annual
Meeting Date: 20-Nov-2014
Ticker: CSCO
ISIN: US17275R1023
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: CAROL A. BARTZ Mgmt For For
1B. ELECTION OF DIRECTOR: M. MICHELE BURNS Mgmt For For
1C. ELECTION OF DIRECTOR: MICHAEL D. CAPELLAS Mgmt For For
1D. ELECTION OF DIRECTOR: JOHN T. CHAMBERS Mgmt For For
1E. ELECTION OF DIRECTOR: BRIAN L. HALLA Mgmt For For
1F. ELECTION OF DIRECTOR: DR. JOHN L. HENNESSY Mgmt For For
1G. ELECTION OF DIRECTOR: DR. KRISTINA M. Mgmt For For
JOHNSON
1H. ELECTION OF DIRECTOR: RODERICK C. MCGEARY Mgmt For For
1I. ELECTION OF DIRECTOR: ARUN SARIN Mgmt For For
1J. ELECTION OF DIRECTOR: STEVEN M. WEST Mgmt For For
2. APPROVAL OF AMENDMENT AND RESTATEMENT OF Mgmt For For
THE EMPLOYEE STOCK PURCHASE PLAN.
3. APPROVAL, ON AN ADVISORY BASIS, OF Mgmt For For
EXECUTIVE COMPENSATION.
4. RATIFICATION OF PRICEWATERHOUSECOOPERS LLP Mgmt For For
AS CISCO'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL 2015.
5. APPROVAL TO RECOMMEND THAT CISCO ESTABLISH Shr Against For
A PUBLIC POLICY COMMITTEE OF THE BOARD.
6. APPROVAL TO REQUEST THE BOARD TO AMEND Shr Against For
CISCO'S GOVERNING DOCUMENTS TO ALLOW PROXY
ACCESS FOR SPECIFIED CATEGORIES OF
SHAREHOLDERS.
7. APPROVAL TO REQUEST CISCO TO PROVIDE A Shr Against For
SEMIANNUAL REPORT ON POLITICAL-RELATED
CONTRIBUTIONS AND EXPENDITURES.
--------------------------------------------------------------------------------------------------------------------------
CLAYMORE FUNDS Agenda Number: 934073191
--------------------------------------------------------------------------------------------------------------------------
Security: 007639107
Meeting Type: Annual
Meeting Date: 30-Sep-2014
Ticker: AGC
ISIN: US0076391079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS II TRUSTEE: MR. MICHAEL Mgmt Split 97% For 2% Against 1% AbstainSplit
A. SMART
1B. ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. Mgmt Split 97% For 2% Against 1% AbstainSplit
BLACK
--------------------------------------------------------------------------------------------------------------------------
CLIFFS NATURAL RESOURCES INC. Agenda Number: 934047209
--------------------------------------------------------------------------------------------------------------------------
Security: 18683K101
Meeting Type: Annual
Meeting Date: 29-Jul-2014
Ticker: CLF
ISIN: US18683K1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
GARY B. HALVERSON Mgmt No vote
BARRY J. ELDRIDGE Mgmt No vote
MARK E. GAUMOND Mgmt No vote
SUSAN M. GREEN Mgmt No vote
JANICE K. HENRY Mgmt No vote
STEPHEN M. JOHNSON Mgmt No vote
JAMES F. KIRSCH Mgmt No vote
RICHARD K. RIEDERER Mgmt No vote
TIMOTHY W. SULLIVAN Mgmt No vote
2 APPROVAL OF THE 2014 NONEMPLOYEE DIRECTORS' Mgmt No vote
COMPENSATION PLAN.
3 APPROVAL, ON AN ADVISORY BASIS, OF OUR Mgmt No vote
NAMED EXECUTIVE OFFICERS' COMPENSATION.
4 APPROVAL OF THE CLIFFS NATURAL RESOURCES Mgmt No vote
INC. AMENDED AND RESTATED 2012 INCENTIVE
EQUITY PLAN.
5 RATIFICATION OF THE APPOINTMENT OF DELOITTE Mgmt No vote
& TOUCHE, LLP AS OUR INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM TO SERVE FOR THE
2014 FISCAL YEAR.
--------------------------------------------------------------------------------------------------------------------------
CLIFFS NATURAL RESOURCES INC. Agenda Number: 934174549
--------------------------------------------------------------------------------------------------------------------------
Security: 18683K101
Meeting Type: Annual
Meeting Date: 19-May-2015
Ticker: CLF
ISIN: US18683K1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: J.T. BALDWIN Mgmt For For
1B ELECTION OF DIRECTOR: R.P. FISHER, JR. Mgmt For For
1C ELECTION OF DIRECTOR: L. GONCALVES Mgmt For For
1D ELECTION OF DIRECTOR: S.M. GREEN Mgmt For For
1E ELECTION OF DIRECTOR: J.A. RUTKOWSKI, JR. Mgmt For For
1F ELECTION OF DIRECTOR: J.S. SAWYER Mgmt For For
1G ELECTION OF DIRECTOR: M.D. SIEGAL Mgmt For For
1H ELECTION OF DIRECTOR: G. STOLIAR Mgmt For For
1I ELECTION OF DIRECTOR: D.C. TAYLOR Mgmt For For
2. APPROVAL, ON AN ADVISORY BASIS, OF OUR Mgmt For For
NAMED EXECUTIVE OFFICER COMPENSATION
3. APPROVAL OF CLIFFS 2015 EQUITY & INCENTIVE Mgmt For For
COMPENSATION PLAN
4. APPROVAL OF CLIFFS 2015 EMPLOYEE STOCK Mgmt For For
PURCHASE PLAN
5. THE RATIFICATION OF THE APPOINTMENT OF Mgmt For For
DELOITTE & TOUCHE LLP AS THE INDEPENDENT
REGISTERED PUBLIC ACCOUNTING FIRM OF CLIFFS
TO SERVE FOR THE 2015 FISCAL YEAR
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL ALLOCATION FUND Agenda Number: 934036840
--------------------------------------------------------------------------------------------------------------------------
Security: 18913Y103
Meeting Type: Annual
Meeting Date: 15-Jul-2014
Ticker: GLV
ISIN: US18913Y1038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ADAM D. CRESCENZI Mgmt Split 91% For 9% Withheld Split
JERRY G. RUTLEDGE Mgmt Split 91% For 9% Withheld Split
VINCENT W. VERSACI Mgmt Split 91% For 9% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL EQUITY FUND Agenda Number: 934036763
--------------------------------------------------------------------------------------------------------------------------
Security: 18914C100
Meeting Type: Annual
Meeting Date: 15-Jul-2014
Ticker: GLQ
ISIN: US18914C1009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
EDMUND J. BURKE Mgmt Split 89% For 11% Withheld Split
JOHN F. MEE Mgmt Split 89% For 11% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 934036852
--------------------------------------------------------------------------------------------------------------------------
Security: 18914E106
Meeting Type: Annual
Meeting Date: 15-Jul-2014
Ticker: GLO
ISIN: US18914E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3. DIRECTOR
ROBERT L. BUTLER Mgmt Split 97% For 3% Withheld Split
JAMES E. CANTY Mgmt Split 97% For 3% Withheld Split
RICHARD C. RANTZOW Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
COHEN & STEERS REIT & PFD INCOME FUND Agenda Number: 934137185
--------------------------------------------------------------------------------------------------------------------------
Security: 19247X100
Meeting Type: Annual
Meeting Date: 23-Apr-2015
Ticker: RNP
ISIN: US19247X1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE GROSSMAN Mgmt Split 95% For 5% Withheld Split
ROBERT H. STEERS Mgmt Split 95% For 5% Withheld Split
C. EDWARD WARD, JR. Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CORNERSTONE STRATEGIC VALUE FUND, INC. Agenda Number: 934096391
--------------------------------------------------------------------------------------------------------------------------
Security: 21924B203
Meeting Type: Special
Meeting Date: 16-Dec-2014
Ticker: CLM
ISIN: US21924B2034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE PROPOSED ONE-FOR-FOUR REVERSE Mgmt Split 72% For 25% Against 3% AbstainSplit
STOCK SPLIT AND THE RELATED AMENDMENT TO
THE ARTICLES OF INCORPORATION.
2. IN THEIR DISCRETION, THE PROXIES ARE Mgmt Split 73% For 22% Against 5% AbstainSplit
AUTHORIZED TO CONSIDER AND VOTE UPON SUCH
OTHER MATTERS AS MAY PROPERLY COME BEFORE
THE SAID MEETING OR ANY ADJOURNMENT
THEREOF.
--------------------------------------------------------------------------------------------------------------------------
CREDIT SUISSE ASSET MGMT INCOME FD, INC. Agenda Number: 934146019
--------------------------------------------------------------------------------------------------------------------------
Security: 224916106
Meeting Type: Annual
Meeting Date: 21-Apr-2015
Ticker: CIK
ISIN: US2249161066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
LAWRENCE J. FOX Mgmt Split 88% For 12% Withheld Split
JOHN G. POPP Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
DEUTSCHE FUNDS Agenda Number: 934242241
--------------------------------------------------------------------------------------------------------------------------
Security: 25155R100
Meeting Type: Special
Meeting Date: 30-Jun-2015
Ticker: KHI
ISIN: US25155R1005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE CONVERTING THE FUND FROM A Mgmt Split 46% For 52% Against 2% AbstainSplit
CLOSED-END INVESTMENT COMPANY TO AN
OPEN-END INVESTMENT COMPANY AND AUTHORIZING
CERTAIN RELATED AMENDMENTS TO THE FUND'S
AMENDED AND RESTATED AGREEMENT AND
DECLARATION OF TRUST.
--------------------------------------------------------------------------------------------------------------------------
DWS GLOBAL HIGH INCOME FUND, INC. Agenda Number: 934060637
--------------------------------------------------------------------------------------------------------------------------
Security: 23338W104
Meeting Type: Annual
Meeting Date: 03-Sep-2014
Ticker: LBF
ISIN: US23338W1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM MCCLAYTON Mgmt Split 90% For 10% Withheld Split
REBECCA W. RIMEL Mgmt Split 91% For 9% Withheld Split
WILLIAM N. SEARCY, JR. Mgmt Split 89% For 11% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
DWS HIGH INCOME TRUST FUND Agenda Number: 934060663
--------------------------------------------------------------------------------------------------------------------------
Security: 23337C208
Meeting Type: Annual
Meeting Date: 03-Sep-2014
Ticker: KHI
ISIN: US23337C2089
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN W. BALLANTINE Mgmt Split 93% For 7% Withheld Split
DAWN-MARIE DRISCOLL Mgmt Split 93% For 7% Withheld Split
KENNETH C. FROEWISS Mgmt Split 93% For 7% Withheld Split
REBECCA W. RIMEL Mgmt Split 93% For 7% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE ENHANCED EQUITY INCOME FUND Agenda Number: 934038022
--------------------------------------------------------------------------------------------------------------------------
Security: 278274105
Meeting Type: Annual
Meeting Date: 24-Jul-2014
Ticker: EOI
ISIN: US2782741050
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON Mgmt Split 97% For 3% Withheld Split
THOMAS E. FAUST JR. Mgmt Split 97% For 3% Withheld Split
CYNTHIA E. FROST Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE FLOATING RATE Agenda Number: 934121221
--------------------------------------------------------------------------------------------------------------------------
Security: 278284104
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: EFF
ISIN: US2782841041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE J. GORMAN Mgmt Split 98% For 2% Withheld Split
WILLIAM H. PARK Mgmt Split 97% For 3% Withheld Split
RONALD A. PEARLMAN Mgmt Split 97% For 3% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE FLOATING-RATE INCOME TRUST Agenda Number: 934121219
--------------------------------------------------------------------------------------------------------------------------
Security: 278279104
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: EFT
ISIN: US2782791048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE J. GORMAN Mgmt Split 98% For 2% Withheld Split
WILLIAM H. PARK Mgmt Split 97% For 3% Withheld Split
RONALD A. PEARLMAN Mgmt Split 97% For 3% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE INSD. MUN BD FD Agenda Number: 934037993
--------------------------------------------------------------------------------------------------------------------------
Security: 27827X101
Meeting Type: Annual
Meeting Date: 24-Jul-2014
Ticker: EIM
ISIN: US27827X1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE J. GORMAN Mgmt Split 89% For 11% Withheld Split
RONALD A. PEARLMAN Mgmt Split 89% For 11% Withheld Split
HELEN FRAME PETERS Mgmt Split 89% For 11% Withheld Split
HARRIETT TEE TAGGART Mgmt Split 89% For 11% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 934105188
--------------------------------------------------------------------------------------------------------------------------
Security: 27828H105
Meeting Type: Annual
Meeting Date: 22-Jan-2015
Ticker: EVV
ISIN: US27828H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GEORGE J. GORMAN Mgmt Split 98% For 2% Withheld Split
RONALD A. PEARLMAN Mgmt Split 97% For 3% Withheld Split
HELEN FRAME PETERS Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SENIOR INCOME TRUST Agenda Number: 934070498
--------------------------------------------------------------------------------------------------------------------------
Security: 27826S103
Meeting Type: Annual
Meeting Date: 23-Oct-2014
Ticker: EVF
ISIN: US27826S1033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS E. FAUST JR. Mgmt Split 99% For 1% Withheld Split
CYNTHIA E. FROST Mgmt Split 99% For 1% Withheld Split
VALERIE A. MOSLEY Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SHORT DURATION DIV INCOME FD Agenda Number: 934115280
--------------------------------------------------------------------------------------------------------------------------
Security: 27828V104
Meeting Type: Annual
Meeting Date: 19-Feb-2015
Ticker: EVG
ISIN: US27828V1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. ESTON Mgmt Split 98% For 2% Withheld Split
THOMAS E. FAUST JR. Mgmt Split 98% For 2% Withheld Split
CYNTHIA E. FROST Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FEDERATED FUNDS Agenda Number: 934059014
--------------------------------------------------------------------------------------------------------------------------
Security: 314162108
Meeting Type: Annual
Meeting Date: 12-Sep-2014
Ticker: FTT
ISIN: US3141621082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MAUREEN LALLY-GREEN* Mgmt Split 46% For 54% Withheld Split
P. JEROME RICHEY* Mgmt Split 46% For 54% Withheld Split
JOHN T. COLLINS* Mgmt Split 46% For 54% Withheld Split
JOHN W. MCGONIGLE# Mgmt Split 46% For 54% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST ADVISORS Agenda Number: 934136602
--------------------------------------------------------------------------------------------------------------------------
Security: 33738E109
Meeting Type: Annual
Meeting Date: 20-Apr-2015
Ticker: FSD
ISIN: US33738E1091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD E. ERICKSON Mgmt Split 94% For 6% Withheld Split
THOMAS R. KADLEC Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FORT DEARBORN INCOME SECURITIES, INC. Agenda Number: 934095286
--------------------------------------------------------------------------------------------------------------------------
Security: 347200107
Meeting Type: Annual
Meeting Date: 05-Dec-2014
Ticker: FDI
ISIN: US3472001078
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ADELA CEPEDA Mgmt Split 73% For 27% Withheld Split
JOHN J. MURPHY Mgmt Split 72% For 28% Withheld Split
FRANK K. REILLY Mgmt Split 73% For 27% Withheld Split
EDWARD M. ROOB Mgmt Split 73% For 27% Withheld Split
ABBIE J. SMITH Mgmt Split 72% For 28% Withheld Split
J. MIKESELL THOMAS Mgmt Split 72% For 28% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FRANKLIN TEMPLETON LTD DURATION INC TR Agenda Number: 934067756
--------------------------------------------------------------------------------------------------------------------------
Security: 35472T101
Meeting Type: Annual
Meeting Date: 18-Sep-2014
Ticker: FTF
ISIN: US35472T1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SAM GINN Mgmt Split 97% For 3% Withheld Split
LARRY D. THOMPSON Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GDL FD Agenda Number: 934158278
--------------------------------------------------------------------------------------------------------------------------
Security: 361570104
Meeting Type: Annual
Meeting Date: 11-May-2015
Ticker: GDL
ISIN: US3615701048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARIO J. GABELLI, CFA Mgmt Split 84% For 16% Withheld Split
MARIO D'URSO Mgmt Split 99% For 1% Withheld Split
MICHAEL J. MELARKEY Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GDL FD Agenda Number: 934158280
--------------------------------------------------------------------------------------------------------------------------
Security: 361570302
Meeting Type: Annual
Meeting Date: 11-May-2015
Ticker: GDLPRB
ISIN: US3615703028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARIO J. GABELLI, CFA Mgmt Split 92% For 8% Withheld Split
MARIO D'URSO Mgmt Split 99% For 1% Withheld Split
MICHAEL J. MELARKEY Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934129037
--------------------------------------------------------------------------------------------------------------------------
Security: 368802104
Meeting Type: Annual
Meeting Date: 15-Apr-2015
Ticker: GAM
ISIN: US3688021043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
A. DIRECTOR
MR. BERENS Mgmt Split 65% For 35% Withheld Split
MR. CULLMAN Mgmt Split 71% For 29% Withheld Split
MR. DAVIDSON Mgmt Split 71% For 29% Withheld Split
MR. GORDAN Mgmt Split 72% For 28% Withheld Split
MS. GOTBAUM Mgmt Split 71% For 29% Withheld Split
MR. KNAFEL Mgmt Split 72% For 28% Withheld Split
MR. NEIDICH Mgmt Split 73% For 27% Withheld Split
MR. PRIEST Mgmt Split 72% For 28% Withheld Split
B. RATIFICATION OF THE SELECTION OF ERNST & Mgmt Split 85% For 2% Against 13% AbstainSplit
YOUNG LLP AS AUDITORS.
