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: 07/01/2017 - 06/30/2018
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
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMERGING MKTS Agenda Number: 934631056
--------------------------------------------------------------------------------------------------------------------------
Security: 617477104
Meeting Type: Annual
Meeting Date: 03-Aug-2017
Ticker: EDD
ISIN: US6174771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KATHLEEN A. DENNIS Mgmt Split 95% For 5% Withheld Split
JOSEPH J. KEARNS Mgmt Split 95% For 5% Withheld Split
MICHAEL E. NUGENT Mgmt Split 95% For 5% Withheld Split
FERGUS REID Mgmt Split 95% For 5% Withheld Split
PATRICIA MALESKI Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMERGING MKTS Agenda Number: 934825831
--------------------------------------------------------------------------------------------------------------------------
Security: 617477104
Meeting Type: Annual
Meeting Date: 21-Jun-2018
Ticker: EDD
ISIN: US6174771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Nancy C. Everett Mgmt No vote
Michael F. Klein Mgmt No vote
W. Allen Reed Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 934729899
--------------------------------------------------------------------------------------------------------------------------
Security: 003009107
Meeting Type: Annual
Meeting Date: 29-Mar-2018
Ticker: FAX
ISIN: US0030091070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of class III Director: Martin J. Mgmt Split 80% For 19% Against 1% AbstainSplit
Gilbert
--------------------------------------------------------------------------------------------------------------------------
ADAMS DIVERSIFIED EQUITY FUND, INC. Agenda Number: 934730537
--------------------------------------------------------------------------------------------------------------------------
Security: 006212104
Meeting Type: Annual
Meeting Date: 19-Apr-2018
Ticker: ADX
ISIN: US0062121043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Enrique R. Arzac Mgmt Split 88% For 12% Withheld Split
Kenneth J. Dale Mgmt Split 89% For 11% Withheld Split
Frederic A. Escherich Mgmt Split 89% For 11% Withheld Split
Roger W. Gale Mgmt Split 88% For 12% Withheld Split
Lauriann C. Kloppenburg Mgmt Split 89% For 11% Withheld Split
Kathleen T. McGahran Mgmt Split 89% For 11% Withheld Split
Craig R. Smith Mgmt Split 88% For 12% Withheld Split
Mark E. Stoeckle Mgmt Split 89% For 11% Withheld Split
2. The selection of PricewaterhouseCoopers LLP Mgmt Split 98% For 1% Against 1% AbstainSplit
as independent public auditors.
--------------------------------------------------------------------------------------------------------------------------
ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD Agenda Number: 934734826
--------------------------------------------------------------------------------------------------------------------------
Security: 01879R106
Meeting Type: Annual
Meeting Date: 28-Mar-2018
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 NAT MUNI INCOME FD INC Agenda Number: 934734826
--------------------------------------------------------------------------------------------------------------------------
Security: 01864U106
Meeting Type: Annual
Meeting Date: 28-Mar-2018
Ticker: AFB
ISIN: US01864U1060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Marshall C. Turner, Jr. Mgmt Split 92% For 8% Withheld Split
Garry L. Moody Mgmt Split 92% For 8% Withheld Split
Earl D. Weiner Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ALLIANZGI DIVERSIFIED INCOME & CONVERT Agenda Number: 934642275
--------------------------------------------------------------------------------------------------------------------------
Security: 01883J108
Meeting Type: Annual
Meeting Date: 13-Jul-2017
Ticker: ACV
ISIN: US01883J1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
A. DOUGLAS EU Mgmt Split 98% For 2% Withheld *
F. FORD DRUMMOND Mgmt Split 98% For 2% Withheld *
JAMES S. MACLEOD Mgmt Split 98% For 2% Withheld *
--------------------------------------------------------------------------------------------------------------------------
ALLIANZGI EQUITY & CONVERTIBLE INCOME Agenda Number: 934642251
--------------------------------------------------------------------------------------------------------------------------
Security: 018829101
Meeting Type: Annual
Meeting Date: 13-Jul-2017
Ticker: NIE
ISIN: US0188291019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HANS W. KERTESS Mgmt Split 86% For 14% Withheld Split
WILLIAM B. OGDEN, IV Mgmt Split 86% For 14% Withheld Split
ALAN RAPPAPORT Mgmt Split 87% For 13% Withheld Split
DAVEY S. SCOON Mgmt Split 86% For 14% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST Agenda Number: 934642263
--------------------------------------------------------------------------------------------------------------------------
Security: 01883A107
Meeting Type: Annual
Meeting Date: 13-Jul-2017
Ticker: NFJ
ISIN: US01883A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
F. FORD DRUMMOND Mgmt Split 97% For 3% Withheld *
ALAN RAPPAPORT Mgmt Split 97% For 3% Withheld *
DAVEY S. SCOON Mgmt Split 97% For 3% Withheld *
--------------------------------------------------------------------------------------------------------------------------
ALPINE TOTAL DYNAMIC DIVIDEND FUND Agenda Number: 934719420
--------------------------------------------------------------------------------------------------------------------------
Security: 021060207
Meeting Type: Special
Meeting Date: 14-Mar-2018
Ticker: AOD
ISIN: US0210602076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve a new investment advisory Mgmt No vote
agreement between the Fund and Aberdeen
Asset Managers Limited.
2. DIRECTOR
John Sievwright Mgmt No vote
P. Gerald Malone Mgmt No vote
Nancy Yao Maasbach Mgmt No vote
Martin Gilbert Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
ANDINA ACQUISITION CORP II Agenda Number: 934690860
--------------------------------------------------------------------------------------------------------------------------
Security: G0441P104
Meeting Type: Special
Meeting Date: 31-Oct-2017
Ticker: ANDA
ISIN: KYG0441P1046
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. EXTENSION OF CORPORATE LIFE: AMEND THE Mgmt For For
COMPANY'S AMENDED AND RESTATED MEMORANDUM
AND ARTICLES OF ASSOCIATION TO EXTEND THE
DATE THAT THE COMPANY HAS TO CONSUMMATE A
BUSINESS COMBINATION TO FEBRUARY 1, 2018
1A. ONLY IF YOU HOLD ORDINARY SHARES OF THE Mgmt Against
COMPANY ISSUED IN THE COMPANY'S INITIAL
PUBLIC OFFERING, OR PUBLIC SHARES, MAY YOU
EXERCISE YOUR CONVERSION RIGHTS WITH
RESPECT TO ALL OR A PORTION OF YOUR PUBLIC
SHARES BY MARKING THE "FOR" BOX BELOW AND
INDICATING HOW MANY PUBLIC ...(DUE TO SPACE
LIMITS, SEE PROXY STATEMENT FOR FULL
PROPOSAL).
--------------------------------------------------------------------------------------------------------------------------
ANDINA ACQUISITION CORP II Agenda Number: 934720435
--------------------------------------------------------------------------------------------------------------------------
Security: G0441P104
Meeting Type: Special
Meeting Date: 31-Jan-2018
Ticker: ANDA
ISIN: KYG0441P1046
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life. Amend the Mgmt For For
Company's amended and restated memorandum
and articles of association to extend the
date that the Company has to consummate a
business combination to April 1, 2018.
1a. TO CONVERT ORDINARY SHARES OF THE COMPANY Mgmt Against
--------------------------------------------------------------------------------------------------------------------------
ANDINA ACQUISITION CORP II Agenda Number: 934730068
--------------------------------------------------------------------------------------------------------------------------
Security: G0441P104
Meeting Type: Special
Meeting Date: 15-Mar-2018
Ticker: ANDA
ISIN: KYG0441P1046
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. The merger of Andina with and into Andina Mgmt For For
II Holdco Corp. ("Holdco"), with Holdco
surviving and becoming a new public
company.
1B. The subsequent merger of Andina II Merger Mgmt For For
Sub Inc. with and into Lazy Days' R.V.
Center, Inc. ("Lazydays"), with Lazydays
surviving and becoming a direct wholly
owned subsidiary of Holdco.
1C. I HEREBY EXERCISE MY CONVERSION RIGHTS. Mgmt For
2A. Class A Director to serve until 2019: Mgmt For For
Jordan Gnat
2B. Class B Director to serve until 2020: Bryan Mgmt For For
Rich, Jr.
2C. Class B Director to serve until 2020: Jerry Mgmt For For
Comstock
2D. Class B Director to serve until 2020: B. Mgmt For For
Luke Weil
2E. Class C Director to serve until 2021: Mgmt For For
William Murnane
2F. Class C Director to serve until 2021: Mgmt For For
Christopher S. Shackelton
2G. Class C Director to serve until 2021: Jim Mgmt For For
Fredlake
3A. To approve the following material Mgmt For For
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association: The
name of the new public entity will be
"Lazydays Holdings, Inc." as opposed to
"Andina Acquisition Corp. II".
