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: 07/01/2019 - 06/30/2020
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 Funds
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GORDON POINTE ACQUISITION CORP Agenda Number: 935055524
--------------------------------------------------------------------------------------------------------------------------
Security: 382788107
Meeting Type: Special
Meeting Date: 26-Jul-2019
Ticker: GPAQ
ISIN: US3827881075
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension Amendment: Proposal to amend the Mgmt For For
Company's Amended and Restated Certificate
of Incorporation to extend the date by
which the Company must consummate a
business combination from July 30, 2019 to
October 31, 2019, plus an option for the
Company to further extend such date up to
three times, each by an additional 30 days.
2. Trust Amendment: Proposal to amend the Mgmt For For
Investment Management Trust Agreement,
dated as of January 24, 2018, between the
Company and Continental Stock Transfer &
Trust Company ("Continental"), to extend
the date on which Continental must
liquidate the Trust Account established in
connection with the Company's initial
public offering if the Company has not
completed a business combination from July
30, 2019 to October 31, 2019, plus an
option for the Company to further extend
such date up to three times, each by an
additional 30 days.
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GORDON POINTE ACQUISITION CORP Agenda Number: 935120799
--------------------------------------------------------------------------------------------------------------------------
Security: 382788107
Meeting Type: Special
Meeting Date: 24-Jan-2020
Ticker: GPAQ
ISIN: US3827881075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension Amendment: Proposal to amend the Mgmt For For
Company's Amended and Restated Certificate
of Incorporation, as previously amended, to
extend the date by which the Company must
consummate a business combination from
January 29, 2020 to February 29, 2020, plus
an option for the Company to further extend
such date for an additional 30 days.
2. Trust Amendment: Proposal to amend the Mgmt For For
Investment Management Trust Agreement,
dated as of January 24, 2018, between the
Company and Continental Stock Transfer &
Trust Company ("Continental"), to extend
the date on which Continental must
liquidate the Trust Account established in
connection with the Company's initial
public offering if the Company has not
completed a business combination from
January 29, 2020 to February 29, 2020, plus
an option for the Company to further extend
such date for an additional 30 days.
--------------------------------------------------------------------------------------------------------------------------
GORDON POINTE ACQUISITION CORP Agenda Number: 935135966
--------------------------------------------------------------------------------------------------------------------------
Security: 382788107
Meeting Type: Special
Meeting Date: 25-Mar-2020
Ticker: GPAQ
ISIN: US3827881075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Business Combination Proposal: To Mgmt For For
approve an Agreement and Plan of Merger,
(a) GPAQ Acquiror Merger Sub, Inc.
("Acquiror Merger Sub"), a wholly owned
subsidiary of GPAQ Acquisition Holdings,
Inc., a Delaware corporation and
wholly-owned subsidiary of GPAQ
("Holdings"), will be merged with and into
GPAQ, with GPAQ continuing as the surviving
entity and a wholly-owned subsidiary of
Holdings, and (b) GPAQ Company Merger Sub,
LLC, a wholly-owned subsidiary of Holdings
("Company Merger sub") will be merged with
and into HOF Village Newco, LLC
2. Changing the name of Holdings to "Hall of Mgmt For For
Fame Resort & Entertainment Company".
3. Having a single class of common stock and Mgmt For For
an authorized 100,000,000 shares of common
stock.
4. Fixing the number of directors of Holdings Mgmt For For
at eleven, subject to change by resolution
adopted by the affirmative vote of at least
a majority of the board of directors then
in office.
5. Dividing the board of directors of Holdings Mgmt For For
into three classes with staggered
three-year terms.
6. Providing that the Court of Chancery of the Mgmt For For
State of Delaware or, if such court does
not have subject matter jurisdiction
thereof, another state or federal court
located within the State of Delaware, shall
be the exclusive forum for certain actions
and claims.
7. Removing various provisions applicable only Mgmt For For
to special purpose acquisition corporations
contained in GPAQ's current amended and
restated certificate of incorporation (such
as the obligation to dissolve and liquidate
if a business combination is not
consummated in a certain period of time).
8. Conditioned upon the approval of Proposals Mgmt For For
No. 2 through 7, a proposal to approve the
proposed Amended and Restated Certificate
of Incorporation of Holdings as a whole,
which includes the approval of all other
changes in the proposed Amended and
Restated Certificate of Incorporation as of
the closing of the business combination.
9. The Incentive Plan Proposal -To approve and Mgmt For For
adopt the GPAQ Acquisition Holdings, Inc.
2020 Omnibus Incentive Plan.
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MORGAN STANLEY EMERGING MKTS Agenda Number: 935219522
--------------------------------------------------------------------------------------------------------------------------
Security: 617477104
Meeting Type: Annual
Meeting Date: 25-Jun-2020
Ticker: EDD
ISIN: US6174771047
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Kathleen A. Dennis Mgmt Split 91% For 9% Withheld Split
Joseph J. Kearns Mgmt Split 91% For 9% Withheld Split
Michael E. Nugent Mgmt Split 91% For 9% Withheld Split
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ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 935168143
--------------------------------------------------------------------------------------------------------------------------
Security: 003009107
Meeting Type: Special
Meeting Date: 10-Jun-2020
Ticker: FAX
ISIN: US0030091070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. To amend the fundamental policy regarding Mgmt Split 93% For 4% Against 3% AbstainSplit
investment of up to 80% in Asian Debt
securities so that the Fund would normally
invest at least 80% of its net assets, plus
the amount of any borrowings for investment
purposes, in "Asia-Pacific debt".