C. APPROVAL OF THE NON-BINDING SHAREHOLDER Shr Split 35% For 64% Against 1% AbstainSplit
PROPOSAL RELATING TO A SELF-TENDER OF ALL
OUTSTANDING COMMON SHARES AT OR CLOSE TO
NET ASSET VALUE.
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934129049
--------------------------------------------------------------------------------------------------------------------------
Security: 368802401
Meeting Type: Annual
Meeting Date: 15-Apr-2015
Ticker: GAMPRB
ISIN: US3688024013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
A. DIRECTOR
MR. ALTSCHUL Mgmt Split 98% For 2% Withheld Split
MR. BERENS Mgmt Split 87% For 13% Withheld Split
MR. CULLMAN Mgmt Split 97% For 3% Withheld Split
MR. DAVIDSON Mgmt Split 98% For 2% Withheld Split
MR. GORDAN Mgmt Split 98% For 2% Withheld Split
MS. GOTBAUM Mgmt Split 97% For 3% Withheld Split
MR. KNAFEL Mgmt Split 98% For 2% Withheld Split
MR. NEIDICH Mgmt Split 98% For 2% Withheld Split
MR. PRIEST Mgmt Split 98% For 2% Withheld Split
MR. TROUBH Mgmt Split 97% For 3% Withheld Split
B. RATIFICATION OF THE SELECTION OF ERNST & Mgmt Split 98% For 1% Against 1% AbstainSplit
YOUNG LLP AS AUDITORS.
C. APPROVAL OF THE NON-BINDING SHAREHOLDER Shr Split 8% For 89% Against 3% AbstainSplit
PROPOSAL RELATING TO A SELF-TENDER OF ALL
OUTSTANDING COMMON SHARES AT OR CLOSE TO
NET ASSET VALUE.
--------------------------------------------------------------------------------------------------------------------------
GLOBAL HIGH INCOME DOLLAR FUND INC. Agenda Number: 934116369
--------------------------------------------------------------------------------------------------------------------------
Security: 37933G108
Meeting Type: Annual
Meeting Date: 19-Feb-2015
Ticker: GHI
ISIN: US37933G1085
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD Q. ARMSTRONG Mgmt Split 64% For 36% Withheld Split
ALAN S. BERNIKOW Mgmt Split 64% For 36% Withheld Split
DAVID MALPASS Mgmt Split 64% For 36% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GOLDMAN SACHS MLP INCOME Agenda Number: 934126815
--------------------------------------------------------------------------------------------------------------------------
Security: 38147W103
Meeting Type: Annual
Meeting Date: 31-Mar-2015
Ticker: GMZ
ISIN: US38147W1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ASHOK N. BAKHRU Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GUGGENHEIM FUNDS Agenda Number: 934052109
--------------------------------------------------------------------------------------------------------------------------
Security: 557437100
Meeting Type: Annual
Meeting Date: 31-Jul-2014
Ticker: MCN
ISIN: US5574371002
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PHILIP E. BLAKE Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HALLIBURTON COMPANY Agenda Number: 934128073
--------------------------------------------------------------------------------------------------------------------------
Security: 406216101
Meeting Type: Special
Meeting Date: 27-Mar-2015
Ticker: HAL
ISIN: US4062161017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. PROPOSAL APPROVING THE ISSUANCE OF SHARES Mgmt For For
OF HALLIBURTON COMMON STOCK AS CONTEMPLATED
BY THE AGREEMENT AND PLAN OF MERGER (AS IT
MAY BE AMENDED FROM TIME TO TIME), DATED AS
OF NOVEMBER 16, 2014, AMONG HALLIBURTON
COMPANY, RED TIGER LLC AND BAKER HUGHES
INCORPORATED.
2. PROPOSAL ADJOURNING THE SPECIAL MEETING, IF Mgmt For For
NECESSARY OR ADVISABLE, TO PERMIT FURTHER
SOLICITATION OF PROXIES IN THE EVENT THERE
ARE NOT SUFFICIENT VOTES AT THE TIME OF THE
SPECIAL MEETING TO APPROVE THE ISSUANCE OF
SHARES DESCRIBED IN THE FOREGOING PROPOSAL.
--------------------------------------------------------------------------------------------------------------------------
HALLIBURTON COMPANY Agenda Number: 934172658
--------------------------------------------------------------------------------------------------------------------------
Security: 406216101
Meeting Type: Annual
Meeting Date: 20-May-2015
Ticker: HAL
ISIN: US4062161017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A ELECTION OF DIRECTOR: A.F. AL KHAYYAL Mgmt For For
1B ELECTION OF DIRECTOR: A.M. BENNETT Mgmt For For
1C ELECTION OF DIRECTOR: J.R. BOYD Mgmt For For
1D ELECTION OF DIRECTOR: M. CARROLL Mgmt For For
1E ELECTION OF DIRECTOR: N.K. DICCIANI Mgmt For For
1F ELECTION OF DIRECTOR: M.S. GERBER Mgmt For For
1G ELECTION OF DIRECTOR: J.C. GRUBISICH Mgmt For For
1H ELECTION OF DIRECTOR: D.J. LESAR Mgmt For For
1I ELECTION OF DIRECTOR: R.A. MALONE Mgmt For For
1J ELECTION OF DIRECTOR: J.L. MARTIN Mgmt For For
1K ELECTION OF DIRECTOR: J.A. MILLER Mgmt For For
1L ELECTION OF DIRECTOR: D.L. REED Mgmt For For
2. PROPOSAL FOR RATIFICATION OF THE SELECTION Mgmt For For
OF AUDITORS.
3. ADVISORY APPROVAL OF THE COMPANY'S Mgmt For For
EXECUTIVE COMPENSATION.
4. PROPOSAL TO AMEND AND RESTATE THE Mgmt For For
HALLIBURTON COMPANY STOCK AND INCENTIVE
PLAN.
5. PROPOSAL TO AMEND AND RESTATE THE Mgmt For For
HALLIBURTON COMPANY EMPLOYEE STOCK PURCHASE
PLAN.
--------------------------------------------------------------------------------------------------------------------------
HELIOS FUNDS Agenda Number: 934036155
--------------------------------------------------------------------------------------------------------------------------
Security: 42328A203
Meeting Type: Special
Meeting Date: 18-Jul-2014
Ticker: HSA
ISIN: US42328A2033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE THE AGREEMENT AND PLAN OF Mgmt Split 97% For 2% Against 1% AbstainSplit
REORGANIZATION BETWEEN BROOKFIELD HIGH
INCOME FUND INC. ("HHY") AND HELIOS
STRATEGIC INCOME FUND, INC. ("HSA") AND THE
TRANSACTIONS CONTEMPLATED THEREBY,
INCLUDING, AMONG OTHER THINGS: (I) THE
TRANSFER BY HSA OF ALL OF ITS ASSETS TO HHY
IN EXCHANGE SOLELY FOR NEWLY ISSUED ...
(DUE TO SPACE LIMITS, SEE PROXY STATEMENT
FOR FULL PROPOSAL)
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 934062249
--------------------------------------------------------------------------------------------------------------------------
Security: 46132R104
Meeting Type: Annual
Meeting Date: 29-Aug-2014
Ticker: VTA
ISIN: US46132R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: ALBERT R. Mgmt Split 98% For 1% Against 1% AbstainSplit
DOWDEN
1B. ELECTION OF CLASS I TRUSTEE: DR. PREMA Mgmt Split 98% For 1% Against 1% AbstainSplit
MATHAI-DAVIS
1C. ELECTION OF CLASS I TRUSTEE: RAYMOND Mgmt Split 98% For 1% Against 1% AbstainSplit
STICKEL, JR.
1D. ELECTION OF CLASS II TRUSTEE: DAVID C. ARCH Mgmt Split 98% For 1% Against 1% AbstainSplit
1E. ELECTION OF CLASS II TRUSTEE: DR. LARRY Mgmt Split 98% For 1% Against 1% AbstainSplit
SOLL
1F. ELECTION OF CLASS II TRUSTEE: PHILIP A. Mgmt Split 98% For 1% Against 1% AbstainSplit
TAYLOR
1G. ELECTION OF CLASS II TRUSTEE: SUZANNE H. Mgmt Split 97% For 2% Against 1% AbstainSplit
WOOLSEY
1H. ELECTION OF CLASS III TRUSTEE: JAMES T. Mgmt Split 98% For 1% Against 1% AbstainSplit
BUNCH
1I. ELECTION OF CLASS III TRUSTEE: BRUCE L. Mgmt Split 98% For 1% Against 1% AbstainSplit
CROCKETT
1J. ELECTION OF CLASS III TRUSTEE: RODNEY F. Mgmt Split 98% For 1% Against 1% AbstainSplit
DAMMEYER
1K. ELECTION OF CLASS III TRUSTEE: JACK M. Mgmt Split 98% For 1% Against 1% AbstainSplit
FIELDS
1L. ELECTION OF CLASS III TRUSTEE: MARTIN L. Mgmt Split 98% For 1% Against 1% AbstainSplit
FLANAGAN
--------------------------------------------------------------------------------------------------------------------------
IVY HIGH INCOME OPPORTUNITIES Agenda Number: 934054216
--------------------------------------------------------------------------------------------------------------------------
Security: 465893105
Meeting Type: Annual
Meeting Date: 31-Jul-2014
Ticker: IVH
ISIN: US4658931054
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JAMES D. GRESSETT Mgmt Split 99% For 1% Withheld Split
JOSEPH HARROZ, JR. Mgmt Split 99% For 1% Withheld Split
GLENDON E. JOHNSON, JR. Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
KA FUND ADVISORS, LLC Agenda Number: 934231426
--------------------------------------------------------------------------------------------------------------------------
Security: 48661E108
Meeting Type: Annual
Meeting Date: 25-Jun-2015
Ticker: KMF
ISIN: US48661E1082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. ELECTION OF CLASS II DIRECTOR: BARRY R. Mgmt Split 97% For 2% Against 1% AbstainSplit
PEARL
3. THE RATIFICATION OF THE SELECTION OF Mgmt Split 98% For 1% Against 1% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2015.