3B. To approve the following material Mgmt For For
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association:
Holdco will have 100,000,000 authorized
shares of common stock and 5,000,000
authorized shares of preferred stock, as
opposed to Andina having 100,000,000
authorized ordinary shares and 1,000,000
authorized preferred share
3C. To approve the following material Mgmt For For
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association:
Holdco's corporate existence will be
perpetual as opposed to Andina's corporate
existence terminating if a business
combination is not consummated by Andina
within a specified period of time.
3D. To approve the following material Mgmt For For
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association:
Holdco's constitutional documents will not
include the various provisions applicable
only to special purpose acquisition
corporations that Andina's amended and
restated memorandum and articles of
association contains
4. To approve the adoption of the Holdco 2018 Mgmt For For
Long-Term Incentive Equity Plan.
5. To approve the sale of convertible Mgmt For For
preferred stock, common stock, and warrants
of Holdco for an aggregate purchase price
of $94.8 million in private placements
which will close simultaneously with the
consummation of the mergers.
6. To adjourn the extraordinary general Mgmt For For
meeting to a later date or dates, if
necessary, if Andina is unable to
consummate the mergers for any reason.
--------------------------------------------------------------------------------------------------------------------------
ARES CAPITAL CORPORATION Agenda Number: 934771177
--------------------------------------------------------------------------------------------------------------------------
Security: 04010L103
Meeting Type: Annual
Meeting Date: 14-May-2018
Ticker: ARCC
ISIN: US04010L1035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Class II Director: Steve Mgmt Split 66% For 33% Against 1% AbstainSplit
Bartlett
1b. Election of Class II Director: Robert L. Mgmt Split 56% For 43% Against 1% AbstainSplit
Rosen
1c. Election of Class II Director: Bennett Mgmt Split 65% For 34% Against 1% AbstainSplit
Rosenthal
2. To ratify the selection of KPMG LLP as the Mgmt Split 98% For 2% Against Split
Company's independent registered public
accounting firm for the year ending
December 31, 2018.
--------------------------------------------------------------------------------------------------------------------------
ARES CAPITAL CORPORATION Agenda Number: 934768358
--------------------------------------------------------------------------------------------------------------------------
Security: 04010L103
Meeting Type: Special
Meeting Date: 14-May-2018
Ticker: ARCC
ISIN: US04010L1035
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 To authorize the Company, with the approval Mgmt Split 86% For 13% Against 1% AbstainSplit
of its board of directors, to sell or
otherwise issue shares of its common stock
at a price below its then current net asset
value per share subject to the limitations
set forth in the proxy statement for the
special meeting of stockholders.
--------------------------------------------------------------------------------------------------------------------------
ARES DYNAMIC Agenda Number: 934807302
--------------------------------------------------------------------------------------------------------------------------
Security: 04014F102
Meeting Type: Annual
Meeting Date: 12-Jun-2018
Ticker: ARDC
ISIN: US04014F1021
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Seth J. Brufsky Mgmt Split 95% For 5% Withheld Split
John J. Shaw Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BARINGTON/HILCO ACQUISITION CORP Agenda Number: 934660449
--------------------------------------------------------------------------------------------------------------------------
Security: 06759V101
Meeting Type: Special
Meeting Date: 09-Aug-2017
Ticker: BHAC
ISIN: US06759V1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. APPROVAL OF AN AMENDMENT TO THE COMPANY'S Mgmt For For
AMENDED AND RESTATED CERTIFICATE OF
INCORPORATION TO EXTEND THE DATE BY WHICH
THE COMPANY HAS TO CONSUMMATE A BUSINESS
COMBINATION (THE "EXTENSION") FOR AN
ADDITIONAL TWENTY (20) WEEKS, FROM AUGUST
11, 2017 (THE "CURRENT TERMINATION DATE")
TO DECEMBER 31, 2017 (THE "EXTENDED
TERMINATION DATE").
2. APPROVAL OF AN AMENDMENT TO ALLOW THE Mgmt For For
COMPANY'S BOARD OF DIRECTORS TO ADJOURN THE
SPECIAL MEETING TO A LATER DATE OR DATES TO
PERMIT FURTHER SOLICITATION OF PROXIES.
THIS PROPOSAL WILL ONLY BE PRESENTED TO THE
COMPANY'S STOCKHOLDERS IN THE EVENT, BASED
ON THE TABULATED VOTES, THERE ARE NOT
SUFFICIENT VOTES AT THE TIME OF THE SPECIAL
MEETING TO APPROVE PROPOSAL 1.
3. IF YOU INTEND TO EXERCISE YOUR REDEMPTION Mgmt For
RIGHTS, PLEASE CHECK THIS 'FOR' BOX.
CHECKING THIS BOX, HOWEVER, IS NOT
SUFFICIENT TO EXERCISE YOUR REDEMPTION
RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES
SET FORTH IN THE PROXY STATEMENT UNDER THE
HEADING "SPECIAL MEETING OF BARINGTON/HILCO
ACQUISITION CORP. STOCKHOLDERS - REDEMPTION
RIGHTS." MARK "FOR"= YES; "AGAINST"= NO.
4. I HEREBY CERTIFY THAT I AM NOT ACTING IN Mgmt For
CONCERT, OR AS A "GROUP" (AS DEFINED IN
SECTION 13(D)(3) OF THE SECURITIES EXCHANGE
ACT OF 1934, AS AMENDED), WITH ANY OTHER
STOCKHOLDER WITH RESPECT TO THE SHARES OF
COMMON STOCK OF THE COMPANY OWNED BY ME IN
CONNECTION WITH THE PROPOSALS. "FOR"= I
CERTIFY THAT I AM NOT. "AGAINST"= I CERTIFY
THAT I AM.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK Agenda Number: 934647631
--------------------------------------------------------------------------------------------------------------------------
Security: 09258A107
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: BIT
ISIN: US09258A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
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
JOHN M. PERLOWSKI Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK CORPORATE HIGH YIELD FD VI INC Agenda Number: 934647655
--------------------------------------------------------------------------------------------------------------------------
Security: 09255P107
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: HYT
ISIN: US09255P1075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL J. CASTELLANO Mgmt Split 99% For 1% Withheld Split
CYNTHIA L. EGAN Mgmt Split 99% For 1% Withheld Split
CATHERINE A. LYNCH Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK CREDIT ALLOCATION INCOME TRUST Agenda Number: 934647631
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL J. CASTELLANO Mgmt Split 91% For 9% Withheld Split
R. GLENN HUBBARD Mgmt Split 90% For 10% Withheld Split
W. CARL KESTER Mgmt Split 90% For 10% Withheld Split
JOHN M. PERLOWSKI Mgmt Split 91% For 9% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 934647655
--------------------------------------------------------------------------------------------------------------------------
Security: 09255R202
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: DSU
ISIN: US09255R2022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL J. CASTELLANO Mgmt Split 69% For 31% Withheld Split
CYNTHIA L. EGAN Mgmt Split 69% For 31% Withheld Split
CATHERINE A. LYNCH Mgmt Split 69% For 31% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK FUNDS Agenda Number: 934647631
--------------------------------------------------------------------------------------------------------------------------
Security: 09257A108
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: BCX
ISIN: US09257A1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
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
JOHN M. PERLOWSKI Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR Agenda Number: 934647631
--------------------------------------------------------------------------------------------------------------------------
Security: 092501105
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: BOE
ISIN: US0925011050
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL J. CASTELLANO 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
JOHN M. PERLOWSKI Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK LTD DURATION INCOME TR Agenda Number: 934647631
--------------------------------------------------------------------------------------------------------------------------
Security: 09249W101
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: BLW
ISIN: US09249W1018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL J. CASTELLANO Mgmt Split 98% For 2% Withheld Split
R. GLENN HUBBARD Mgmt Split 96% For 4% Withheld Split
W. CARL KESTER Mgmt Split 96% For 4% Withheld Split
JOHN M. PERLOWSKI Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MUNI INTER DURATION FD INC Agenda Number: 934648366
--------------------------------------------------------------------------------------------------------------------------
Security: 09253X102
Meeting Type: Annual
Meeting Date: 25-Jul-2017
Ticker: MUI
ISIN: US09253X1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MICHAEL J. CASTELLANO Mgmt Split 87% For 13% Withheld Split
RICHARD E. CAVANAGH Mgmt Split 86% For 14% Withheld Split
CYNTHIA L. EGAN Mgmt Split 87% For 13% Withheld Split
JERROLD B. HARRIS Mgmt Split 86% For 14% Withheld Split
R. GLENN HUBBARD Mgmt Split 86% For 14% Withheld Split
CATHERINE A. LYNCH Mgmt Split 87% For 13% Withheld Split
BARBARA G. NOVICK Mgmt Split 87% For 13% Withheld Split
JOHN M. PERLOWSKI Mgmt Split 87% For 13% Withheld Split
KAREN P. ROBARDS Mgmt Split 87% For 13% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKSTONE FUNDS Agenda Number: 934740982
--------------------------------------------------------------------------------------------------------------------------
Security: 09257D102
Meeting Type: Annual