1B. To eliminate the Fund's fundamental Mgmt Split 79% For 18% Against 3% AbstainSplit
investment policy that the maximum country
exposure to any one Asian Country (other
than Korea) is limited to 20% of the Fund's
total assets.
1C. To eliminate the Fund's fundamental Mgmt Split 91% For 6% Against 3% AbstainSplit
investment policy that at least 20% of the
Fund's total assets will be invested in
"Australian debt securities".
1D. To eliminate the Fund's fundamental Mgmt Split 79% For 18% Against 3% AbstainSplit
investment policy that the maximum country
exposure for Korea is limited to 40% of the
Fund's total assets.
1E. To eliminate the Fund's fundamental Mgmt Split 91% For 6% Against 3% AbstainSplit
investment policy that the maximum country
exposure for New Zealand is limited to 35%
of the Fund's total assets.
1F. To eliminate the Fund's fundamental Mgmt Split 80% For 17% Against 3% AbstainSplit
investment policy that the maximum currency
exposure to any one Asian currency (other
than Korea) is limited to 10% of total
assets.
1G. To eliminate the Fund's fundamental Mgmt Split 90% For 7% Against 3% AbstainSplit
investment policy that the maximum currency
exposure for Korea is 25% of the Fund's
total assets.
1H. To eliminate the Fund's fundamental Mgmt Split 91% For 6% Against 3% AbstainSplit
investment policy that the maximum currency
exposure for New Zealand is 35% of the
Fund's total assets.
1I. To make the Fund's fundamental temporary Mgmt Split 92% For 5% Against 3% AbstainSplit
defensive investment policy with respect to
temporarily investing 100% of its assets in
U.S. debt securities a non-fundamental
policy but to include U.S. cash as well.
1J. To make the Fund's fundamental investment Mgmt Split 79% For 17% Against 4% AbstainSplit
policy to invest up to 35% of its total
assets in Asian debt securities rated below
BBB- or Baa3 a non-fundamental policy - but
with respect to Asia-Pacific debt
securities instead of Asian debt
securities.
1K. To make the Fund's fundamental investment Mgmt Split 92% For 5% Against 3% AbstainSplit
policy with respect to entering into
repurchase agreements a non-fundamental
investment policy.
1L. To make the Fund's fundamental investment Mgmt Split 80% For 17% Against 3% AbstainSplit
policy with respect to investing up to 10%
of its total assets in securities rated
below B- at the time of investment a
non-fundamental investment policy.
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ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 935168131
--------------------------------------------------------------------------------------------------------------------------
Security: 003009A10
Meeting Type: Special
Meeting Date: 10-Jun-2020
Ticker:
ISIN:
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class II Director to serve for Mgmt Split 90% For 7% Against 3% AbstainSplit
a three-year term until the 2023 Annual
Meeting of Shareholders: P. Gerald Malone
3A. Election of Class I Director For three-year Mgmt Split 90% For 8% Against 2% AbstainSplit
term ending 2022: Neville J. Miles (To
consider the continuation of the term of
one Director under the Fund's Corporate
Governance Policies)
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN FUNDS Agenda Number: 935074803
--------------------------------------------------------------------------------------------------------------------------
Security: 00326L100
Meeting Type: Annual
Meeting Date: 09-Oct-2019
Ticker: AOD
ISIN: US00326L1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class II Trustee to serve a Mgmt Split 75% For 25% Abstain Split
term of three years until the 2022 Annual
Meeting: P. Gerald Malone
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ABERDEEN FUNDS Agenda Number: 935126082
--------------------------------------------------------------------------------------------------------------------------
Security: 00301W105
Meeting Type: Annual
Meeting Date: 04-Mar-2020
Ticker: AEF
ISIN: US00301W1053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Election of Class III Director to serve for Mgmt Split 94% For 6% Against Split
a term expiring in 2023: Steven N.