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934228708
--------------------------------------------------------------------------------------------------------------------------
Security: 486606502
Meeting Type: Annual
Meeting Date: 17-Jun-2015
Ticker: KYNPRE
ISIN: US4866065026
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 ELECTION OF CLASS II DIRECTOR FOR A TERM OF Mgmt Split 96% For 3% Against 1% AbstainSplit
THREE YEARS: STEVEN C. GOOD
1.2 ELECTION OF CLASS II DIRECTOR FOR A TERM OF Mgmt Split 93% For 6% Against 1% AbstainSplit
THREE YEARS: KEVIN S. MCCARTHY
2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 97% For 2% Against 1% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2015.
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934228708
--------------------------------------------------------------------------------------------------------------------------
Security: 486606601
Meeting Type: Annual
Meeting Date: 17-Jun-2015
Ticker: KYNPRF
ISIN: US4866066016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 ELECTION OF CLASS II DIRECTOR FOR A TERM OF Mgmt Split 96% For 3% Against 1% AbstainSplit
THREE YEARS: STEVEN C. GOOD
1.2 ELECTION OF CLASS II DIRECTOR FOR A TERM OF Mgmt Split 96% For 3% Against 1% AbstainSplit
THREE YEARS: KEVIN S. MCCARTHY
2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 97% For 2% Against 1% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2015.
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934098814
--------------------------------------------------------------------------------------------------------------------------
Security: 95768B107
Meeting Type: Annual
Meeting Date: 15-Dec-2014
Ticker: HYI
ISIN: US95768B1070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EILEEN A. KAMERICK Mgmt Split 98% For 2% Withheld Split
RIORDAN ROETT Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934114884
--------------------------------------------------------------------------------------------------------------------------
Security: 95766K109
Meeting Type: Annual
Meeting Date: 30-Jan-2015
Ticker: HIO
ISIN: US95766K1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAOLO M. CUCCHI* Mgmt Split 98% For 2% Withheld Split
KENNETH D. FULLER* Mgmt Split 98% For 2% Withheld Split
EILEEN A. KAMERICK* Mgmt Split 98% For 2% Withheld Split
ROBERT D. AGDERN# Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934124760
--------------------------------------------------------------------------------------------------------------------------
Security: 95790C107
Meeting Type: Annual
Meeting Date: 27-Feb-2015
Ticker: GDO
ISIN: US95790C1071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT D. AGDERN* Mgmt Split 84% For 16% Withheld Split
LESLIE H. GELB# Mgmt Split 84% For 16% Withheld Split
WILLIAM R. HUTCHINSON# Mgmt Split 84% For 16% Withheld Split
KENNETH D. FULLER# Mgmt Split 84% For 16% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934124784
--------------------------------------------------------------------------------------------------------------------------
Security: 52469B100
Meeting Type: Annual
Meeting Date: 27-Feb-2015
Ticker: BWG
ISIN: US52469B1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT D. AGDERN Mgmt Split 88% For 12% Withheld Split
EILEEN A. KAMERICK Mgmt Split 89% For 11% Withheld Split
RIORDAN ROETT Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934129265
--------------------------------------------------------------------------------------------------------------------------
Security: 184691103
Meeting Type: Annual
Meeting Date: 20-Mar-2015
Ticker: CBA
ISIN: US1846911030
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT D. AGDERN* Mgmt Split 98% For 2% Withheld Split
LESLIE H. GELB# Mgmt Split 98% For 2% Withheld Split
WILLIAM R. HUTCHINSON# Mgmt Split 98% For 2% Withheld Split
KENNETH D. FULLER# Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934129277
--------------------------------------------------------------------------------------------------------------------------
Security: 18469Q108
Meeting Type: Annual
Meeting Date: 20-Mar-2015
Ticker: CTR
ISIN: US18469Q1085
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT D. AGDERN Mgmt Split 94% For 6% Withheld Split
EILEEN A. KAMERICK Mgmt Split 94% For 6% Withheld Split
RIORDAN ROETT Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LIBERTY ALL-STAR EQUITY FUND Agenda Number: 934052072
--------------------------------------------------------------------------------------------------------------------------
Security: 530158104
Meeting Type: Annual
Meeting Date: 28-Aug-2014
Ticker: USA
ISIN: US5301581048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS W. BROCK Mgmt Split 92% For 8% Withheld Split
GEORGE R. GASPARI Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LMP REAL ESTATE INCOME FUND INC. Agenda Number: 934161441
--------------------------------------------------------------------------------------------------------------------------
Security: 50208C108
Meeting Type: Annual
Meeting Date: 16-Jun-2015
Ticker: RIT
ISIN: US50208C1080
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT D. AGDERN Mgmt No vote
WILLIAM R. HUTCHINSON Mgmt No vote
EILEEN A. KAMERICK Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
MACQUARIE GLOBAL INFRASTRUCTURE TOTAL RT Agenda Number: 934228823
--------------------------------------------------------------------------------------------------------------------------
Security: 55608D101
Meeting Type: Annual
Meeting Date: 17-Jun-2015
Ticker: MGU
ISIN: US55608D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: GORDON A. BAIRD Mgmt Split 98% For 1% Against 1% AbstainSplit
--------------------------------------------------------------------------------------------------------------------------
MADISON STRATEGIC SECTOR PREM Agenda Number: 934052096
--------------------------------------------------------------------------------------------------------------------------
Security: 558268108
Meeting Type: Annual
Meeting Date: 31-Jul-2014
Ticker: MSP
ISIN: US5582681087
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK E. BURGESS Mgmt Split 80% For 20% Withheld Split
STEVEN P. RIEGE Mgmt Split 81% For 19% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MFS CHARTER INCOME TRUST Agenda Number: 934069116
--------------------------------------------------------------------------------------------------------------------------
Security: 552727109
Meeting Type: Annual
Meeting Date: 02-Oct-2014
Ticker: MCR
ISIN: US5527271093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A DIRECTOR
STEVEN E. BULLER Mgmt Split 98% For 2% Withheld Split
WILLIAM R. GUTOW Mgmt Split 98% For 2% Withheld Split
MICHAEL HEGARTY Mgmt Split 98% For 2% Withheld Split
JOHN P. KAVANAUGH Mgmt Split 98% For 2% Withheld Split
ROBERT W. UEK Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MFS INTERMARKET INCOME TRUST I Agenda Number: 934069116
--------------------------------------------------------------------------------------------------------------------------
Security: 59318R103
Meeting Type: Annual
Meeting Date: 02-Oct-2014
Ticker: CMK
ISIN: US59318R1032
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A DIRECTOR
STEVEN E. BULLER Mgmt Split 68% For 32% Withheld Split
WILLIAM R. GUTOW Mgmt Split 68% For 32% Withheld Split
MICHAEL HEGARTY Mgmt Split 68% For 32% Withheld Split
JOHN P. KAVANAUGH Mgmt Split 68% For 32% Withheld Split
ROBERT W. UEK Mgmt Split 68% For 32% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MFS MULTIMARKET INCOME TRUST Agenda Number: 934069116
--------------------------------------------------------------------------------------------------------------------------
Security: 552737108
Meeting Type: Annual
Meeting Date: 02-Oct-2014
Ticker: MMT
ISIN: US5527371083
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A DIRECTOR
STEVEN E. BULLER Mgmt Split 97% For 3% Withheld Split
WILLIAM R. GUTOW Mgmt Split 97% For 3% Withheld Split
MICHAEL HEGARTY Mgmt Split 97% For 3% Withheld Split
JOHN P. KAVANAUGH Mgmt Split 97% For 3% Withheld Split
ROBERT W. UEK Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MICROSOFT CORPORATION Agenda Number: 934087708
--------------------------------------------------------------------------------------------------------------------------
Security: 594918104
Meeting Type: Annual
Meeting Date: 03-Dec-2014
Ticker: MSFT
ISIN: US5949181045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: WILLIAM H. GATES III Mgmt For For
1B. ELECTION OF DIRECTOR: MARIA M. KLAWE Mgmt For For
1C. ELECTION OF DIRECTOR: TERI L. LIST-STOLL Mgmt For For
1D. ELECTION OF DIRECTOR: G. MASON MORFIT Mgmt For For
1E. ELECTION OF DIRECTOR: SATYA NADELLA Mgmt For For
1F. ELECTION OF DIRECTOR: CHARLES H. NOSKI Mgmt For For
1G. ELECTION OF DIRECTOR: HELMUT PANKE Mgmt For For
1H. ELECTION OF DIRECTOR: CHARLES W. SCHARF Mgmt For For
1I. ELECTION OF DIRECTOR: JOHN W. STANTON Mgmt For For
1J. ELECTION OF DIRECTOR: JOHN W. THOMPSON Mgmt For For
2. ADVISORY VOTE ON EXECUTIVE COMPENSATION Mgmt For For
3. RATIFICATION OF DELOITTE & TOUCHE LLP AS Mgmt For For
OUR INDEPENDENT AUDITOR FOR FISCAL YEAR
2015
4. SHAREHOLDER PROPOSAL - PROXY ACCESS FOR Shr Against For
SHAREHOLDERS
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMER MKTS DEBT FUND, INC. Agenda Number: 934015214
--------------------------------------------------------------------------------------------------------------------------
Security: 61744H105
Meeting Type: Annual
Meeting Date: 01-Jul-2014
Ticker: MSD
ISIN: US61744H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KATHLEEN A. DENNIS Mgmt Split 96% For 4% Withheld Split
JOSEPH J. KEARNS Mgmt Split 96% For 4% Withheld Split
MICHAEL E. NUGENT Mgmt Split 96% For 4% Withheld Split
FERGUS REID Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY FUND Agenda Number: 934054886
--------------------------------------------------------------------------------------------------------------------------
Security: 46133G107
Meeting Type: Annual
Meeting Date: 27-Aug-2014
Ticker: IQI
ISIN: US46133G1076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
DAVID C. ARCH Mgmt Split 87% For 13% Withheld Split
LARRY SOLL Mgmt Split 87% For 13% Withheld Split
PHILIP A. TAYLOR Mgmt Split 87% For 13% Withheld Split
WAYNE W. WHALEN Mgmt Split 87% For 13% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEUBERGER BERMAN HI/YLD STRATEGY Agenda Number: 934070462
--------------------------------------------------------------------------------------------------------------------------
Security: 64128C106
Meeting Type: Annual
Meeting Date: 17-Sep-2014
Ticker: NHS
ISIN: US64128C1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CANDACE L. STRAIGHT* Mgmt Split 97% For 3% Withheld Split
MARTHA C. GOSS* Mgmt Split 97% For 3% Withheld Split
JOSEPH V. AMATO* Mgmt Split 97% For 3% Withheld Split
FAITH COLISH# Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEUBERGER BERMAN REAL ESTATE SEC INC FD Agenda Number: 934070462
--------------------------------------------------------------------------------------------------------------------------
Security: 64190A103
Meeting Type: Annual
Meeting Date: 17-Sep-2014
Ticker: NRO
ISIN: US64190A1034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CANDACE L. STRAIGHT* Mgmt Split 96% For 4% Withheld Split
MARTHA C. GOSS* Mgmt Split 96% For 4% Withheld Split
JOSEPH V. AMATO* Mgmt Split 96% For 4% Withheld Split
FAITH COLISH# Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEXPOINT FUNDS Agenda Number: 934129683
--------------------------------------------------------------------------------------------------------------------------
Security: 65340G106
Meeting Type: Special
Meeting Date: 06-Mar-2015
Ticker: NHF
ISIN: US65340G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE THE TERMS OF AN ADVISORY Mgmt Split 99% For 1% Against Split
AGREEMENT (THE "NXRT ADVISORY AGREEMENT")
TO BE ENTERED INTO AMONG NEXPOINT
RESIDENTIAL TRUST, INC., A SUBSIDIARY OF
THE FUND ("NXRT"), NEXPOINT RESIDENTIAL
TRUST OPERATING PARTNERSHIP, L.P., NXRT'S
OPERATING PARTNERSHIP, AND NEXPOINT REAL
ESTATE ADVISORS, L.P. ("NXRT ADVISER"), AN
AFFILIATE OF NHF ADVISER (THE "PROPOSAL").
--------------------------------------------------------------------------------------------------------------------------
NEXPOINT FUNDS Agenda Number: 934222263
--------------------------------------------------------------------------------------------------------------------------
Security: 65340G106
Meeting Type: Annual
Meeting Date: 05-Jun-2015
Ticker: NHF
ISIN: US65340G1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 TO ELECT TERRENCE O. JONES AS A CLASS III Mgmt Split 78% For 22% Abstain Split
TRUSTEE OF THE FUND, TO SERVE FOR A
THREE-YEAR TERM EXPIRING AT THE 2018 ANNUAL
MEETING OR UNTIL HIS SUCCESSOR IS DULY
ELECTED AND QUALIFIED.
1.2 TO ELECT JOHN HONIS AS A CLASS III TRUSTEE Mgmt Split 78% For 22% Abstain Split
OF THE FUND, TO SERVE FOR A THREE-YEAR TERM
EXPIRING AT THE 2018 ANNUAL MEETING OR
UNTIL HIS SUCCESSOR IS DULY ELECTED AND
QUALIFIED.