Meeting Date: 18-Apr-2018
Ticker: BGX
ISIN: US09257D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
2. DIRECTOR
Gary S. Schpero Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKSTONE FUNDS Agenda Number: 934740970
--------------------------------------------------------------------------------------------------------------------------
Security: 09257R101
Meeting Type: Annual
Meeting Date: 18-Apr-2018
Ticker: BGB
ISIN: US09257R1014
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3. DIRECTOR
Gary S. Schpero Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 934690113
--------------------------------------------------------------------------------------------------------------------------
Security: 101507101
Meeting Type: Annual
Meeting Date: 15-Nov-2017
Ticker: BIF
ISIN: US1015071012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOEL W. LOONEY Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BROOKFIELD REAL ASSETS INCOME FUND Agenda Number: 934805245
--------------------------------------------------------------------------------------------------------------------------
Security: 112830104
Meeting Type: Annual
Meeting Date: 17-May-2018
Ticker: RA
ISIN: US1128301041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Election of the Class II Director: Heather Mgmt No vote
S. Goldman (Independent Director)
--------------------------------------------------------------------------------------------------------------------------
CBRE CLARION SECURITIES Agenda Number: 934680237
--------------------------------------------------------------------------------------------------------------------------
Security: 12504G100
Meeting Type: Annual
Meeting Date: 16-Oct-2017
Ticker: IGR
ISIN: US12504G1004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
T. RITSON FERGUSON Mgmt Split 97% For 3% Withheld Split
FREDERICK S. HAMMER Mgmt Split 64% For 36% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CENTRAL FUND OF CANADA LIMITED Agenda Number: 934699806
--------------------------------------------------------------------------------------------------------------------------
Security: 153501101
Meeting Type: Special
Meeting Date: 30-Nov-2017
Ticker: CEF
ISIN: CA1535011011
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 Passing a special resolution (the Mgmt No vote
"Arrangement Resolution") of Class A
Shareholders, the full text of which is set
forth as Appendix A-1 to the Circular, to
approve an arrangement under section 193 of
the Business Corporations Act (Alberta)
involving Central Fund and its
shareholders, The Central Group Alberta
Ltd. and its shareholders, 2070140 Alberta
Ltd., Sprott Inc. and Sprott Physical Gold
and Silver Trust, on the terms and subject
to the Plan of Arrangement attached as
Appendix D to the Circular.
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL EQUITY FUND Agenda Number: 934646324
--------------------------------------------------------------------------------------------------------------------------
Security: 18914C100
Meeting Type: Annual
Meeting Date: 03-Aug-2017
Ticker: GLQ
ISIN: US18914C1009
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
01 DIRECTOR
EDMUND BURKE Mgmt No vote
VINCENT VERSACI Mgmt No vote
CLIFFORD WEBER Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 934642833
--------------------------------------------------------------------------------------------------------------------------
Security: 18914E106
Meeting Type: Annual
Meeting Date: 03-Aug-2017
Ticker: GLO
ISIN: US18914E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
PAUL KAZARIAN Mgmt No vote
THOMAS H. MCGLADE Mgmt No vote
PETER TCHIR Mgmt No vote
2. FOR THE BOARD TO CONSIDER AUTHORIZING Mgmt No vote
DECLASSIFYING THE BOARD SO THAT ALL
DIRECTORS ARE ELECTED ON AN ANNUAL BASIS
STARTING AT THE NEXT ANNUAL MEETING OF
SHAREHOLDERS.
--------------------------------------------------------------------------------------------------------------------------
COHEN & STEERS REIT & PFD INCOME FUND Agenda Number: 934747176
--------------------------------------------------------------------------------------------------------------------------
Security: 19247X100
Meeting Type: Annual
Meeting Date: 26-Apr-2018
Ticker: RNP
ISIN: US19247X1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
George Grossman Mgmt Split 88% For 12% Withheld Split
Jane F. Magpiong Mgmt Split 88% For 12% Withheld Split
Robert H. Steers Mgmt Split 88% For 12% Withheld Split
C. Edward Ward, Jr. Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CORNERSTONE STRATEGIC VALUE FUND, INC. Agenda Number: 934735688
--------------------------------------------------------------------------------------------------------------------------
Security: 21924B302
Meeting Type: Annual
Meeting Date: 17-Apr-2018
Ticker: CLM
ISIN: US21924B3024
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Robert E. Dean Mgmt Split 97% For 3% Withheld Split
Matthew W. Morris Mgmt Split 97% For 3% Withheld Split
Scott B. Rogers Mgmt Split 97% For 3% Withheld Split
2. In their discretion, the proxies are Mgmt Split 55% For 42% Against 3% AbstainSplit
authorized to consider and vote upon such
other matters as may properly come before
the said Meeting or any adjournment
thereof.
--------------------------------------------------------------------------------------------------------------------------
CORPORATE CAPITAL TRUST, INC. Agenda Number: 934723734
--------------------------------------------------------------------------------------------------------------------------
Security: 219880101
Meeting Type: Special
Meeting Date: 26-Mar-2018
Ticker: CCT
ISIN: US2198801019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve a new investment advisory Mgmt Split 89% For 6% Against 5% AbstainSplit
agreement by and between the Company and
KKR Credit Advisors (US) LLC ("KKR Credit")
("KKR Investment Co-Advisory Agreement")
and a new investment advisory agreement by
and between the Company and an affiliate of
Franklin Square Holdings, L.P. ("FS
Investments" and, such adviser, "FS
Adviser") (the "FS Adviser Investment
Co-Advisory Agreement" and, together with
the KKR Investment Co-Advisory Agreement,
the "Investment Co-Advisory Agreements").
2. To approve a new investment advisory by and Mgmt Split 89% For 6% Against 5% AbstainSplit
between the Company and FS/KKR Advisor,
LLC, a newly-formed investment adviser
jointly operated by KKR Credit and an
affiliate of FS Investments (the "Joint
Advisor") (the "Joint Advisor Investment
Advisory Agreement"), pursuant to which the
Joint Advisor will act as investment
adviser to the Company.
--------------------------------------------------------------------------------------------------------------------------
DEUTSCHE FUNDS Agenda Number: 934671466
--------------------------------------------------------------------------------------------------------------------------
Security: 25160E102
Meeting Type: Annual
Meeting Date: 20-Sep-2017
Ticker: KMM
ISIN: US25160E1029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN W. BALLANTINE Mgmt No vote
DAWN-MARIE DRISCOLL Mgmt No vote
KENNETH C. FROEWISS Mgmt No vote
REBECCA W. RIMEL Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
DEUTSCHE HIGH INC OPPORTUNITIES FUND INC Agenda Number: 934671783
--------------------------------------------------------------------------------------------------------------------------
Security: 25158Y102
Meeting Type: Annual
Meeting Date: 20-Sep-2017
Ticker: DHG
ISIN: US25158Y1029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
JOHN W. BALLANTINE Mgmt No vote
DAWN-MARIE DRISCOLL Mgmt No vote
KENNETH C. FROEWISS Mgmt No vote
REBECCA W. RIMEL Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 934708718
--------------------------------------------------------------------------------------------------------------------------
Security: 27828H105
Meeting Type: Annual
Meeting Date: 18-Jan-2018
Ticker: EVV
ISIN: US27828H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
HELEN FRAME PETERS Mgmt Split 98% For 2% Withheld Split
SUSAN J. SUTHERLAND Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SENIOR INCOME TRUST Agenda Number: 934672420
--------------------------------------------------------------------------------------------------------------------------
Security: 27826S103
Meeting Type: Annual
Meeting Date: 19-Oct-2017
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
SUSAN J. SUTHERLAND Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SHORT DURATION DIV INCOME FD Agenda Number: 934716296
--------------------------------------------------------------------------------------------------------------------------
Security: 27828V104
Meeting Type: Annual
Meeting Date: 15-Feb-2018
Ticker: EVG
ISIN: US27828V1044
--------------------------------------------------------------------------------------------------------------------------
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
SCOTT E. WENNERHOLM Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FS INVESTMENT CORPORATION Agenda Number: 934723291
--------------------------------------------------------------------------------------------------------------------------
Security: 302635107
Meeting Type: Special
Meeting Date: 26-Mar-2018
Ticker: FSIC
ISIN: US3026351078
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve a new investment advisory Mgmt Split 93% For 2% Against 5% AbstainSplit
agreement, by and between the Company and
FB Income Advisor, LLC ("FB Income
Advisor") (the "FB Income Advisor
Investment Co-Advisory Agreement"), and a
new investment advisory agreement, by and
between the Company and KKR Credit Advisors
(US) LLC ("KKR Credit") (the "KKR
Investment Co-Advisory Agreement" and,
together with the FB Income Advisor
Investment Co-Advisory Agreement, the
"Investment Co-Advisory Agreements").