--------------------------------------------------------------------------------------------------------------------------
NOBLE ENERGY, INC. Agenda Number: 934169726
--------------------------------------------------------------------------------------------------------------------------
Security: 655044105
Meeting Type: Annual
Meeting Date: 28-Apr-2015
Ticker: NBL
ISIN: US6550441058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: JEFFREY L. BERENSON Mgmt For For
1B. ELECTION OF DIRECTOR: MICHAEL A. CAWLEY Mgmt For For
1C. ELECTION OF DIRECTOR: EDWARD F. COX Mgmt For For
1D. ELECTION OF DIRECTOR: THOMAS J. EDELMAN Mgmt For For
1E. ELECTION OF DIRECTOR: ERIC P. GRUBMAN Mgmt For For
1F. ELECTION OF DIRECTOR: KIRBY L. HEDRICK Mgmt For For
1G. ELECTION OF DIRECTOR: DAVID L. STOVER Mgmt For For
1H. ELECTION OF DIRECTOR: SCOTT D. URBAN Mgmt For For
1I. ELECTION OF DIRECTOR: WILLIAM T. VAN KLEEF Mgmt For For
1J. ELECTION OF DIRECTOR: MOLLY K. WILLIAMSON Mgmt For For
2. TO RATIFY THE APPOINTMENT OF THE Mgmt For For
INDEPENDENT AUDITOR BY THE COMPANY'S AUDIT
COMMITTEE.
3. TO APPROVE, IN A NON-BINDING ADVISORY VOTE, Mgmt For For
THE COMPENSATION OF THE COMPANY'S NAMED
EXECUTIVE OFFICERS.
4. TO APPROVE AN AMENDMENT TO THE COMPANY'S Mgmt For For
CERTIFICATE OF INCORPORATION TO INCREASE
THE NUMBER OF AUTHORIZED SHARES OF COMMON
STOCK FROM 500 MILLION TO 1 BILLION.
5. TO APPROVE AN AMENDMENT AND RESTATEMENT OF Mgmt For For
THE COMPANY'S 1992 STOCK OPTION AND
RESTRICTED STOCK PLAN TO INCREASE THE
NUMBER OF SHARES OF COMMON STOCK AUTHORIZED
FOR ISSUANCE UNDER THE PLAN FROM 71.6
MILLION TO 77.4 MILLION.
6. TO APPROVE THE 2015 STOCK PLAN FOR Mgmt For For
NON-EMPLOYEE DIRECTORS, REPLACING A
SUBSTANTIALLY SIMILAR PLAN THAT EXPIRED
UNDER ITS OWN TERMS.
7. TO CONSIDER A STOCKHOLDER PROPOSAL CALLING Shr Against For
FOR THE COMPANY TO AMEND ITS BY-LAWS TO
ALLOW ELIGIBLE STOCKHOLDERS TO INCLUDE
THEIR OWN NOMINEES FOR DIRECTOR IN THE
COMPANY'S PROXY MATERIALS.
8. TO CONSIDER A STOCKHOLDER PROPOSAL CALLING Shr Against For
FOR THE COMPANY TO PREPARE A REPORT
OUTLINING THE IMPACT CLIMATE CHANGE MIGHT
HAVE ON THE COMPANY'S BUSINESS PLANS.
--------------------------------------------------------------------------------------------------------------------------
NORTHERN INSTITUTIONAL FUNDS Agenda Number: 933982351
--------------------------------------------------------------------------------------------------------------------------
Security: 665278701
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: BGSXX
ISIN: US6652787010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM L. BAX Mgmt Split 90% For 1% Withheld Split
EDWARD J. CONDON, JR. Mgmt Split 90% For 1% Withheld Split
MARK G. DOLL Mgmt Split 91% For Split
SANDRA POLK GUTHMAN Mgmt Split 90% For 1% Withheld Split
STEPHEN N. POTTER Mgmt Split 91% For Split
MARY JACOBS SKINNER Mgmt Split 91% For Split
RICHARD P. STRUBEL Mgmt Split 90% For 1% Withheld Split
CASEY J. SYLLA Mgmt Split 90% For 1% Withheld Split
CYNTHIA R. PLOUCHE Mgmt Split 90% For 1% Withheld Split
2. APPROVAL OF PROPOSED MANAGEMENT AGREEMENT. Mgmt Split 90% For 1% Abstain Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN DIVIDEND ADVANTAGE MUNI FD Agenda Number: 934048491
--------------------------------------------------------------------------------------------------------------------------
Security: 67066V101
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NAD
ISIN: US67066V1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 93% For 4% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 93% For 4% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN FLOATING RATE INCOME FUND Agenda Number: 934049417
--------------------------------------------------------------------------------------------------------------------------
Security: 67072T108
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: JFR
ISIN: US67072T1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 96% For 2% Against 2% Abstain*
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2C. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 95% For 3% Against 2% Abstain*
BETWEEN NUVEEN FUND ADVISORS AND SYMPHONY
ASSET MANAGEMENT LLC.
3A. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld *
JOHN K. NELSON Mgmt Split 97% For 3% Withheld *
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN FLOATING RATE INCOME FUND Agenda Number: 934128453
--------------------------------------------------------------------------------------------------------------------------
Security: 67072T108
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JFR
ISIN: US67072T1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1D. DIRECTOR
WILLIAM ADAMS IV* Mgmt Split 98% For 2% Withheld Split
DAVID J. KUNDERT* Mgmt Split 98% For 2% Withheld Split
JOHN K. NELSON* Mgmt Split 98% For 2% Withheld Split
TERENCE J. TOTH* Mgmt Split 98% For 2% Withheld Split
JACK B. EVANS# Mgmt Split 98% For 2% Withheld Split
THOMAS S. SCHREIER, JR# Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN GLOBAL GOVERNMENT ENHANCED INCOME Agenda Number: 934079054
--------------------------------------------------------------------------------------------------------------------------
Security: 67073C104
Meeting Type: Annual
Meeting Date: 31-Oct-2014
Ticker: JGG
ISIN: US67073C1045
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT Mgmt Split 97% For 3% Withheld Split
JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split
TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split
2. TO APPROVE AN AGREEMENT AND PLAN OF MERGER Mgmt Split 97% For 1% Against 2% AbstainSplit
PURSUANT TO WHICH NUVEEN GLOBAL INCOME
OPPORTUNITIES FUND WILL MERGE WITH AND INTO
NGHIF MERGER SUB, LLC, A MASSACHUSETTS
LIMITED LIABILITY COMPANY AND A
WHOLLY-OWNED SUBSIDIARY OF NUVEEN GLOBAL
HIGH INCOME FUND, A NEWLY ORGANIZED
MASSACHUSETTS BUSINESS TRUST (THE
"ACQUIRING .. (DUE TO SPACE LIMITS, SEE
PROXY STATEMENT FOR FULL PROPOSAL).
3A. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 96% For 1% Against 3% AbstainSplit
AGREEMENT BETWEEN NUVEEN GLOBAL INCOME
OPPORTUNITIES FUND AND NUVEEN FUND
ADVISORS, LLC.
3B. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 96% For 1% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS, LLC AND
NUVEEN ASSET MANAGEMENT, LLC, WITH RESPECT
TO NUVEEN GLOBAL INCOME OPPORTUNITIES FUND.
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INS CA TAX-FREE ADV MUNI FUND Agenda Number: 934049190
--------------------------------------------------------------------------------------------------------------------------
Security: 670651108
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NKX
ISIN: US6706511085
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 92% For 4% Against 4% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 92% For 4% Against 4% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 95% For 5% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INSURED MUNICIPAL OPPORTUNITY FD Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 670984103
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NIO
ISIN: US6709841034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 92% For 4% Against 4% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 92% For 4% Against 4% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 95% For 5% Withheld Split
ROBERT P. BREMNER Mgmt Split 95% For 5% Withheld Split
JACK B. EVANS Mgmt Split 95% For 5% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 95% For 5% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 95% For 5% Withheld Split
CAROLE E. STONE Mgmt Split 95% For 5% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934048491
--------------------------------------------------------------------------------------------------------------------------
Security: 67074C103
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NBB
ISIN: US67074C1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934048491
--------------------------------------------------------------------------------------------------------------------------
Security: 67074Q102
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NBD
ISIN: US67074Q1022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 95% For 2% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 95% For 2% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934050268
--------------------------------------------------------------------------------------------------------------------------
Security: 670735109
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: JLS
ISIN: US6707351093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 98% For 1% Against 1% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2A. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 97% For 2% Against 1% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
2I. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 97% For 2% Against 1% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND, OR AMONG
THE FUND, NUVEEN FUND ADVISORS AND,
WELLINGTON MANAGEMENT COMPANY, LLP.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 98% For 2% Withheld Split
DAVID J. KUNDERT Mgmt Split 98% For 2% Withheld Split
JOHN K. NELSON Mgmt Split 98% For 2% Withheld Split
TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934050270
--------------------------------------------------------------------------------------------------------------------------
Security: 67074R100
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: JMT
ISIN: US67074R1005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 98% For 1% Against 1% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2A. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 97% For 2% Against 1% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 98% For 2% Withheld Split
DAVID J. KUNDERT Mgmt Split 98% For 2% Withheld Split
JOHN K. NELSON Mgmt Split 98% For 2% Withheld Split
TERENCE J. TOTH Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934049392
--------------------------------------------------------------------------------------------------------------------------
Security: 670671106
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: NID
ISIN: US6706711065
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 92% For 4% Against 4% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2A. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 92% For 4% Against 4% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3B. DIRECTOR
THOMAS S. SCHREIER, JR. Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934049405
--------------------------------------------------------------------------------------------------------------------------
Security: 67075B104
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: JPW
ISIN: US67075B1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 91% For 4% Against 5% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2B. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 91% For 5% Against 4% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NWQ
INVESTMENT MANAGEMENT COMPANY, LLC.
3B. DIRECTOR
THOMAS S. SCHREIER, JR. Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934128439
--------------------------------------------------------------------------------------------------------------------------
Security: 670671106
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: NID
ISIN: US6706711065
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1C. DIRECTOR
JACK B. EVANS Mgmt Split 96% For 4% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934128415
--------------------------------------------------------------------------------------------------------------------------
Security: 670735109
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JLS
ISIN: US6707351093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JACK B. EVANS Mgmt Split 96% For 4% Withheld Split
WILLIAM J. SCHNEIDER Mgmt Split 95% For 5% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934128415
--------------------------------------------------------------------------------------------------------------------------
Security: 67074R100
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JMT
ISIN: US67074R1005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JACK B. EVANS Mgmt Split 99% For 1% Withheld Split
WILLIAM J. SCHNEIDER Mgmt Split 99% For 1% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934128427
--------------------------------------------------------------------------------------------------------------------------
Security: 67075A106
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JPI
ISIN: US67075A1060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM ADAMS IV* Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT* Mgmt Split 97% For 3% Withheld Split
JOHN K. NELSON* Mgmt Split 97% For 3% Withheld Split
TERENCE J. TOTH* Mgmt Split 97% For 3% Withheld Split
JACK B. EVANS# Mgmt Split 97% For 3% Withheld Split
WILLIAM J. SCHNEIDER# Mgmt Split 97% For 3% Withheld Split
THOMAS S. SCHREIER, JR# Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTS Agenda Number: 934128415
--------------------------------------------------------------------------------------------------------------------------
Security: 67075E108
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JMLP
ISIN: US67075E1082
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JACK B. EVANS Mgmt Split 98% For 2% Withheld Split
WILLIAM J. SCHNEIDER Mgmt Split 98% For 2% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTSS Agenda Number: 934049417
--------------------------------------------------------------------------------------------------------------------------
Security: 67074X107
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: JSD
ISIN: US67074X1072
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 50% For 24% Against 26% Abstain*
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2C. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 95% For 2% Against 3% Abstain*
BETWEEN NUVEEN FUND ADVISORS AND SYMPHONY
ASSET MANAGEMENT LLC.
3A. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld *
JOHN K. NELSON Mgmt Split 97% For 3% Withheld *
THOMAS S. SCHREIER, JR. Mgmt Split 93% For 7% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INVESTMENTSS Agenda Number: 934128427
--------------------------------------------------------------------------------------------------------------------------
Security: 67074X107
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JSD
ISIN: US67074X1072
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
WILLIAM ADAMS IV* Mgmt Split 98% For 2% Withheld Split
DAVID J. KUNDERT* Mgmt Split 99% For 1% Withheld Split
JOHN K. NELSON* Mgmt Split 99% For 1% Withheld Split
TERENCE J. TOTH* Mgmt Split 98% For 2% Withheld Split
JACK B. EVANS# Mgmt Split 99% For 1% Withheld Split
WILLIAM J. SCHNEIDER# Mgmt Split 99% For 1% Withheld Split
THOMAS S. SCHREIER, JR# Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN MULTI-CURR. SHORT-TERM GOVT INC Agenda Number: 934079042
--------------------------------------------------------------------------------------------------------------------------
Security: 67090N109
Meeting Type: Annual
Meeting Date: 31-Oct-2014
Ticker: JGT
ISIN: US67090N1090
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 91% For 9% Withheld Split
DAVID J. KUNDERT Mgmt Split 91% For 9% Withheld Split
JOHN K. NELSON Mgmt Split 91% For 9% Withheld Split
TERENCE J. TOTH Mgmt Split 91% For 9% Withheld Split
2. TO APPROVE AN AGREEMENT AND PLAN OF MERGER Mgmt Split 97% For 2% Against 1% AbstainSplit
PURSUANT TO WHICH NUVEEN DIVERSIFIED
CURRENCY OPPORTUNITIES FUND WILL MERGE WITH
AND INTO NGHIF MERGER SUB, LLC, A
MASSACHUSETTS LIMITED LIABILITY COMPANY AND
A WHOLLY-OWNED SUBSIDIARY OF NUVEEN GLOBAL
HIGH INCOME FUND, A NEWLY ORGANIZED
MASSACHUSETTS BUSINESS TRUST .. (DUE TO
SPACE LIMITS, SEE PROXY STATEMENT FOR FULL
PROPOSAL).