2. To approve a new investment advisory Mgmt Split 93% For 3% Against 4% AbstainSplit
agreement, by and between the Company and
FS/KKR Advisor, LLC, a newly-formed
investment adviser jointly operated by an
affiliate of Franklin Square Holdings, L.P.
and KKR Credit (the "Joint Advisor") (the
"Joint Advisor Investment Advisory
Agreement"), pursuant to which the Joint
Advisor will act as investment adviser to
the Company.
--------------------------------------------------------------------------------------------------------------------------
GDL FD Agenda Number: 934760376
--------------------------------------------------------------------------------------------------------------------------
Security: 361570302
Meeting Type: Annual
Meeting Date: 14-May-2018
Ticker: GDLPRB
ISIN: US3615703028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Leslie F. Foley Mgmt Split 97% For 3% Withheld Split
Mario J. Gabelli Mgmt Split 95% For 5% Withheld Split
Michael J. Melarkey Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934730979
--------------------------------------------------------------------------------------------------------------------------
Security: 368802104
Meeting Type: Annual
Meeting Date: 18-Apr-2018
Ticker: GAM
ISIN: US3688021043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Mr. Berens Mgmt Split 84% For 16% Withheld Split
Mr. Cullman Mgmt Split 84% For 16% Withheld Split
Mr. Davidson Mgmt Split 83% For 17% Withheld Split
Ms. Del Villar Mgmt Split 84% For 16% Withheld Split
Mr. Gordan Mgmt Split 83% For 17% Withheld Split
Ms. Gotbaum Mgmt Split 84% For 16% Withheld Split
Mr. Knafel Mgmt Split 84% For 16% Withheld Split
Ms. Lynch Mgmt Split 84% For 16% Withheld Split
Mr. Priest Mgmt Split 85% For 15% Withheld Split
Mr. Schirmer Mgmt Split 84% For 16% Withheld Split
2. Ratification of the selection of Ernst & Mgmt Split 91% For 9% Against Split
Young LLP as auditors.
--------------------------------------------------------------------------------------------------------------------------
GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934730981
--------------------------------------------------------------------------------------------------------------------------
Security: 368802401
Meeting Type: Annual
Meeting Date: 18-Apr-2018
Ticker: GAMPRB
ISIN: US3688024013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Mr. Altschul Mgmt Split 99% For 1% Withheld Split
Mr. Berens Mgmt Split 98% For 2% Withheld Split
Mr. Cullman Mgmt Split 98% For 2% Withheld Split
Mr. Davidson Mgmt Split 99% For 1% Withheld Split
Ms. Del Villar Mgmt Split 99% For 1% Withheld Split
Mr. Gordan Mgmt Split 95% For 5% Withheld Split
Ms. Gotbaum Mgmt Split 99% For 1% Withheld Split
Mr. Knafel Mgmt Split 99% For 1% Withheld Split
Ms. Lynch Mgmt Split 99% For 1% Withheld Split
Mr. Priest Mgmt Split 99% For 1% Withheld Split
Mr. Schirmer Mgmt Split 99% For 1% Withheld Split
Mr. Troubh Mgmt Split 98% For 2% Withheld Split
2. Ratification of the selection of Ernst & Mgmt Split 99% For 1% Abstain Split
Young LLP as auditors.
--------------------------------------------------------------------------------------------------------------------------
GLADSTONE INVESTMENT CORPORATION Agenda Number: 934651705
--------------------------------------------------------------------------------------------------------------------------
Security: 376546404
Meeting Type: Annual
Meeting Date: 24-Aug-2017
Ticker: GAINN
ISIN: US3765464041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ANTHONY W. PARKER Mgmt Split 94% For 6% Withheld Split
MICHELA A. ENGLISH Mgmt Split 95% For 5% Withheld Split
2. TO APPROVE A PROPOSAL TO AUTHORIZE THE Mgmt Split 81% For 15% Against 4% AbstainSplit
COMPANY, WITH THE SUBSEQUENT APPROVAL OF
ITS BOARD OF DIRECTORS, TO ISSUE AND SELL
SHARES OF THE COMPANY'S COMMON STOCK
(DURING THE 12 MONTHS FOLLOWING SUCH
STOCKHOLDER APPROVAL) AT A PRICE BELOW ITS
THEN CURRENT NET ASSET VALUE PER SHARE,
SUBJECT TO CERTAIN ...(DUE TO SPACE LIMITS,
SEE PROXY STATEMENT FOR FULL PROPOSAL).
--------------------------------------------------------------------------------------------------------------------------
GLADSTONE INVESTMENT CORPORATION Agenda Number: 934651705
--------------------------------------------------------------------------------------------------------------------------
Security: 376546503
Meeting Type: Annual
Meeting Date: 24-Aug-2017
Ticker: GAINM
ISIN: US3765465030
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ANTHONY W. PARKER Mgmt Split 30% For 70% Withheld Split
MICHELA A. ENGLISH Mgmt Split 30% For 70% Withheld Split
2. TO APPROVE A PROPOSAL TO AUTHORIZE THE Mgmt Split 26% For 73% Against 1% AbstainSplit
COMPANY, WITH THE SUBSEQUENT APPROVAL OF
ITS BOARD OF DIRECTORS, TO ISSUE AND SELL
SHARES OF THE COMPANY'S COMMON STOCK
(DURING THE 12 MONTHS FOLLOWING SUCH
STOCKHOLDER APPROVAL) AT A PRICE BELOW ITS
THEN CURRENT NET ASSET VALUE PER SHARE,
SUBJECT TO CERTAIN ...(DUE TO SPACE LIMITS,
SEE PROXY STATEMENT FOR FULL PROPOSAL).
--------------------------------------------------------------------------------------------------------------------------
GUGGENHEIM FUNDS Agenda Number: 934674791
--------------------------------------------------------------------------------------------------------------------------
Security: 007639107
Meeting Type: Annual
Meeting Date: 27-Sep-2017
Ticker: AGC
ISIN: US0076391079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. Mgmt No vote
BLACK
1B. ELECTION OF CLASS II TRUSTEE: MR. MICHAEL Mgmt No vote
A. SMART
--------------------------------------------------------------------------------------------------------------------------
GUGGENHEIM FUNDS Agenda Number: 934674804
--------------------------------------------------------------------------------------------------------------------------
Security: 00764C109
Meeting Type: Annual
Meeting Date: 27-Sep-2017
Ticker: AVK
ISIN: US00764C1099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. Mgmt No vote
BLACK
1B. ELECTION OF CLASS II TRUSTEE: MR. MICHAEL Mgmt No vote
A. SMART
--------------------------------------------------------------------------------------------------------------------------
GUGGENHEIM FUNDS Agenda Number: 934674816
--------------------------------------------------------------------------------------------------------------------------
Security: 00765E104
Meeting Type: Annual
Meeting Date: 27-Sep-2017
Ticker: LCM
ISIN: US00765E1047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. ELECTION OF CLASS I TRUSTEE: MR. DANIEL L. Mgmt No vote
BLACK
1B. ELECTION OF CLASS I TRUSTEE: MR. MICHAEL A. Mgmt No vote
SMART
--------------------------------------------------------------------------------------------------------------------------
HIGHLAND FUNDS Agenda Number: 934841075
--------------------------------------------------------------------------------------------------------------------------
Security: 43010E404
Meeting Type: Annual
Meeting Date: 22-Jun-2018
Ticker: HFRO
ISIN: US43010E4044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
John Honis Mgmt No vote
Dustin Norris Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 934664079
--------------------------------------------------------------------------------------------------------------------------
Security: 46131F101
Meeting Type: Annual
Meeting Date: 08-Sep-2017
Ticker: VLT
ISIN: US46131F1012
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1C. DIRECTOR
DAVID C. ARCH Mgmt Split 97% For 3% Withheld Split
TERESA M. RESSEL Mgmt Split 97% For 3% Withheld Split
LARRY SOLL Mgmt Split 97% For 3% Withheld Split
PHILIP A. TAYLOR Mgmt Split 97% For 3% Withheld Split
CHRISTOPHER L. WILSON Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 934664067
--------------------------------------------------------------------------------------------------------------------------
Security: 46131H107
Meeting Type: Annual
Meeting Date: 08-Sep-2017
Ticker: VVR
ISIN: US46131H1077
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
TERESA M. RESSEL Mgmt Split 98% For 2% Withheld Split
LARRY SOLL Mgmt Split 98% For 2% Withheld Split
PHILIP A. TAYLOR Mgmt Split 98% For 2% Withheld Split
CHRISTOPHER L. WILSON Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 934664067
--------------------------------------------------------------------------------------------------------------------------
Security: 46132R104
Meeting Type: Annual
Meeting Date: 08-Sep-2017
Ticker: VTA
ISIN: US46132R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
TERESA M. RESSEL Mgmt Split 99% For 1% Withheld Split
LARRY SOLL Mgmt Split 99% For 1% Withheld Split
PHILIP A. TAYLOR Mgmt Split 99% For 1% Withheld Split
CHRISTOPHER L. WILSON Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934844312
--------------------------------------------------------------------------------------------------------------------------
Security: 486606106
Meeting Type: Annual
Meeting Date: 28-Jun-2018
Ticker: KYN
ISIN: US4866061066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. THE ELECTION OF ALBERT L. RICHEY AS Mgmt Split 98% For 1% Against 1% AbstainSplit
DIRECTOR FOR A TERM OF ONE YEAR AND UNTIL
HIS SUCCESSOR IS ELECTED AND QUALIFIED.
1b. THE ELECTION OF WILLIAM R. CORDES AS Mgmt Split 98% For 1% Against 1% AbstainSplit
DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL
HIS SUCCESSOR IS ELECTED AND QUALIFIED.
1c. THE ELECTION OF BARRY R. PEARL AS DIRECTOR Mgmt Split 97% For 2% Against 1% AbstainSplit
FOR A TERM OF TWO YEARS AND UNTIL HIS
SUCCESSOR IS ELECTED AND QUALIFIED.
1d. THE ELECTION OF KEVIN S. MCCARTHY AS Mgmt Split 97% For 2% Against 1% AbstainSplit
DIRECTOR FOR A TERM OF THREE YEARS AND
UNTIL HIS SUCCESSOR IS ELECTED AND
QUALIFIED.
1e. THE ELECTION OF WILLIAM L. THACKER AS Mgmt Split 97% For 2% Against 1% AbstainSplit
DIRECTOR FOR A TERM OF THREE YEARS AND
UNTIL HIS SUCCESSOR IS ELECTED AND
QUALIFIED.
2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 98% For 1% Against 1% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS KYN'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2018.
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934844300
--------------------------------------------------------------------------------------------------------------------------
Security: 486606601
Meeting Type: Annual
Meeting Date: 28-Jun-2018
Ticker: KYNPRF
ISIN: US4866066016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. THE ELECTION OF ALBERT L. RICHEY AS Mgmt Split 88% For 4% Against 8% AbstainSplit
DIRECTOR FOR A TERM OF ONE YEAR AND UNTIL
HIS SUCCESSOR IS ELECTED AND QUALIFIED.
1b. THE ELECTION OF JAMES C. BAKER AS DIRECTOR Mgmt Split 88% For 3% Against 9% AbstainSplit
FOR A TERM OF ONE YEAR AND UNTIL HIS
SUCCESSOR IS ELECTED AND QUALIFIED.
1c. THE ELECTION OF WILLIAM R. CORDES AS Mgmt Split 88% For 4% Against 8% AbstainSplit
DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL
HIS SUCCESSOR IS ELECTED AND QUALIFIED.
1d. THE ELECTION OF BARRY R. PEARL AS DIRECTOR Mgmt Split 84% For 8% Against 8% AbstainSplit
FOR A TERM OF TWO YEARS AND UNTIL HIS
SUCCESSOR IS ELECTED AND QUALIFIED.
1e. THE ELECTION OF KEVIN S. MCCARTHY AS Mgmt Split 84% For 8% Against 8% AbstainSplit
DIRECTOR FOR A TERM OF THREE YEARS AND
UNTIL HIS SUCCESSOR IS ELECTED AND
QUALIFIED.
1f. THE ELECTION OF WILLIAM L. THACKER AS Mgmt Split 83% For 9% Against 8% AbstainSplit
DIRECTOR FOR A TERM OF THREE YEARS AND
UNTIL HIS SUCCESSOR IS ELECTED AND
QUALIFIED.
1g. THE ELECTION OF WILLIAM H. SHEA, JR. AS Mgmt Split 88% For 3% Against 9% AbstainSplit
DIRECTOR FOR A TERM OF THREE YEARS AND
UNTIL HIS SUCCESSOR IS ELECTED AND
QUALIFIED.
2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 91% For 1% Against 8% AbstainSplit
PRICEWATERHOUSECOOPERS LLP AS KYN'S
INDEPENDENT REGISTERED PUBLIC ACCOUNTING
FIRM FOR THE FISCAL YEAR ENDING NOVEMBER
30, 2018.
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934674296
--------------------------------------------------------------------------------------------------------------------------
Security: 95768B107
Meeting Type: Annual
Meeting Date: 29-Sep-2017
Ticker: HYI
ISIN: US95768B1070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT D. AGDERN Mgmt No vote
EILEEN A. KAMERICK Mgmt No vote
RIORDAN ROETT Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934674309
--------------------------------------------------------------------------------------------------------------------------
Security: 95766B109
Meeting Type: Annual
Meeting Date: 29-Sep-2017
Ticker: EHI
ISIN: US95766B1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
CAROL L. COLMAN Mgmt No vote
DANIEL P. CRONIN Mgmt No vote
PAOLO M. CUCCHI Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934716385
--------------------------------------------------------------------------------------------------------------------------
Security: 95766K109
Meeting Type: Annual
Meeting Date: 26-Jan-2018
Ticker: HIO
ISIN: US95766K1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Paolo M. Cucchi Mgmt Split 95% For 5% Withheld Split
Eileen A. Kamerick Mgmt Split 97% For 3% Withheld Split
Jane Trust Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 934723506
--------------------------------------------------------------------------------------------------------------------------
Security: 10537L104
Meeting Type: Annual
Meeting Date: 23-Feb-2018
Ticker: BWG
ISIN: US10537L1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Robert D. Agdern Mgmt Split 98% For 2% Withheld Split
Eileen Kamerick Mgmt Split 98% For 2% Withheld Split
Riordan Roett Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON PARTNERS CAPITAL AND INCOME Agenda Number: 934738747
--------------------------------------------------------------------------------------------------------------------------
Security: 50208A102
Meeting Type: Annual
Meeting Date: 06-Apr-2018
Ticker: SCD
ISIN: US50208A1025
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Carol L. Colman Mgmt Split 96% For 4% Withheld Split
Daniel P. Cronin Mgmt Split 96% For 4% Withheld Split
Paolo M. Cucchi Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LIBERTY ALL-STAR EQUITY FUND Agenda Number: 934658355
--------------------------------------------------------------------------------------------------------------------------
Security: 530158104
Meeting Type: Annual
Meeting Date: 24-Aug-2017
Ticker: USA
ISIN: US5301581048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
THOMAS W. BROCK Mgmt Split 79% For 21% Withheld Split
GEORGE GASPARI Mgmt Split 79% For 21% Withheld Split
3. IF PROPERLY PRESENTED AT THE MEETING, TO Shr Split 32% For 66% Against 2% AbstainSplit
CONSIDER AND VOTE UPON THE SHAREHOLDER
PROPOSAL PRESENTED UNDER THE HEADING "
SHAREHOLDER PROPOSAL" IN THE ACCOMPANYING
PROXY STATEMENT.
--------------------------------------------------------------------------------------------------------------------------
LIBERTY ALL-STAR EQUITY FUND Agenda Number: 934799620
--------------------------------------------------------------------------------------------------------------------------
Security: 530158104
Meeting Type: Special
Meeting Date: 31-May-2018
Ticker: USA
ISIN: US5301581048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve new fund management agreements Mgmt Split 94% For 3% Against 3% AbstainSplit
between each Fund and ALPS Advisors.
2c. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit
agreements among each Fund, ALPS Advisors
and each of the current portfolio managers
of the Funds, as follows: Sustainable
Growth Advisers, LP
2d. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit
agreements among each Fund, ALPS Advisors
and each of the current portfolio managers
of the Funds, as follows: Aristotle Capital
Management, LLC
2e. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit
agreements: Macquarie Investment Management
2f. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit
agreements among each Fund, ALPS Advisors
and each of the current portfolio managers
of the Funds, as follows: Pzena Investment
Management, LLC
2g. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit
agreements among each Fund, ALPS Advisors
and each of the current portfolio managers
of the Funds, as follows: TCW Investment
Management Company
3. To approve a new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit
agreement among each Fund, ALPS Advisors
and Sustainable Growth Advisers, LP, a
current portfolio manager of the Funds.