3A. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 90% For 2% Against 8% AbstainSplit
AGREEMENT BETWEEN NUVEEN DIVERSIFIED
CURRENCY OPPORTUNITIES FUND AND NUVEEN FUND
ADVISORS, LLC.
3B. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 90% For 2% Against 8% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS, LLC AND
NUVEEN ASSET MANAGEMENT, LLC, WITH RESPECT
TO NUVEEN DIVERSIFIED CURRENCY
OPPORTUNITIES FUND.
--------------------------------------------------------------------------------------------------------------------------
NUVEEN MUNICIPAL ADVANTAGE FD INC Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 67062H106
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NMA
ISIN: US67062H1068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 93% For 4% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
ROBERT P. BREMNER Mgmt Split 96% For 4% Withheld Split
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 96% For 4% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 96% For 4% Withheld Split
CAROLE E. STONE Mgmt Split 96% For 4% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN MUNICIPAL MARKET OPPORTUNITY FD Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 67062W103
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NMO
ISIN: US67062W1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 93% For 5% Against 2% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 92% For 5% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 95% For 5% Withheld Split
ROBERT P. BREMNER Mgmt Split 95% For 5% Withheld Split
JACK B. EVANS Mgmt Split 95% For 5% Withheld Split
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 95% For 5% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 95% For 5% Withheld Split
CAROLE E. STONE Mgmt Split 95% For 5% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PERFORMANCE PLUS MUNI FD INC Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 67062P108
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NPP
ISIN: US67062P1084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 95% For 3% Against 2% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 95% For 3% Against 2% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld Split
ROBERT P. BREMNER Mgmt Split 97% For 3% Withheld Split
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT Mgmt Split 97% For 3% Withheld Split
JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld Split
CAROLE E. STONE Mgmt Split 97% For 3% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld Split
TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 934049429
--------------------------------------------------------------------------------------------------------------------------
Security: 67073D102
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: JQC
ISIN: US67073D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 94% For 3% Against 3% Abstain*
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2C. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 93% For 4% Against 3% Abstain*
BETWEEN NUVEEN FUND ADVISORS AND SYMPHONY
ASSET MANAGEMENT LLC.
3B. DIRECTOR
THOMAS S. SCHREIER, JR. Mgmt Split 95% For 5% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 934128415
--------------------------------------------------------------------------------------------------------------------------
Security: 67073D102
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JQC
ISIN: US67073D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JACK B. EVANS Mgmt Split 93% For 7% Withheld Split
WILLIAM J. SCHNEIDER Mgmt Split 93% For 7% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 93% For 7% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERRED AND CONVERTIBLE INCOME Agenda Number: 934049378
--------------------------------------------------------------------------------------------------------------------------
Security: 67073B106
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: JPC
ISIN: US67073B1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 91% For 6% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2A. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 91% For 6% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
2B. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 91% For 6% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NWQ
INVESTMENT MANAGEMENT COMPANY, LLC.
3B. DIRECTOR
THOMAS S. SCHREIER, JR. Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERRED AND CONVERTIBLE INCOME Agenda Number: 934128415
--------------------------------------------------------------------------------------------------------------------------
Security: 67073B106
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JPC
ISIN: US67073B1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JACK B. EVANS Mgmt Split 90% For 10% Withheld Split
WILLIAM J. SCHNEIDER Mgmt Split 90% For 10% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 90% For 10% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREMIER MUNI INCOME FD, INC. Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 670988104
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NPF
ISIN: US6709881048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 92% For 4% Against 4% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 92% For 5% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld Split
ROBERT P. BREMNER Mgmt Split 97% For 3% Withheld Split
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT Mgmt Split 97% For 3% Withheld Split
JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld Split
CAROLE E. STONE Mgmt Split 97% For 3% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld Split
TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREMIUM INCOME MUNI FD 2 INC Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 67063W102
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NPM
ISIN: US67063W1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 94% For 4% Against 2% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 93% For 4% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld Split
ROBERT P. BREMNER Mgmt Split 97% For 3% Withheld Split
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT Mgmt Split 97% For 3% Withheld Split
JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 97% For 3% Withheld Split
CAROLE E. STONE Mgmt Split 97% For 3% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 97% For 3% Withheld Split
TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREMIUM INCOME MUNI FD INC Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 67062T100
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NPI
ISIN: US67062T1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
ROBERT P. BREMNER Mgmt Split 96% For 4% Withheld Split
JACK B. EVANS Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 96% For 4% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 96% For 4% Withheld Split
CAROLE E. STONE Mgmt Split 96% For 4% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN QUALITY INCOME MUNI FD INC Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 670977107
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NQU
ISIN: US6709771074
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
ROBERT P. BREMNER Mgmt Split 97% For 3% Withheld Split
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
DAVID J. KUNDERT Mgmt Split 97% For 3% Withheld Split
JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 96% For 4% Withheld Split
CAROLE E. STONE Mgmt Split 97% For 3% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN QUALITY PREFERRED INCOME FUND 3 Agenda Number: 934049443
--------------------------------------------------------------------------------------------------------------------------
Security: 67072W101
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: JHP
ISIN: US67072W1018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 93% For 4% Against 3% Abstain*
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2E. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 93% For 4% Against 3% Abstain*
BETWEEN NUVEEN FUND ADVISORS AND SPECTRUM
ASSET MANAGEMENT INC.
3B. DIRECTOR
THOMAS S. SCHREIER, JR. Mgmt Split 94% For 6% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN QUALITY PREFERRED INCOME FUND 3 Agenda Number: 934128415
--------------------------------------------------------------------------------------------------------------------------
Security: 67072W101
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: JHP
ISIN: US67072W1018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
JACK B. EVANS Mgmt Split 97% For 3% Withheld Split
WILLIAM J. SCHNEIDER Mgmt Split 97% For 3% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN SELECT QUALITY MUNI FD INC Agenda Number: 934048516
--------------------------------------------------------------------------------------------------------------------------
Security: 670973106
Meeting Type: Annual
Meeting Date: 05-Aug-2014
Ticker: NQS
ISIN: US6709731060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 94% For 3% Against 3% AbstainSplit
BETWEEN NUVEEN FUND ADVISORS AND NUVEEN
ASSET MANAGEMENT, LLC.
3. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 96% For 4% Withheld Split
ROBERT P. BREMNER Mgmt Split 96% For 4% Withheld Split
JACK B. EVANS Mgmt Split 96% For 4% Withheld Split
DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split
JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split
THOMAS S. SCHREIER, JR. Mgmt Split 96% For 4% Withheld Split
JUDITH M. STOCKDALE Mgmt Split 96% For 4% Withheld Split
CAROLE E. STONE Mgmt Split 96% For 4% Withheld Split
VIRGINIA L. STRINGER Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN SENIOR INCOME FUND Agenda Number: 934049417
--------------------------------------------------------------------------------------------------------------------------
Security: 67067Y104
Meeting Type: Special
Meeting Date: 07-Nov-2014
Ticker: NSL
ISIN: US67067Y1047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE A NEW INVESTMENT MANAGEMENT Mgmt Split 95% For 2% Against 3% Abstain*
AGREEMENT BETWEEN THE FUND AND NUVEEN FUND
ADVISORS, LLC ("NUVEEN FUND ADVISORS"), THE
FUND'S INVESTMENT ADVISER.
2C. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 95% For 3% Against 2% Abstain*
BETWEEN NUVEEN FUND ADVISORS AND SYMPHONY
ASSET MANAGEMENT LLC.
3A. DIRECTOR
WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld *
JOHN K. NELSON Mgmt Split 97% For 3% Withheld *
THOMAS S. SCHREIER, JR. Mgmt Split 97% For 3% Withheld *
--------------------------------------------------------------------------------------------------------------------------
NUVEEN SENIOR INCOME FUND Agenda Number: 934128453
--------------------------------------------------------------------------------------------------------------------------
Security: 67067Y104
Meeting Type: Annual
Meeting Date: 26-Mar-2015
Ticker: NSL
ISIN: US67067Y1047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1D. DIRECTOR
WILLIAM ADAMS IV* Mgmt Split 98% For 2% Withheld Split
DAVID J. KUNDERT* Mgmt Split 98% For 2% Withheld Split
JOHN K. NELSON* Mgmt Split 98% For 2% Withheld Split
TERENCE J. TOTH* Mgmt Split 98% For 2% Withheld Split
JACK B. EVANS# Mgmt Split 98% For 2% Withheld Split
THOMAS S. SCHREIER, JR# Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PAN AMERICAN SILVER CORP. Agenda Number: 934195303
--------------------------------------------------------------------------------------------------------------------------
Security: 697900108
Meeting Type: Annual and Special
Meeting Date: 11-May-2015
Ticker: PAAS
ISIN: CA6979001089
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
ROSS J. BEATY Mgmt For For
GEOFFREY A. BURNS Mgmt For For
MICHAEL L. CARROLL Mgmt For For
CHRISTOPHER NOEL DUNN Mgmt For For
NEIL DE GELDER Mgmt For For
DAVID C. PRESS Mgmt For For
WALTER T. SEGSWORTH Mgmt For For
02 APPOINTMENT OF DELOITTE LLP AS AUDITORS OF Mgmt For For
THE CORPORATION FOR THE ENSUING YEAR AND
AUTHORIZING THE DIRECTORS TO FIX THEIR
REMUNERATION.
03 TO CONSIDER AND, IF THOUGHT APPROPRIATE, TO Mgmt For For
PASS AN ORDINARY RESOLUTION APPROVING THE
CORPORATION'S APPROACH TO EXECUTIVE
COMPENSATION, THE COMPLETE TEXT OF WHICH IS
SET OUT IN THE INFORMATION CIRCULAR FOR THE
MEETING.
04 TO CONSIDER AND, IF DEEMED ADVISABLE, TO Mgmt For For
APPROVE AN ORDINARY RESOLUTION TO AMEND THE
TERMS OF THE COMPANY'S STOCK OPTION AND
COMPENSATION SHARE PLAN, THE COMPLETE TEXT
OF WHICH IS SET OUT IN APPENDIX B TO THE
INFORMATION CIRCULAR FOR THE MEETING.
--------------------------------------------------------------------------------------------------------------------------
PEABODY ENERGY CORPORATION Agenda Number: 934151414
--------------------------------------------------------------------------------------------------------------------------
Security: 704549104
Meeting Type: Annual
Meeting Date: 04-May-2015
Ticker: BTU
ISIN: US7045491047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
GREGORY H. BOYCE Mgmt For For
WILLIAM A. COLEY Mgmt For For
WILLIAM E. JAMES Mgmt For For
ROBERT B. KARN III Mgmt For For
GLENN L. KELLOW Mgmt For For
HENRY E. LENTZ Mgmt For For
ROBERT A. MALONE Mgmt For For
WILLIAM C. RUSNACK Mgmt For For
MICHAEL W. SUTHERLIN Mgmt For For
JOHN F. TURNER Mgmt For For
SANDRA A. VAN TREASE Mgmt For For
HEATHER A. WILSON Mgmt For For
2. RATIFICATION OF APPOINTMENT OF ERNST & Mgmt For For
YOUNG LLP AS OUR INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR 2015.
3. APPROVAL, ON AN ADVISORY BASIS, OF OUR Mgmt For For
NAMED EXECUTIVE OFFICERS' COMPENSATION.
4. APPROVAL OF OUR 2015 LONG-TERM INCENTIVE Mgmt For For
PLAN.
5. SHAREHOLDER PROPOSAL ON PROXY ACCESS. Shr Against For
--------------------------------------------------------------------------------------------------------------------------
PETROLEO BRASILEIRO S.A. - PETROBRAS Agenda Number: 934118147
--------------------------------------------------------------------------------------------------------------------------
Security: 71654V408
Meeting Type: Special
Meeting Date: 30-Jan-2015
Ticker: PBR
ISIN: US71654V4086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
I. MERGER OF ENERGETICA CAMACARI MURICY I S.A. Mgmt For For
("MURICY") INTO PETROBRAS... (DUE TO SPACE
LIMITS, SEE PROXY STATEMENT FOR FULL
PROPOSAL)
II. MERGER OF AREMBEPE ENERGIA SA ("AREMBEPE") Mgmt For For
INTO PETROBRAS... (DUE TO SPACE LIMITS, SEE
PROXY STATEMENT FOR FULL PROPOSAL)
--------------------------------------------------------------------------------------------------------------------------
PETROLEO BRASILEIRO S.A. - PETROBRAS Agenda Number: 934186518
--------------------------------------------------------------------------------------------------------------------------
Security: 71654V408
Meeting Type: Special
Meeting Date: 29-Apr-2015
Ticker: PBR
ISIN: US71654V4086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF THE MEMBER OF THE BOARD OF Mgmt For
DIRECTORS: APPOINTED BY THE CONTROLLING
SHAREHOLDER
1B. ELECTION OF THE MEMBER OF THE BOARD OF Mgmt For
DIRECTORS: APPOINTED BY THE MINORITY
SHAREHOLDERS: WALTER MENDES DE OLIVEIRA
FILHO
2. ELECTION OF CHAIRMAN OF THE BOARD OF Mgmt For
DIRECTORS.
3A. ELECTION OF THE MEMBERS OF THE AUDIT Mgmt For
COMMITTEE AND THEIR RESPECTIVE SUBSTITUTES:
APPOINTED BY THE CONTROLLING SHAREHOLDER
3B. ELECTION OF THE MEMBERS OF THE AUDIT Mgmt For
COMMITTEE AND THEIR RESPECTIVE SUBSTITUTES:
APPOINTED BY THE MINORITY SHAREHOLDERS:
REGINALDO FERREIRA ALEXANDRE & MARIO
CORDEIRO FILHO (SUBSTITUTE)
S1. FIXING OF THE MANAGERS' AND THE FISCAL Mgmt For For
COUNCILS' COMPENSATION.