--------------------------------------------------------------------------------------------------------------------------
MFS CHARTER INCOME TRUST Agenda Number: 934671492
--------------------------------------------------------------------------------------------------------------------------
Security: 552727109
Meeting Type: Annual
Meeting Date: 05-Oct-2017
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
MICHAEL HEGARTY Mgmt Split 98% For 2% Withheld Split
JOHN P. KAVANAUGH Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MFS MULTIMARKET INCOME TRUST Agenda Number: 934671492
--------------------------------------------------------------------------------------------------------------------------
Security: 552737108
Meeting Type: Annual
Meeting Date: 05-Oct-2017
Ticker: MMT
ISIN: US5527371083
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
STEVEN E. BULLER 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
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMER MKTS DEBT FUND, INC. Agenda Number: 934631056
--------------------------------------------------------------------------------------------------------------------------
Security: 61744H105
Meeting Type: Annual
Meeting Date: 03-Aug-2017
Ticker: MSD
ISIN: US61744H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
KATHLEEN A. DENNIS Mgmt Split 94% For 6% Withheld Split
JOSEPH J. KEARNS Mgmt Split 94% For 6% Withheld Split
MICHAEL E. NUGENT Mgmt Split 93% For 7% Withheld Split
FERGUS REID Mgmt Split 93% For 7% Withheld Split
PATRICIA MALESKI Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY EMER MKTS DEBT FUND, INC. Agenda Number: 934825831
--------------------------------------------------------------------------------------------------------------------------
Security: 61744H105
Meeting Type: Annual
Meeting Date: 21-Jun-2018
Ticker: MSD
ISIN: US61744H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Nancy C. Everett Mgmt No vote
Michael F. Klein Mgmt No vote
W. Allen Reed Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY TRUSTS Agenda Number: 934631070
--------------------------------------------------------------------------------------------------------------------------
Security: 61745P874
Meeting Type: Annual
Meeting Date: 03-Aug-2017
Ticker: ICB
ISIN: US61745P8749
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
FRANK L. BOWMAN Mgmt Split 53% For 47% Withheld Split
NANCY C. EVERETT Mgmt Split 53% For 47% Withheld Split
JAKKI L. HAUSSLER Mgmt Split 53% For 47% Withheld Split
PATRICIA MALESKI Mgmt Split 53% For 47% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY TRUSTS Agenda Number: 934746504
--------------------------------------------------------------------------------------------------------------------------
Security: 61745P874
Meeting Type: Special
Meeting Date: 20-Apr-2018
Ticker: ICB
ISIN: US61745P8749
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To consider and vote upon a proposal to Mgmt Split 98% For 1% Against 1% AbstainSplit
approve the actions and transactions
described in that certain Agreement and
Plan of Reorganization, dated January 22,
2018, between Morgan Stanley Income
Securities Inc. (the "Acquired Fund") and
Morgan Stanley Institutional Fund Trust, on
behalf of the Corporate Bond Portfolio (the
"Acquiring Fund") (the "Reorganization").
--------------------------------------------------------------------------------------------------------------------------
NEUBERGER BERMAN HI/YLD STRATEGY Agenda Number: 934668495
--------------------------------------------------------------------------------------------------------------------------
Security: 64128C106
Meeting Type: Annual
Meeting Date: 07-Sep-2017
Ticker: NHS
ISIN: US64128C1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARTHA C. GOSS Mgmt Split 97% For 3% Withheld Split
JAMES G. STAVRIDIS Mgmt Split 97% For 3% Withheld Split
CANDACE L. STRAIGHT Mgmt Split 97% For 3% Withheld Split
JOSEPH V. AMATO Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEXPOINT FUNDS Agenda Number: 934841099
--------------------------------------------------------------------------------------------------------------------------
Security: 65340G205
Meeting Type: Annual
Meeting Date: 22-Jun-2018
Ticker: NHF
ISIN: US65340G2057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
John Honis Mgmt No vote
Dustin Norris Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
NUVEEN DIVIDEND ADVANTAGE MUNI FD Agenda Number: 934654737
--------------------------------------------------------------------------------------------------------------------------
Security: 67066V101
Meeting Type: Annual
Meeting Date: 02-Aug-2017
Ticker: NAD
ISIN: US67066V1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1C. DIRECTOR
DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split
JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split
TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split
ROBERT L. YOUNG Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN FUNDS Agenda Number: 934734511
--------------------------------------------------------------------------------------------------------------------------
Security: 670677103
Meeting Type: Annual
Meeting Date: 11-Apr-2018
Ticker: NIQ
ISIN: US6706771036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
Margo L. Cook Mgmt Split 98% For 2% Withheld Split
Jack B. Evans Mgmt Split 97% For 3% Withheld Split
Albin F. Moschner Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN FUNDS Agenda Number: 934734523
--------------------------------------------------------------------------------------------------------------------------
Security: 670735109
Meeting Type: Annual
Meeting Date: 11-Apr-2018
Ticker: JLS
ISIN: US6707351093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
Margo L. Cook Mgmt Split 99% For 1% Withheld Split
Jack B. Evans Mgmt Split 99% For 1% Withheld Split
Albin F. Moschner Mgmt Split 99% For 1% Withheld Split
William J. Schneider Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN FUNDS Agenda Number: 934734523
--------------------------------------------------------------------------------------------------------------------------
Security: 67074R100
Meeting Type: Annual
Meeting Date: 11-Apr-2018
Ticker: JMT
ISIN: US67074R1005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
Margo L. Cook Mgmt Split 98% For 2% Withheld Split
Jack B. Evans Mgmt Split 98% For 2% Withheld Split
Albin F. Moschner Mgmt Split 98% For 2% Withheld Split
William J. Schneider Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN GLOBAL HIGH INCOME FUND Agenda Number: 934734523
--------------------------------------------------------------------------------------------------------------------------
Security: 67075G103
Meeting Type: Annual
Meeting Date: 11-Apr-2018
Ticker: JGH
ISIN: US67075G1031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
Margo L. Cook Mgmt Split 97% For 3% Withheld Split
Jack B. Evans Mgmt Split 97% For 3% Withheld Split
Albin F. Moschner Mgmt Split 97% For 3% Withheld Split
William J. Schneider Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INS TAX-FREE ADV MUNI FUND Agenda Number: 934654737
--------------------------------------------------------------------------------------------------------------------------
Security: 670657105
Meeting Type: Annual
Meeting Date: 02-Aug-2017
Ticker: NEA
ISIN: US6706571055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1C. DIRECTOR
DAVID J. KUNDERT Mgmt Split 94% For 6% Withheld Split
JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split
TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split
ROBERT L. YOUNG Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INSURED DIVIDEND ADV MUNI FUND Agenda Number: 934654737
--------------------------------------------------------------------------------------------------------------------------
Security: 67071L106
Meeting Type: Annual
Meeting Date: 02-Aug-2017
Ticker: NVG
ISIN: US67071L1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1C. DIRECTOR
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
ROBERT L. YOUNG Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 934734523
--------------------------------------------------------------------------------------------------------------------------
Security: 67073D102
Meeting Type: Annual
Meeting Date: 11-Apr-2018
Ticker: JQC
ISIN: US67073D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
Margo L. Cook Mgmt Split 97% For 3% Withheld Split
Jack B. Evans Mgmt Split 96% For 4% Withheld Split
Albin F. Moschner Mgmt Split 97% For 3% Withheld Split
William J. Schneider Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERRED AND CONVERTIBLE INCOME Agenda Number: 934734523
--------------------------------------------------------------------------------------------------------------------------
Security: 67073B106
Meeting Type: Annual
Meeting Date: 11-Apr-2018
Ticker: JPC
ISIN: US67073B1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
Margo L. Cook Mgmt Split 97% For 3% Withheld Split
Jack B. Evans Mgmt Split 96% For 4% Withheld Split
Albin F. Moschner Mgmt Split 97% For 3% Withheld Split
William J. Schneider Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PACIFIC SPECIAL ACQUISITION CORP. Agenda Number: 934661249
--------------------------------------------------------------------------------------------------------------------------
Security: G68588105
Meeting Type: Special
Meeting Date: 10-Aug-2017
Ticker: PAAC
ISIN: VGG685881051
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. THE BUSINESS COMBINATION PROPOSAL - TO Mgmt For For
CONSIDER AND VOTE UPON A PROPOSAL (I) TO
APPROVE AND ADOPT THE MERGER AGREEMENT,
DATED AS OF DECEMBER 27, 2016, AS AMENDED
ON MAY 10, 2017 AND JUNE 29, 2017, AND AS
IT MAY BE FURTHER AMENDED, BY AND AMONG
PACIFIC, MERGER SUB, OUR SPONSOR AS THE
PURCHASER REPRESENTATIVE, BORQS, SELLER
REPRESENTATIVE, AND THE TRANSACTIONS
CONTEMPLATED THEREBY (THE "BUSINESS
COMBINATION").