S2. RATIFICATION OF THE USE OF RESOURCE Mgmt For For
REGARDING THE BALANCE OF THE TOTAL AMOUNT
OF OFFICERS AS APPROVED AT THE
EXTRAORDINARY GENERAL MEETING OF 2ND OF
APRIL, 2014 FOR PAYMENT OF VACATION
BALANCE, HOUSING ASSISTANCE AND AIRFARE FOR
MEMBERS OF THE EXECUTIVE BOARD.
--------------------------------------------------------------------------------------------------------------------------
PIMCO Agenda Number: 933998265
--------------------------------------------------------------------------------------------------------------------------
Security: 72202D106
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: PCI
ISIN: US72202D1063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN INVESTMENT MANAGEMENT Mgmt Split 82% For 2% Against 16% AbstainSplit
AGREEMENT BETWEEN THE FUND AND PACIFIC
INVESTMENT MANAGEMENT COMPANY LLC.
--------------------------------------------------------------------------------------------------------------------------
PIMCO Agenda Number: 934127449
--------------------------------------------------------------------------------------------------------------------------
Security: 72202D106
Meeting Type: Annual
Meeting Date: 30-Apr-2015
Ticker: PCI
ISIN: US72202D1063
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CRAIG A. DAWSON Mgmt Split 96% For 4% Withheld Split
BRADFORD K. GALLAGHER Mgmt Split 96% For 4% Withheld Split
JAMES A. JACOBSON Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO CORPORATE OPPORTUNITY FUND Agenda Number: 933998265
--------------------------------------------------------------------------------------------------------------------------
Security: 72201B101
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: PTY
ISIN: US72201B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN INVESTMENT MANAGEMENT Mgmt Split 82% For 3% Against 15% AbstainSplit
AGREEMENT BETWEEN THE FUND AND PACIFIC
INVESTMENT MANAGEMENT COMPANY LLC.
--------------------------------------------------------------------------------------------------------------------------
PIMCO DYNAMIC INCOME FUND Agenda Number: 933998265
--------------------------------------------------------------------------------------------------------------------------
Security: 72201Y101
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: PDI
ISIN: US72201Y1010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN INVESTMENT MANAGEMENT Mgmt Split 86% For 2% Against 12% AbstainSplit
AGREEMENT BETWEEN THE FUND AND PACIFIC
INVESTMENT MANAGEMENT COMPANY LLC.
--------------------------------------------------------------------------------------------------------------------------
PIMCO DYNAMIC INCOME FUND Agenda Number: 934096644
--------------------------------------------------------------------------------------------------------------------------
Security: 72201Y101
Meeting Type: Annual
Meeting Date: 18-Dec-2014
Ticker: PDI
ISIN: US72201Y1010
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CRAIG A. DAWSON Mgmt Split 98% For 2% Withheld Split
BRADFORD K. GALLAGHER Mgmt Split 96% For 4% Withheld Split
JAMES A. JACOBSON Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE INCOME FUND Agenda Number: 933996590
--------------------------------------------------------------------------------------------------------------------------
Security: 72201H108
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: PFL
ISIN: US72201H1086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN INVESTMENT MANAGEMENT Mgmt Split 79% For 2% Against 19% AbstainSplit
AGREEMENT BETWEEN THE FUND AND PACIFIC
INVESTMENT MANAGEMENT COMPANY LLC.
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE INCOME FUND Agenda Number: 934054468
--------------------------------------------------------------------------------------------------------------------------
Security: 72201H108
Meeting Type: Annual
Meeting Date: 31-Jul-2014
Ticker: PFL
ISIN: US72201H1086
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HANS W. KERTESS Mgmt Split 97% For 3% Withheld Split
WILLIAM B. OGDEN, IV Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE STRATEGY FUND Agenda Number: 933996590
--------------------------------------------------------------------------------------------------------------------------
Security: 72201J104
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: PFN
ISIN: US72201J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN INVESTMENT MANAGEMENT Mgmt Split 80% For 3% Against 17% AbstainSplit
AGREEMENT BETWEEN THE FUND AND PACIFIC
INVESTMENT MANAGEMENT COMPANY LLC.
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE STRATEGY FUND Agenda Number: 934054468
--------------------------------------------------------------------------------------------------------------------------
Security: 72201J104
Meeting Type: Annual
Meeting Date: 31-Jul-2014
Ticker: PFN
ISIN: US72201J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HANS W. KERTESS Mgmt No vote
WILLIAM B. OGDEN, IV Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
PIMCO FLOATING RATE STRATEGY FUND Agenda Number: 934243091
--------------------------------------------------------------------------------------------------------------------------
Security: 72201J104
Meeting Type: Annual
Meeting Date: 30-Jun-2015
Ticker: PFN
ISIN: US72201J1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CRAIG A. DAWSON Mgmt Split 97% For 3% Withheld *
ALAN RAPPAPORT Mgmt Split 97% For 3% Withheld *
--------------------------------------------------------------------------------------------------------------------------
PIMCO INCOME OPPORTUNITY FD Agenda Number: 933998265
--------------------------------------------------------------------------------------------------------------------------
Security: 72202B100
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: PKO
ISIN: US72202B1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN INVESTMENT MANAGEMENT Mgmt Split 84% For 2% Against 14% AbstainSplit
AGREEMENT BETWEEN THE FUND AND PACIFIC
INVESTMENT MANAGEMENT COMPANY LLC.
--------------------------------------------------------------------------------------------------------------------------
PIMCO MUNICIPAL INCOME FUND II Agenda Number: 933998265
--------------------------------------------------------------------------------------------------------------------------
Security: 72200W106
Meeting Type: Special
Meeting Date: 31-Jul-2014
Ticker: PML
ISIN: US72200W1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO APPROVE AN INVESTMENT MANAGEMENT Mgmt Split 82% For 5% Against 13% AbstainSplit
AGREEMENT BETWEEN THE FUND AND PACIFIC
INVESTMENT MANAGEMENT COMPANY LLC.
--------------------------------------------------------------------------------------------------------------------------
PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 934116713
--------------------------------------------------------------------------------------------------------------------------
Security: 74442F107
Meeting Type: Annual
Meeting Date: 13-Mar-2015
Ticker: ISD
ISIN: US74442F1075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. BENJAMIN Mgmt Split 98% For 2% Withheld Split
LINDA W. BYNOE Mgmt Split 98% For 2% Withheld Split
MICHAEL S. HYLAND Mgmt Split 98% For 2% Withheld Split
JAMES E. QUINN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 934116725
--------------------------------------------------------------------------------------------------------------------------
Security: 74433A109
Meeting Type: Annual
Meeting Date: 13-Mar-2015
Ticker: GHY
ISIN: US74433A1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SCOTT E. BENJAMIN Mgmt Split 97% For 3% Withheld Split
LINDA W. BYNOE Mgmt Split 97% For 3% Withheld Split
MICHAEL S. HYLAND Mgmt Split 97% For 3% Withheld Split
JAMES E. QUINN Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MASTER INTERMEDIATE INCOME TRUST Agenda Number: 934129520
--------------------------------------------------------------------------------------------------------------------------
Security: 746909100
Meeting Type: Annual
Meeting Date: 23-Apr-2015
Ticker: PIM
ISIN: US7469091000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 86% For 12% Against 2% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 79% For 21% Withheld Split
RAVI AKHOURY Mgmt Split 79% For 21% Withheld Split
BARBARA M. BAUMANN Mgmt Split 80% For 20% Withheld Split
JAMESON A. BAXTER Mgmt Split 91% For 9% Withheld Split
CHARLES B. CURTIS Mgmt Split 91% For 9% Withheld Split
ROBERT J. DARRETTA Mgmt Split 80% For 20% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 79% For 21% Withheld Split
JOHN A. HILL Mgmt Split 91% For 9% Withheld Split
PAUL L. JOSKOW Mgmt Split 80% For 20% Withheld Split
KENNETH R. LEIBLER Mgmt Split 80% For 20% Withheld Split
ROBERT E. PATTERSON Mgmt Split 91% For 9% Withheld Split
GEORGE PUTNAM, III Mgmt Split 91% For 9% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 80% For 20% Withheld Split
W. THOMAS STEPHENS Mgmt Split 80% For 20% Withheld Split
2. APPROVAL OF THE CONVERSION OF YOUR FUND Shr Split 52% For 46% Against 2% AbstainSplit
FROM CLOSED-END TO OPEN-END STATUS AND
CERTAIN RELATED AMENDMENTS TO YOUR FUND'S
DECLARATION OF TRUST.
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MUNICIPAL OPPORTUNITIES TRUST Agenda Number: 934129532
--------------------------------------------------------------------------------------------------------------------------
Security: 746922103
Meeting Type: Annual
Meeting Date: 23-Apr-2015
Ticker: PMO
ISIN: US7469221037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 81% For 18% Against 1% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 82% For 18% Withheld Split
RAVI AKHOURY Mgmt Split 82% For 18% Withheld Split
BARBARA M. BAUMANN Mgmt Split 82% For 18% Withheld Split
JAMESON A. BAXTER Mgmt Split 82% For 18% Withheld Split
CHARLES B. CURTIS Mgmt Split 83% For 17% Withheld Split
ROBERT J. DARRETTA Mgmt Split 83% For 17% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 82% For 18% Withheld Split
PAUL L. JOSKOW Mgmt Split 83% For 17% Withheld Split
KENNETH R. LEIBLER Mgmt Split 83% For 17% Withheld Split
GEORGE PUTNAM, III Mgmt Split 82% For 18% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 83% For 17% Withheld Split
W. THOMAS STEPHENS Mgmt Split 82% For 18% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PUTNAM PREMIER INCOME TRUST Agenda Number: 934129520
--------------------------------------------------------------------------------------------------------------------------
Security: 746853100
Meeting Type: Annual
Meeting Date: 23-Apr-2015
Ticker: PPT
ISIN: US7468531006
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. FIXING THE NUMBER OF TRUSTEES AT 14. Mgmt Split 87% For 11% Against 2% AbstainSplit
1B. DIRECTOR
LIAQUAT AHAMED Mgmt Split 66% For 34% Withheld Split
RAVI AKHOURY Mgmt Split 66% For 34% Withheld Split
BARBARA M. BAUMANN Mgmt Split 66% For 34% Withheld Split
JAMESON A. BAXTER Mgmt Split 77% For 23% Withheld Split
CHARLES B. CURTIS Mgmt Split 77% For 23% Withheld Split
ROBERT J. DARRETTA Mgmt Split 66% For 34% Withheld Split
KATINKA DOMOTORFFY Mgmt Split 66% For 34% Withheld Split
JOHN A. HILL Mgmt Split 77% For 23% Withheld Split
PAUL L. JOSKOW Mgmt Split 66% For 34% Withheld Split
KENNETH R. LEIBLER Mgmt Split 66% For 34% Withheld Split
ROBERT E. PATTERSON Mgmt Split 77% For 23% Withheld Split
GEORGE PUTNAM, III Mgmt Split 77% For 23% Withheld Split
ROBERT L. REYNOLDS Mgmt Split 66% For 34% Withheld Split
W. THOMAS STEPHENS Mgmt Split 66% For 34% Withheld Split
2. APPROVAL OF THE CONVERSION OF YOUR FUND Shr Split 52% For 46% Against 2% AbstainSplit
FROM CLOSED-END TO OPEN-END STATUS AND
CERTAIN RELATED AMENDMENTS TO YOUR FUND'S
DECLARATION OF TRUST.
--------------------------------------------------------------------------------------------------------------------------
ROYCE FOCUS TRUST, INC. Agenda Number: 934065346
--------------------------------------------------------------------------------------------------------------------------
Security: 78080N108
Meeting Type: Annual
Meeting Date: 24-Sep-2014
Ticker: FUND
ISIN: US78080N1081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD M. GALKIN Mgmt Split 99% For 1% Withheld Split
PATRICIA W. CHADWICK Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE FOCUS TRUST, INC. Agenda Number: 934117652
--------------------------------------------------------------------------------------------------------------------------
Security: 78080N108
Meeting Type: Special
Meeting Date: 26-Feb-2015
Ticker: FUND
ISIN: US78080N1081
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. TO CONSIDER AND APPROVE A NEW INVESTMENT Mgmt Split 98% For 2% Against Split
ADVISORY AGREEMENT BY AND BETWEEN ROYCE
FOCUS TRUST, INC. AND SPROTT ASSET
MANAGEMENT L.P.
2. TO CONSIDER AND APPROVE A NEW INVESTMENT Mgmt Split 98% For 2% Against Split
SUB-ADVISORY AGREEMENT BY AND AMONG ROYCE
FOCUS TRUST, INC., SPROTT ASSET MANAGEMENT
L.P., AND SPROTT ASSET MANAGEMENT USA INC.
3. DIRECTOR
W. WHITNEY GEORGE Mgmt Split 98% For 2% Withheld Split
JAMES R. PIERCE, JR. Mgmt Split 98% For 2% Withheld Split
BARBARA CONNOLLY KEADY Mgmt Split 98% For 2% Withheld Split
MICHAEL W. CLARK Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE FUNDS Agenda Number: 934065358
--------------------------------------------------------------------------------------------------------------------------
Security: 78081T104
Meeting Type: Annual
Meeting Date: 24-Sep-2014
Ticker: RGT
ISIN: US78081T1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD M. GALKIN Mgmt Split 97% For 3% Withheld Split
STEPHEN L. ISAACS Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE VALUE TRUST, INC. Agenda Number: 934065372
--------------------------------------------------------------------------------------------------------------------------
Security: 780910105
Meeting Type: Annual
Meeting Date: 24-Sep-2014
Ticker: RVT
ISIN: US7809101055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RICHARD M. GALKIN Mgmt Split 96% For 4% Withheld Split
STEPHEN L. ISAACS Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
SINA CORPORATION Agenda Number: 934055802
--------------------------------------------------------------------------------------------------------------------------
Security: G81477104
Meeting Type: Annual
Meeting Date: 08-Aug-2014
Ticker: SINA
ISIN: KYG814771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. RE-ELECTION OF PEHONG CHEN AS A DIRECTOR OF Mgmt For For
THE COMPANY
2. RE-ELECTION OF LIP-BU TAN AS A DIRECTOR OF Mgmt For For
THE COMPANY
3. RATIFY THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS ZHONG TIAN LLP AS
THE INDEPENDENT AUDITORS OF THE COMPANY
--------------------------------------------------------------------------------------------------------------------------
SOURCE CAPITAL, INC. Agenda Number: 934162506
--------------------------------------------------------------------------------------------------------------------------
Security: 836144105
Meeting Type: Annual
Meeting Date: 11-May-2015
Ticker: SOR
ISIN: US8361441053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ENDE Mgmt Split 97% For 3% Withheld Split
MERRICK Mgmt Split 96% For 4% Withheld Split
OSBORNE Mgmt Split 96% For 4% Withheld Split
PISANO Mgmt Split 96% For 4% Withheld Split
PURCELL Mgmt Split 96% For 4% Withheld Split
RUDNICK Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
STRATEGIC GLOBAL INCOME FUND, INC. Agenda Number: 934124203
--------------------------------------------------------------------------------------------------------------------------
Security: 862719101
Meeting Type: Annual
Meeting Date: 12-Mar-2015
Ticker: SGL
ISIN: US8627191013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BERNARD H. GARIL Mgmt Split 92% For 8% Withheld Split
HEATHER R. HIGGINS Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TCW STRATEGIC INCOME FUND, INC. Agenda Number: 934066108
--------------------------------------------------------------------------------------------------------------------------
Security: 872340104
Meeting Type: Annual
Meeting Date: 09-Sep-2014
Ticker: TSI
ISIN: US8723401043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
SAMUEL P. BELL Mgmt Split 98% For 2% Withheld Split
DAVID S. DEVITO Mgmt Split 99% For 1% Withheld Split
JOHN A. GAVIN Mgmt Split 98% For 2% Withheld Split
PATRICK C. HADEN Mgmt Split 87% For 13% Withheld Split
JANET E. KERR Mgmt Split 99% For 1% Withheld Split
DAVID LIPPMAN Mgmt Split 99% For 1% Withheld Split
PETER MCMILLAN Mgmt Split 99% For 1% Withheld Split
CHARLES A. PARKER Mgmt Split 98% For 2% Withheld Split
VICTORIA B. ROGERS Mgmt Split 99% For 1% Withheld Split
ANDREW TARICA Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TEMPLETON EMERGING MKTS INCOME FUND Agenda Number: 934114404
--------------------------------------------------------------------------------------------------------------------------
Security: 880192109
Meeting Type: Annual
Meeting Date: 02-Mar-2015
Ticker: TEI
ISIN: US8801921094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ANN TORRE BATES Mgmt Split 96% For 4% Withheld Split
DAVID W. NIEMIEC Mgmt Split 96% For 4% Withheld Split
LARRY D. THOMPSON Mgmt Split 96% For 4% Withheld Split
ROBERT E. WADE Mgmt Split 96% For 4% Withheld Split
2. RATIFICATION OF THE SELECTION OF Mgmt Split 97% For 1% Against 2% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FUND FOR THE FISCAL YEAR
ENDING AUGUST 31, 2015.
--------------------------------------------------------------------------------------------------------------------------
TEMPLETON GLOBAL INCOME FUND Agenda Number: 934114391
--------------------------------------------------------------------------------------------------------------------------
Security: 880198106
Meeting Type: Annual
Meeting Date: 02-Mar-2015
Ticker: GIM
ISIN: US8801981064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HARRIS J. ASHTON Mgmt Split 97% For 3% Withheld Split
ANN TORRE BATES Mgmt Split 97% For 3% Withheld Split
DAVID W. NIEMIEC Mgmt Split 97% For 3% Withheld Split
ROBERT E. WADE Mgmt Split 97% For 3% Withheld Split
2. RATIFICATION OF THE SELECTION OF Mgmt Split 98% For 1% Against 1% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FUND FOR THE FISCAL YEAR
ENDING AUGUST 31, 2015.
--------------------------------------------------------------------------------------------------------------------------
THE BROOKFIELD INVESTMENT FUNDS Agenda Number: 934090197
--------------------------------------------------------------------------------------------------------------------------
Security: 112792106
Meeting Type: Annual
Meeting Date: 20-Nov-2014
Ticker: BOI
ISIN: US1127921062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HEATHER GOLDMAN Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
THE DENALI FUND INC. Agenda Number: 934089788
--------------------------------------------------------------------------------------------------------------------------
Security: 24823A102
Meeting Type: Special
Meeting Date: 14-Nov-2014
Ticker: DNY
ISIN: US24823A1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
4 TO APPROVE AN AGREEMENT AND PLAN OF Mgmt For For
REORGANIZATION PURSUANT TO WHICH THE DENALI
FUND INC. WOULD TRANSFER ALL OF ITS ASSETS
TO BOULDER GROWTH & INCOME FUND, INC. IN
EXCHANGE FOR SHARES OF BOULDER GROWTH &
INCOME FUND, INC., AND THE ASSUMPTION BY
BOULDER GROWTH & INCOME FUND, INC. OF ALL
OF THE LIABILITIES OF THE DENALI FUND INC.
9 TO APPROVE A MOTION TO ADJOURN OR POSTPONE Mgmt Split 99% For 1% Against Split
THE SPECIAL MEETING TO ANOTHER TIME AND/OR
PLACE FOR THE PURPOSE OF SOLICITING
ADDITIONAL PROXIES IN FAVOR OF THE
PROPOSALS TO BE SUBMITTED AT THE SPECIAL
MEETING, IF NECESSARY.
--------------------------------------------------------------------------------------------------------------------------
THE NEW AMERICA HIGH INCOME FUND, INC. Agenda Number: 934130648
--------------------------------------------------------------------------------------------------------------------------
Security: 641876800
Meeting Type: Annual
Meeting Date: 23-Apr-2015
Ticker: HYB
ISIN: US6418768007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT F. BIRCH Mgmt Split 74% For 26% Withheld Split
JOSEPH L. BOWER Mgmt Split 88% For 12% Withheld Split
BERNARD J. KORMAN Mgmt Split 88% For 12% Withheld Split
STUART A. MCFARLAND Mgmt Split 95% For 5% Withheld Split
MARGUERITE PIRET Mgmt Split 95% For 5% Withheld Split
OLEG M. POHOTSKY Mgmt Split 95% For 5% Withheld Split
ELLEN E. TERRY Mgmt Split 75% For 25% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
THE THAI FUND, INC. Agenda Number: 934015214
--------------------------------------------------------------------------------------------------------------------------
Security: 882904105
Meeting Type: Annual
Meeting Date: 01-Jul-2014
Ticker: TTF
ISIN: US8829041057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KATHLEEN A. DENNIS Mgmt Split 54% For 46% Withheld Split
JOSEPH J. KEARNS Mgmt Split 54% For 46% Withheld Split
MICHAEL E. NUGENT Mgmt Split 54% For 46% Withheld Split
FERGUS REID Mgmt Split 54% For 46% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 934217779
--------------------------------------------------------------------------------------------------------------------------
Security: 989837208
Meeting Type: Annual
Meeting Date: 11-Jun-2015
Ticker: ZTR
ISIN: US9898372084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JAMES B. ROGERS, JR. Mgmt Split 68% For 32% Withheld Split
CHRISTOPHER RUDDY Mgmt Split 69% For 31% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TORTOISE ENERGY INFRASTRUCTURE CORP. Agenda Number: 934180237
--------------------------------------------------------------------------------------------------------------------------
Security: 89147L100
Meeting Type: Annual
Meeting Date: 18-May-2015
Ticker: TYG
ISIN: US89147L1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RAND C. BERNEY Mgmt Split 98% For 2% Withheld Split
2. RATIFICATION OF ERNST & YOUNG LLP AS THE Mgmt Split 98% For 1% Against 1% AbstainSplit
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM TO AUDIT THE FINANCIAL
STATEMENTS OF THE COMPANY FOR THE FISCAL
YEAR ENDING NOVEMBER 30, 2015.
--------------------------------------------------------------------------------------------------------------------------
TORTOISE ENERGY INFRASTRUCTURE CORP. Agenda Number: 934180249
--------------------------------------------------------------------------------------------------------------------------
Security: 89147L803
Meeting Type: Annual
Meeting Date: 18-May-2015
Ticker: TYGPRC
ISIN: US89147L8037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CHARLES E. HEATH Mgmt Split 98% For 2% Withheld Split
RAND C. BERNEY Mgmt Split 98% For 2% Withheld Split
2. RATIFICATION OF ERNST & YOUNG LLP AS THE Mgmt Split 97% For 2% Against 1% AbstainSplit
COMPANY'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM TO AUDIT THE FINANCIAL
STATEMENTS OF THE COMPANY FOR THE FISCAL
YEAR ENDING NOVEMBER 30, 2015.
--------------------------------------------------------------------------------------------------------------------------
TRI-CONTINENTAL CORPORATION Agenda Number: 934139189
--------------------------------------------------------------------------------------------------------------------------
Security: 895436103
Meeting Type: Annual
Meeting Date: 13-Apr-2015
Ticker: TY
ISIN: US8954361031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KATHLEEN BLATZ Mgmt Split 63% For 37% Withheld Split
PAMELA G. CARLTON Mgmt Split 63% For 37% Withheld Split
ALISON TAUNTON-RIGBY Mgmt Split 63% For 37% Withheld Split
WILLIAM A. HAWKINS Mgmt Split 63% For 37% Withheld Split
2. TO RATIFY THE SELECTION OF Mgmt Split 77% For 22% Against 1% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS THE
CORPORATION'S INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM.
3. STOCKHOLDER PROPOSAL REGARDING SELF-TENDER Shr Split 50% For 47% Against 3% AbstainSplit
OFFER.
--------------------------------------------------------------------------------------------------------------------------
ULTRA PETROLEUM CORP. Agenda Number: 934171480
--------------------------------------------------------------------------------------------------------------------------
Security: 903914109
Meeting Type: Annual
Meeting Date: 21-May-2015
Ticker: UPL
ISIN: CA9039141093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: MICHAEL D. WATFORD Mgmt For For
1B. ELECTION OF DIRECTOR: W. CHARLES HELTON Mgmt For For
1C. ELECTION OF DIRECTOR: STEPHEN J. MCDANIEL Mgmt For For
1D. ELECTION OF DIRECTOR: ROGER A. BROWN Mgmt For For
1E. ELECTION OF DIRECTOR: MICHAEL J. KEEFFE Mgmt For For
2. APPOINTMENT OF AUDITORS Mgmt For For
3. ADVISORY VOTE ON EXECUTIVE COMPENSATION Mgmt For For
4. SHAREHOLDER PROPOSAL, IF PRESENTED Shr Against For
--------------------------------------------------------------------------------------------------------------------------
VAN KAMPEN FUNDS Agenda Number: 934062249
--------------------------------------------------------------------------------------------------------------------------
Security: 46131J103
Meeting Type: Annual
Meeting Date: 29-Aug-2014
Ticker: VKQ
ISIN: US46131J1034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: ALBERT R. Mgmt Split 78% For 20% Against 2% AbstainSplit
DOWDEN
1B. ELECTION OF CLASS I TRUSTEE: DR. PREMA Mgmt Split 77% For 20% Against 3% AbstainSplit
MATHAI-DAVIS
1C. ELECTION OF CLASS I TRUSTEE: RAYMOND Mgmt Split 77% For 20% Against 3% AbstainSplit
STICKEL, JR.
1D. ELECTION OF CLASS II TRUSTEE: DAVID C. ARCH Mgmt Split 78% For 20% Against 2% AbstainSplit
1E. ELECTION OF CLASS II TRUSTEE: DR. LARRY Mgmt Split 77% For 20% Against 3% AbstainSplit
SOLL
1F. ELECTION OF CLASS II TRUSTEE: PHILIP A. Mgmt Split 78% For 20% Against 2% AbstainSplit
TAYLOR
1G. ELECTION OF CLASS II TRUSTEE: SUZANNE H. Mgmt Split 77% For 20% Against 3% AbstainSplit
WOOLSEY
1H. ELECTION OF CLASS III TRUSTEE: JAMES T. Mgmt Split 77% For 20% Against 3% AbstainSplit
BUNCH
1I. ELECTION OF CLASS III TRUSTEE: BRUCE L. Mgmt Split 78% For 20% Against 2% AbstainSplit
CROCKETT
1J. ELECTION OF CLASS III TRUSTEE: RODNEY F. Mgmt Split 77% For 20% Against 3% AbstainSplit
DAMMEYER
1K. ELECTION OF CLASS III TRUSTEE: JACK M. Mgmt Split 78% For 20% Against 2% AbstainSplit
FIELDS
1L. ELECTION OF CLASS III TRUSTEE: MARTIN L. Mgmt Split 78% For 20% Against 2% AbstainSplit
FLANAGAN
--------------------------------------------------------------------------------------------------------------------------
VAN KAMPEN FUNDS Agenda Number: 934062249
--------------------------------------------------------------------------------------------------------------------------
Security: 46131M106
Meeting Type: Annual
Meeting Date: 29-Aug-2014
Ticker: VGM
ISIN: US46131M1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: ALBERT R. Mgmt Split 88% For 10% Against 2% AbstainSplit
DOWDEN
1B. ELECTION OF CLASS I TRUSTEE: DR. PREMA Mgmt Split 88% For 10% Against 2% AbstainSplit
MATHAI-DAVIS
1C. ELECTION OF CLASS I TRUSTEE: RAYMOND Mgmt Split 88% For 10% Against 2% AbstainSplit
STICKEL, JR.