1A. INTENTION TO EXERCISE REDEMPTION RIGHTS: IF Mgmt For
YOU INTEND TO EXERCISE YOUR REDEMPTION
RIGHTS, PLEASE CHECK THE "FOR" BOX CHECKING
THIS BOX, HOWEVER, IS NOT SUFFICIENT TO
EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST
COMPLY WITH THE PROCEDURES SET FORTH IN THE
DEFINITIVE PROXY STATEMENT UNDER THE
HEADING "MEETING OF PACIFIC SHAREHOLDERS -
REDEMPTION RIGHTS." ("FOR"= YES; "AGAINST"=
NO.)
1B. SHAREHOLDER CERTIFICATION: I HEREBY CERTIFY Mgmt For
THAT I AM NOT ACTING IN CONCERT, OR AS A
"GROUP" (AS DEFINED IN SECTION 13(D) (3) OF
THE SECURITIES EXCHANGE ACT OF 1934, AS
AMENDED), WITH ANY OTHER SHAREHOLDER WITH
RESPECT TO THE ORDINARY SHARES OF THE
COMPANY OWNED BY ME IN CONNECTION WITH THE
PROPOSED BUSINESS COMBINATION BETWEEN THE
COMPANY AND BORQS. ("FOR"= I CERTIFY THAT I
AM NOT. "AGAINST"= I CERTIFY THAT I AM.)
2. THE CHARTER AMENDMENT PROPOSAL - TO APPROVE Mgmt For For
AND ADOPT, SUBJECT TO AND CONDITIONAL ON
(BUT WITH IMMEDIATE EFFECT THEREFROM) THE
CONSUMMATION OF THE BUSINESS COMBINATION,
AN AMENDMENT AND RESTATEMENT OF PACIFIC'S
CHARTER (MEMORANDUM AND ARTICLES OF
ASSOCIATION OF THE COMPANY) CURRENTLY
REGISTERED BY THE REGISTRAR OF CORPORATE
AFFAIRS IN THE BRITISH VIRGIN ISLANDS, AS
SET OUT IN THE DRAFT AMENDED AND RESTATED
VERSION OF OUR CHARTER APPENDED TO THE
PROXY STATEMENT AS ANNEX B ...(DUE TO SPACE
LIMITS, SEE PROXY STATEMENT FOR FULL
PROPOSAL).
3. THE INCENTIVE PLAN PROPOSAL - TO CONSIDER Mgmt For For
AND VOTE UPON A PROPOSAL TO APPROVE AND
ADOPT THE BORQS TECHNOLOGIES, INC. 2017
EQUITY INCENTIVE PLAN.
4. THE NASDAQ PROPOSAL - TO APPROVE, FOR Mgmt For For
PURPOSES OF COMPLYING WITH APPLICABLE
NASDAQ LISTING RULES, THE ISSUANCE OF MORE
THAN 20% OF THE COMPANY'S ISSUED AND
OUTSTANDING ORDINARY SHARES.
5. THE ADJOURNMENT PROPOSAL - TO CONSIDER AND Mgmt For For
VOTE UPON A PROPOSAL TO APPROVE THE
ADJOURNMENT OF THE MEETING OF SHAREHOLDERS
BY THE CHAIRMAN THEREOF TO A LATER DATE, IF
NECESSARY, TO PERMIT FURTHER SOLICITATION
AND VOTE OF PROXIES IF, BASED UPON THE
TABULATED VOTE AT THE TIME OF THE MEETING,
THERE ARE NOT SUFFICIENT VOTES TO APPROVE
PROPOSALS 1, 2, 3 AND 4.
--------------------------------------------------------------------------------------------------------------------------
PIMCO Agenda Number: 934750363
--------------------------------------------------------------------------------------------------------------------------
Security: 72202D106
Meeting Type: Annual
Meeting Date: 27-Apr-2018
Ticker: PCI
ISIN: US72202D1063
--------------------------------------------------------------------------------------------------------------------------
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 98% For 2% Withheld Split
James A. Jacobson Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 934717755
--------------------------------------------------------------------------------------------------------------------------
Security: 74442F107
Meeting Type: Annual
Meeting Date: 09-Mar-2018
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 97% For 3% Withheld Split
LAURIE SIMON HODRICK Mgmt Split 98% For 2% Withheld Split
MICHAEL S. HYLAND, CFA Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 934717767
--------------------------------------------------------------------------------------------------------------------------
Security: 74433A109
Meeting Type: Annual
Meeting Date: 09-Mar-2018
Ticker: GHY
ISIN: US74433A1097
--------------------------------------------------------------------------------------------------------------------------
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
LAURIE SIMON HODRICK Mgmt Split 98% For 2% Withheld Split
MICHAEL S. HYLAND, CFA Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE MICRO-CAP TRUST, INC. Agenda Number: 934667962
--------------------------------------------------------------------------------------------------------------------------
Security: 780915104
Meeting Type: Annual
Meeting Date: 28-Sep-2017
Ticker: RMT
ISIN: US7809151043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
STEPHEN L. ISAACS Mgmt Split 98% For 2% Withheld Split
CHRISTOPHER D. CLARK Mgmt Split 99% For 1% Withheld Split
CHRISTOPHER C. GRISANTI Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE VALUE TRUST, INC. Agenda Number: 934667974
--------------------------------------------------------------------------------------------------------------------------
Security: 780910105
Meeting Type: Annual
Meeting Date: 28-Sep-2017
Ticker: RVT
ISIN: US7809101055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
STEPHEN L. ISAACS Mgmt Split 97% For 3% Withheld Split
CHRISTOPHER D. CLARK Mgmt Split 98% For 2% Withheld Split
CHRISTOPHER C. GRISANTI Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
SPROTT FUNDS Agenda Number: 934669283
--------------------------------------------------------------------------------------------------------------------------
Security: 85208J109
Meeting Type: Annual
Meeting Date: 20-Sep-2017
Ticker: FUND
ISIN: US85208J1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
BARBARA CONNOLLY KEADY Mgmt Split 98% For 2% Withheld Split
PEYTON TANSILL MULDOON Mgmt Split 98% For 2% Withheld Split
2. TO RATIFY THE APPOINTMENT OF TAIT WELLER & Mgmt Split 98% For 2% Against Split
BAKER AS THE FUND'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2017.
--------------------------------------------------------------------------------------------------------------------------
TEMPLETON EMERGING MKTS INCOME FUND Agenda Number: 934785924
--------------------------------------------------------------------------------------------------------------------------
Security: 880192109
Meeting Type: Annual
Meeting Date: 29-Jun-2018
Ticker: TEI
ISIN: US8801921094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Ann Torre Bates Mgmt Split 71% For 29% Withheld Split
David W. Niemiec Mgmt Split 71% For 29% Withheld Split
Larry D. Thompson Mgmt Split 71% For 29% Withheld Split
Robert E. Wade Mgmt Split 71% For 29% Withheld Split
2. To approve the elimination of the Mgmt Split 67% For 32% Against 1% AbstainSplit
fundamental investment policy requiring the
Fund to invest at least 65% of its total
assets in U.S. dollar-denominated
securities
3. To approve an amended fundamental Mgmt Split 66% For 32% Against 2% AbstainSplit
investment restriction regarding
investments in commodities
4. The ratification of the selection of Mgmt Split 96% For 3% Against 1% AbstainSplit
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Fund for the fiscal year
ending December 31, 2018
--------------------------------------------------------------------------------------------------------------------------
TEMPLETON GLOBAL INCOME FUND Agenda Number: 934785936
--------------------------------------------------------------------------------------------------------------------------
Security: 880198106
Meeting Type: Annual
Meeting Date: 13-Jun-2018
Ticker: GIM
ISIN: US8801981064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Harris J. Ashton Mgmt Split 94% For 6% Withheld Split
Ann Torre Bates Mgmt Split 95% For 5% Withheld Split
David W. Niemiec Mgmt Split 95% For 5% Withheld Split
Robert E. Wade Mgmt Split 95% For 5% Withheld Split
2. To approve an amended fundamental Mgmt Split 91% For 7% Against 2% AbstainSplit
investment restriction regarding
investments in commodities
3. The 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 December 31, 2018
--------------------------------------------------------------------------------------------------------------------------
THE GABELLI EQUITY TRUST INC. Agenda Number: 934764867
--------------------------------------------------------------------------------------------------------------------------
Security: 362397101
Meeting Type: Annual
Meeting Date: 14-May-2018
Ticker: GAB
ISIN: US3623971013
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Michael J. Ferrantino Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
TRI-CONTINENTAL CORPORATION Agenda Number: 934740451
--------------------------------------------------------------------------------------------------------------------------
Security: 895436103
Meeting Type: Annual
Meeting Date: 16-Apr-2018
Ticker: TY
ISIN: US8954361031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
George S. Batejan Mgmt Split 86% For 14% Withheld Split
Kathleen Blatz Mgmt Split 86% For 14% Withheld Split
Edward J. Boudreau, Jr. Mgmt Split 86% For 14% Withheld Split
Pamela G. Carlton Mgmt Split 86% For 14% Withheld Split
2. To ratify the selection of Mgmt Split 87% For 12% Against 1% AbstainSplit
PricewaterhouseCoopers LLP as the
Corporation's independent registered public
accounting firm.