1D. ELECTION OF CLASS II TRUSTEE: DAVID C. ARCH Mgmt Split 88% For 10% Against 2% AbstainSplit
1E. ELECTION OF CLASS II TRUSTEE: DR. LARRY Mgmt Split 88% For 10% Against 2% AbstainSplit
SOLL
1F. ELECTION OF CLASS II TRUSTEE: PHILIP A. Mgmt Split 89% For 10% Against 1% AbstainSplit
TAYLOR
1G. ELECTION OF CLASS II TRUSTEE: SUZANNE H. Mgmt Split 88% For 10% Against 2% AbstainSplit
WOOLSEY
1H. ELECTION OF CLASS III TRUSTEE: JAMES T. Mgmt Split 88% For 10% Against 2% AbstainSplit
BUNCH
1I. ELECTION OF CLASS III TRUSTEE: BRUCE L. Mgmt Split 88% For 10% Against 2% AbstainSplit
CROCKETT
1J. ELECTION OF CLASS III TRUSTEE: RODNEY F. Mgmt Split 88% For 10% Against 2% AbstainSplit
DAMMEYER
1K. ELECTION OF CLASS III TRUSTEE: JACK M. Mgmt Split 88% For 10% Against 2% AbstainSplit
FIELDS
1L. ELECTION OF CLASS III TRUSTEE: MARTIN L. Mgmt Split 88% For 10% Against 2% AbstainSplit
FLANAGAN
--------------------------------------------------------------------------------------------------------------------------
VAN KAMPEN FUNDS Agenda Number: 934062249
--------------------------------------------------------------------------------------------------------------------------
Security: 46132C107
Meeting Type: Annual
Meeting Date: 29-Aug-2014
Ticker: VMO
ISIN: US46132C1071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: ALBERT R. Mgmt Split 84% For 14% Against 2% AbstainSplit
DOWDEN
1B. ELECTION OF CLASS I TRUSTEE: DR. PREMA Mgmt Split 84% For 14% Against 2% AbstainSplit
MATHAI-DAVIS
1C. ELECTION OF CLASS I TRUSTEE: RAYMOND Mgmt Split 84% For 13% Against 3% AbstainSplit
STICKEL, JR.
1D. ELECTION OF CLASS II TRUSTEE: DAVID C. ARCH Mgmt Split 84% For 14% Against 2% AbstainSplit
1E. ELECTION OF CLASS II TRUSTEE: DR. LARRY Mgmt Split 84% For 14% Against 2% AbstainSplit
SOLL
1F. ELECTION OF CLASS II TRUSTEE: PHILIP A. Mgmt Split 84% For 14% Against 2% AbstainSplit
TAYLOR
1G. ELECTION OF CLASS II TRUSTEE: SUZANNE H. Mgmt Split 84% For 14% Against 2% AbstainSplit
WOOLSEY
1H. ELECTION OF CLASS III TRUSTEE: JAMES T. Mgmt Split 84% For 14% Against 2% AbstainSplit
BUNCH
1I. ELECTION OF CLASS III TRUSTEE: BRUCE L. Mgmt Split 84% For 14% Against 2% AbstainSplit
CROCKETT
1J. ELECTION OF CLASS III TRUSTEE: RODNEY F. Mgmt Split 84% For 14% Against 2% AbstainSplit
DAMMEYER
1K. ELECTION OF CLASS III TRUSTEE: JACK M. Mgmt Split 84% For 14% Against 2% AbstainSplit
FIELDS
1L. ELECTION OF CLASS III TRUSTEE: MARTIN L. Mgmt Split 84% For 14% Against 2% AbstainSplit
FLANAGAN
--------------------------------------------------------------------------------------------------------------------------
VAN KAMPEN FUNDS Agenda Number: 934062249
--------------------------------------------------------------------------------------------------------------------------
Security: 46132E103
Meeting Type: Annual
Meeting Date: 29-Aug-2014
Ticker: VKI
ISIN: US46132E1038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: ALBERT R. Mgmt Split 91% For 7% Against 2% AbstainSplit
DOWDEN
1B. ELECTION OF CLASS I TRUSTEE: DR. PREMA Mgmt Split 91% For 7% Against 2% AbstainSplit
MATHAI-DAVIS
1C. ELECTION OF CLASS I TRUSTEE: RAYMOND Mgmt Split 91% For 7% Against 2% AbstainSplit
STICKEL, JR.
1D. ELECTION OF CLASS II TRUSTEE: DAVID C. ARCH Mgmt Split 91% For 7% Against 2% AbstainSplit
1E. ELECTION OF CLASS II TRUSTEE: DR. LARRY Mgmt Split 91% For 7% Against 2% AbstainSplit
SOLL
1F. ELECTION OF CLASS II TRUSTEE: PHILIP A. Mgmt Split 91% For 7% Against 2% AbstainSplit
TAYLOR
1G. ELECTION OF CLASS II TRUSTEE: SUZANNE H. Mgmt Split 90% For 8% Against 2% AbstainSplit
WOOLSEY
1H. ELECTION OF CLASS III TRUSTEE: JAMES T. Mgmt Split 91% For 7% Against 2% AbstainSplit
BUNCH
1I. ELECTION OF CLASS III TRUSTEE: BRUCE L. Mgmt Split 91% For 7% Against 2% AbstainSplit
CROCKETT
1J. ELECTION OF CLASS III TRUSTEE: RODNEY F. Mgmt Split 91% For 7% Against 2% AbstainSplit
DAMMEYER
1K. ELECTION OF CLASS III TRUSTEE: JACK M. Mgmt Split 91% For 7% Against 2% AbstainSplit
FIELDS
1L. ELECTION OF CLASS III TRUSTEE: MARTIN L. Mgmt Split 91% For 7% Against 2% AbstainSplit
FLANAGAN
--------------------------------------------------------------------------------------------------------------------------
VAN KAMPEN FUNDS Agenda Number: 934062249
--------------------------------------------------------------------------------------------------------------------------
Security: 46132H106
Meeting Type: Annual
Meeting Date: 29-Aug-2014
Ticker: VCV
ISIN: US46132H1068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: ALBERT R. Mgmt Split 93% For 3% Against 4% AbstainSplit
DOWDEN
1B. ELECTION OF CLASS I TRUSTEE: DR. PREMA Mgmt Split 93% For 3% Against 4% AbstainSplit
MATHAI-DAVIS
1C. ELECTION OF CLASS I TRUSTEE: RAYMOND Mgmt Split 93% For 3% Against 4% AbstainSplit
STICKEL, JR.
1D. ELECTION OF CLASS II TRUSTEE: DAVID C. ARCH Mgmt Split 93% For 3% Against 4% AbstainSplit
1E. ELECTION OF CLASS II TRUSTEE: DR. LARRY Mgmt Split 93% For 3% Against 4% AbstainSplit
SOLL
1F. ELECTION OF CLASS II TRUSTEE: PHILIP A. Mgmt Split 93% For 3% Against 4% AbstainSplit
TAYLOR
1G. ELECTION OF CLASS II TRUSTEE: SUZANNE H. Mgmt Split 93% For 3% Against 4% AbstainSplit
WOOLSEY
1H. ELECTION OF CLASS III TRUSTEE: JAMES T. Mgmt Split 93% For 3% Against 4% AbstainSplit
BUNCH
1I. ELECTION OF CLASS III TRUSTEE: BRUCE L. Mgmt Split 93% For 3% Against 4% AbstainSplit
CROCKETT
1J. ELECTION OF CLASS III TRUSTEE: RODNEY F. Mgmt Split 93% For 3% Against 4% AbstainSplit
DAMMEYER
1K. ELECTION OF CLASS III TRUSTEE: JACK M. Mgmt Split 93% For 3% Against 4% AbstainSplit
FIELDS
1L. ELECTION OF CLASS III TRUSTEE: MARTIN L. Mgmt Split 93% For 3% Against 4% AbstainSplit
FLANAGAN
--------------------------------------------------------------------------------------------------------------------------
VIRTUS INVESTMENT PARTNERS Agenda Number: 934216575
--------------------------------------------------------------------------------------------------------------------------
Security: 92829B101
Meeting Type: Annual
Meeting Date: 04-Jun-2015
Ticker: VGI
ISIN: US92829B1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PHILIP R. MCLOUGHLIN Mgmt Split 98% For 2% Withheld Split
GEORGE R. AYLWARD Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WEIGHT WATCHERS INTERNATIONAL, INC. Agenda Number: 934198614
--------------------------------------------------------------------------------------------------------------------------
Security: 948626106
Meeting Type: Annual
Meeting Date: 07-May-2015
Ticker: WTW
ISIN: US9486261061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
DENIS F. KELLY Mgmt For For
SACHA LAINOVIC Mgmt For For
CHRISTOPHER J. SOBECKI Mgmt For For
2. TO RATIFY THE SELECTION OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR FISCAL 2015.
3. TO APPROVE AN AMENDMENT TO THE COMPANY'S Mgmt For For
2014 STOCK INCENTIVE PLAN TO PERMIT A
ONE-TIME OPTION EXCHANGE.
--------------------------------------------------------------------------------------------------------------------------
WELLS FARGO ADVANTAGE FUNDS Agenda Number: 934116701
--------------------------------------------------------------------------------------------------------------------------
Security: 94987D101
Meeting Type: Annual
Meeting Date: 09-Feb-2015
Ticker: ERC
ISIN: US94987D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
WILLIAM R. EBSWORTH Mgmt Split 97% For 3% Withheld Split
JANE A. FREEMAN Mgmt Split 97% For 3% Withheld Split
JUDITH M. JOHNSON Mgmt Split 97% For 3% Withheld Split
DONALD C. WILLEKE Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET EMERGING MARKETS INCOME FD Agenda Number: 934072492
--------------------------------------------------------------------------------------------------------------------------
Security: 95766E103
Meeting Type: Annual
Meeting Date: 26-Sep-2014
Ticker: EMD
ISIN: US95766E1038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
EILEEN A. KAMERICK Mgmt Split 98% For 2% Withheld Split
KENNETH D. FULLER Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 934169839
--------------------------------------------------------------------------------------------------------------------------
Security: 95766A101
Meeting Type: Annual
Meeting Date: 24-Apr-2015
Ticker: ESD
ISIN: US95766A1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN* Mgmt Split 85% For 15% Withheld Split
DANIEL P. CRONIN* Mgmt Split 85% For 15% Withheld Split
PAOLO M. CUCCHI* Mgmt Split 85% For 15% Withheld Split
ROBERT D. AGDERN# Mgmt Split 86% For 14% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET WORLDWIDE INCOME FUND INC. Agenda Number: 934169827
--------------------------------------------------------------------------------------------------------------------------
Security: 957668106
Meeting Type: Annual
Meeting Date: 24-Apr-2015
Ticker: SBW
ISIN: US9576681061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN* Mgmt Split 83% For 17% Withheld Split
WILLIAM R. HUTCHINSON* Mgmt Split 84% For 16% Withheld Split
KENNETH D. FULLER* Mgmt Split 84% For 16% Withheld Split
ROBERT D. AGDERN# Mgmt Split 84% For 16% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 934227403
--------------------------------------------------------------------------------------------------------------------------
Security: 95766R104
Meeting Type: Annual
Meeting Date: 03-Jun-2015
Ticker: WIW
ISIN: US95766R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
RONALD A. NYBERG* Mgmt Split 92% For 8% Withheld Split
JANE E. TRUST# Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
YAHOO! INC. Agenda Number: 934220625
--------------------------------------------------------------------------------------------------------------------------
Security: 984332106
Meeting Type: Annual
Meeting Date: 24-Jun-2015
Ticker: YHOO
ISIN: US9843321061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF DIRECTOR: DAVID FILO Mgmt For For
1B. ELECTION OF DIRECTOR: SUSAN M. JAMES Mgmt For For
1C. ELECTION OF DIRECTOR: MAX R. LEVCHIN Mgmt For For
1D. ELECTION OF DIRECTOR: MARISSA A. MAYER Mgmt For For
1E. ELECTION OF DIRECTOR: THOMAS J. MCINERNEY Mgmt For For
1F. ELECTION OF DIRECTOR: CHARLES R. SCHWAB Mgmt For For
1G. ELECTION OF DIRECTOR: H. LEE SCOTT, JR. Mgmt For For
1H. ELECTION OF DIRECTOR: JANE E. SHAW, PH.D. Mgmt For For
1I. ELECTION OF DIRECTOR: MAYNARD G. WEBB, JR. Mgmt For For
2. APPROVAL, ON AN ADVISORY BASIS, OF THE Mgmt For For
COMPANY'S EXECUTIVE COMPENSATION.
3. RATIFICATION OF THE APPOINTMENT OF Mgmt For For
PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM.
4. SHAREHOLDER PROPOSAL REGARDING A BOARD Shr Against For
COMMITTEE ON HUMAN RIGHTS, IF PROPERLY
PRESENTED AT THE ANNUAL MEETING.
5. SHAREHOLDER PROPOSAL REGARDING A RIGHT TO Shr Against For
ACT BY WRITTEN CONSENT, IF PROPERLY
PRESENTED AT THE ANNUAL MEETING.
* Management position unknown
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) RiverNorth Funds
By (Signature) /s/ Patrick W. Galley
Name Patrick W. Galley
Title President
Date 08/28/2015