--------------------------------------------------------------------------------------------------------------------------
VANGUARD INTERNATIONAL EQ. INDEX FD, INC Agenda Number: 934671202
--------------------------------------------------------------------------------------------------------------------------
Security: 922042858
Meeting Type: Special
Meeting Date: 15-Nov-2017
Ticker: VWO
ISIN: US9220428588
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MORTIMER J. BUCKLEY Mgmt Split 97% For 3% Withheld Split
EMERSON U. FULLWOOD Mgmt Split 97% For 3% Withheld Split
AMY GUTMANN Mgmt Split 97% For 3% Withheld Split
JOANN HEFFERNAN HEISEN Mgmt Split 97% For 3% Withheld Split
F. JOSEPH LOUGHREY Mgmt Split 97% For 3% Withheld Split
MARK LOUGHRIDGE Mgmt Split 97% For 3% Withheld Split
SCOTT C. MALPASS Mgmt Split 97% For 3% Withheld Split
F. WILLIAM MCNABB III Mgmt Split 97% For 3% Withheld Split
DEANNA MULLIGAN Mgmt Split 97% For 3% Withheld Split
ANDRE F. PEROLD Mgmt Split 97% For 3% Withheld Split
SARAH BLOOM RASKIN Mgmt Split 97% For 3% Withheld Split
PETER F. VOLANAKIS Mgmt Split 97% For 3% Withheld Split
2. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt Split 98% For 1% Against 1% AbstainSplit
WITH THIRD-PARTY INVESTMENT ADVISORS.
3. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt Split 98% For 1% Against 1% AbstainSplit
WITH WHOLLY-OWNED SUBSIDIARIES OF VANGUARD.
7. A SHAREHOLDER PROPOSAL TO "INSTITUTE Shr Split 6% For 90% Against 4% AbstainSplit
TRANSPARENT PROCEDURES TO AVOID HOLDING
INVESTMENTS IN COMPANIES THAT, IN
MANAGEMENT'S JUDGMENT, SUBSTANTIALLY
CONTRIBUTE TO GENOCIDE OR CRIMES AGAINST
HUMANITY, THE MOST EGREGIOUS VIOLATIONS OF
HUMAN RIGHTS. SUCH PROCEDURES MAY INCLUDE
TIME-LIMITED ENGAGEMENT WITH PROBLEM
COMPANIES IF MANAGEMENT BELIEVES THAT THEIR
BEHAVIOR CAN BE CHANGED."
--------------------------------------------------------------------------------------------------------------------------
VANGUARD TAX-MANAGED FUND Agenda Number: 934671202
--------------------------------------------------------------------------------------------------------------------------
Security: 921943858
Meeting Type: Special
Meeting Date: 15-Nov-2017
Ticker: VEA
ISIN: US9219438580
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MORTIMER J. BUCKLEY Mgmt No vote
EMERSON U. FULLWOOD Mgmt No vote
AMY GUTMANN Mgmt No vote
JOANN HEFFERNAN HEISEN Mgmt No vote
F. JOSEPH LOUGHREY Mgmt No vote
MARK LOUGHRIDGE Mgmt No vote
SCOTT C. MALPASS Mgmt No vote
F. WILLIAM MCNABB III Mgmt No vote
DEANNA MULLIGAN Mgmt No vote
ANDRE F. PEROLD Mgmt No vote
SARAH BLOOM RASKIN Mgmt No vote
PETER F. VOLANAKIS Mgmt No vote
2. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt No vote
WITH THIRD-PARTY INVESTMENT ADVISORS.
3. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt No vote
WITH WHOLLY-OWNED SUBSIDIARIES OF VANGUARD.
7. A SHAREHOLDER PROPOSAL TO "INSTITUTE Shr No vote
TRANSPARENT PROCEDURES TO AVOID HOLDING
INVESTMENTS IN COMPANIES THAT, IN
MANAGEMENT'S JUDGMENT, SUBSTANTIALLY
CONTRIBUTE TO GENOCIDE OR CRIMES AGAINST
HUMANITY, THE MOST EGREGIOUS VIOLATIONS OF
HUMAN RIGHTS. SUCH PROCEDURES MAY INCLUDE
TIME-LIMITED ENGAGEMENT WITH PROBLEM
COMPANIES IF MANAGEMENT BELIEVES THAT THEIR
BEHAVIOR CAN BE CHANGED."
--------------------------------------------------------------------------------------------------------------------------
VIRTUS MUTUAL FUNDS Agenda Number: 934795331
--------------------------------------------------------------------------------------------------------------------------
Security: 92837G100
Meeting Type: Annual
Meeting Date: 22-May-2018
Ticker: ZF
ISIN: US92837G1004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1e. DIRECTOR
James M. Oates Mgmt Split 95% For 5% Withheld Split
James B. Rogers, Jr. Mgmt Split 90% For 10% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
VOYA GLOBAL EQUITY DIV & PREM OPPORT FD Agenda Number: 934624429
--------------------------------------------------------------------------------------------------------------------------
Security: 92912T100
Meeting Type: Annual
Meeting Date: 06-Jul-2017
Ticker: IGD
ISIN: US92912T1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
MARTIN J. GAVIN Mgmt Split 95% For 5% Withheld Split
PATRICK W. KENNY Mgmt Split 71% For 29% Withheld Split
SHAUN P. MATHEWS Mgmt Split 71% For 29% Withheld Split
ROGER B. VINCENT Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WELLS FARGO ADV MULTI SECTOR INC FUND Agenda Number: 934717666
--------------------------------------------------------------------------------------------------------------------------
Security: 94987D101
Meeting Type: Annual
Meeting Date: 05-Feb-2018
Ticker: ERC
ISIN: US94987D1019
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
William R. Ebsworth Mgmt Split 96% For 4% Withheld Split
Jane A. Freeman Mgmt Split 96% For 4% Withheld Split
Judith M. Johnson Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WELLS FARGO ADVANTAGE FUNDS Agenda Number: 934656705
--------------------------------------------------------------------------------------------------------------------------
Security: 94987B105
Meeting Type: Annual
Meeting Date: 07-Aug-2017
Ticker: EAD
ISIN: US94987B1052
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ISAIAH HARRIS, JR. Mgmt Split 96% For 4% Withheld Split
DAVID F. LARCKER Mgmt Split 96% For 4% Withheld Split
OLIVIA S. MITCHELL Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET CLAYMORE FUNDS Agenda Number: 934797210
--------------------------------------------------------------------------------------------------------------------------
Security: 95766Q106
Meeting Type: Annual
Meeting Date: 30-May-2018
Ticker: WIA
ISIN: US95766Q1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Ronald E. Toupin, Jr. Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 934769045
--------------------------------------------------------------------------------------------------------------------------
Security: 95766A101
Meeting Type: Annual
Meeting Date: 27-Apr-2018
Ticker: EMD
ISIN: US95766A1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Carol L. Colman Mgmt Split 83% For 17% Withheld Split
Daniel P. Cronin Mgmt Split 83% For 17% Withheld Split
Paolo M. Cucchi Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 934788615
--------------------------------------------------------------------------------------------------------------------------
Security: 95766R104
Meeting Type: Annual
Meeting Date: 30-May-2018
Ticker: WIW
ISIN: US95766R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Trustee: Ronald A. Nyberg Mgmt Split 94% For 6% Abstain Split
2a. a new investment advisory agreement between Mgmt Split 98% For 2% Against Split
the Fund and Western Asset Management
Company ("Western Asset")
2b. a new sub-advisory agreement between Mgmt Split 97% For 2% Against 1% AbstainSplit
Western Asset and Western Asset Management
Company Limited with respect to the Fund
2c. a new sub-advisory agreement between Mgmt Split 97% For 2% Against 1% AbstainSplit
Western Asset and Western Asset Management
Company Ltd with respect to the Fund
2d. a new sub-advisory agreement between Mgmt Split 97% For 2% Against 1% AbstainSplit
Western Asset and Western Asset Management
Company Pte. Ltd. with respect to the Fund
* 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 08/30/2018