Rappaport
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ABERDEEN FUNDS Agenda Number: 935157683
--------------------------------------------------------------------------------------------------------------------------
Security: 00302M106
Meeting Type: Annual
Meeting Date: 06-May-2020
Ticker: AGD
ISIN: US00302M1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class III Trustee to serve Mgmt Split 86% For 14% Abstain Split
until the 2023 Annual Meeting of
Shareholders: Nancy Yao Maasbach
1B. Election of Class III Trustee to serve Mgmt Split 95% For 5% Abstain Split
until the 2023 Annual Meeting of
Shareholders: Martin J. Gilbert
--------------------------------------------------------------------------------------------------------------------------
ABERDEEN FUNDS Agenda Number: 935157683
--------------------------------------------------------------------------------------------------------------------------
Security: 00326L100
Meeting Type: Annual
Meeting Date: 06-May-2020
Ticker: AOD
ISIN: US00326L1008
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class III Trustee to serve Mgmt Split 77% For 23% Abstain Split
until the 2023 Annual Meeting of
Shareholders: Nancy Yao Maasbach
1B. Election of Class III Trustee to serve Mgmt Split 96% For 4% Abstain Split
until the 2023 Annual Meeting of
Shareholders: Martin J. Gilbert
--------------------------------------------------------------------------------------------------------------------------
ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD Agenda Number: 935135067
--------------------------------------------------------------------------------------------------------------------------
Security: 01879R106
Meeting Type: Annual
Meeting Date: 30-Mar-2020
Ticker: AWF
ISIN: US01879R1068
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Robert M. Keith Mgmt Split 97% For 3% Withheld Split
Carol C. McMullen Mgmt Split 93% For 7% Withheld Split
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ALLIANCEBERNSTEIN NAT MUNI INCOME FD INC Agenda Number: 935135079
--------------------------------------------------------------------------------------------------------------------------
Security: 01864U106
Meeting Type: Annual
Meeting Date: 30-Mar-2020
Ticker: AFB
ISIN: US01864U1060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Robert M. Keith Mgmt Split 96% For 4% Withheld Split
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ALLIANZGI CONVERTIBLE & INCOME Agenda Number: 935051603
--------------------------------------------------------------------------------------------------------------------------
Security: 018828707
Meeting Type: Annual
Meeting Date: 11-Jul-2019
Ticker: NCVPRA
ISIN: US0188287074
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Trustee: Hans W. Kertess Mgmt Split 99% For 1% Abstain Split
1b. Election of Trustee: William B. Ogden, IV Mgmt Split 99% For 1% Abstain Split
1c. Election of Trustee: Sarah E. Cogan Mgmt Split 99% For 1% Abstain Split
1d. Election of Trustee: Thomas J. Fuccillo Mgmt Split 99% For 1% Abstain Split
1e. Election of Trustee: Erick R. Holt Mgmt Split 99% For 1% Abstain Split
1f. Election of Trustee: Alan Rappaport Mgmt Split 99% For 1% Abstain Split
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ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST Agenda Number: 935051653
--------------------------------------------------------------------------------------------------------------------------
Security: 01883A107
Meeting Type: Annual
Meeting Date: 11-Jul-2019
Ticker: NFJ
ISIN: US01883A1079
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Trustee: Deborah A. DeCotis Mgmt Split 80% For 20% Abstain *
1b. Election of Trustee: Bradford K. Gallagher Mgmt Split 80% For 20% Abstain *
1c. Election of Trustee: James A. Jacobson Mgmt Split 80% For 20% Abstain *
1d. Election of Trustee: Erick R. Holt Mgmt Split 96% For 4% Abstain *
1e. Election of Trustee: Sarah E. Cogan Mgmt Split 96% For 4% Abstain *
1f. Election of Trustee: Thomas J Fuccillo Mgmt Split 96% For 4% Abstain *
--------------------------------------------------------------------------------------------------------------------------
ARES CAPITAL CORPORATION Agenda Number: 935167999
--------------------------------------------------------------------------------------------------------------------------
Security: 04010L103
Meeting Type: Annual
Meeting Date: 22-Jun-2020
Ticker: ARCC
ISIN: US04010L1035
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: Michael J Arougheti Mgmt Split 67% For 31% Against 2% AbstainSplit
1B. Election of Director: Ann Torre Bates Mgmt Split 96% For 3% Against 1% AbstainSplit
1C. Election of Director: Steven B McKeever Mgmt Split 70% For 27% Against 3% AbstainSplit
2. To ratify the selection of KPMG LLP as the Mgmt Split 98% For 1% Against 1% AbstainSplit
Company's independent registered public
accounting firm for the year ending
December 31, 2020.
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ARES DYNAMIC Agenda Number: 935169880
--------------------------------------------------------------------------------------------------------------------------
Security: 04014F102
Meeting Type: Annual
Meeting Date: 21-May-2020
Ticker: ARDC
ISIN: US04014F1021
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. The election of one Class I Director, to Mgmt Split 74% For 26% Abstain Split
serve for a term expiring on the date on
which the Annual Meeting of Stockholders is
held in 2023 and until his successor is
duly elected and qualifies: Bruce H.
Spector
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BARINGS BDC, INC. Agenda Number: 935146046
--------------------------------------------------------------------------------------------------------------------------
Security: 06759L103
Meeting Type: Annual
Meeting Date: 30-Apr-2020
Ticker: BBDC
ISIN: US06759L1035
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Class II Director: Michael Mgmt Split 97% For 2% Against 1% AbstainSplit
Freno
1B. Election of Class II Director: John A. Mgmt Split 64% For 35% Against 1% AbstainSplit
Switzer
2. To authorize the Company, with subsequent Mgmt Split 84% For 15% Against 1% AbstainSplit
approval of its Board of Directors, to
issue and sell shares of its common stock
at a price below its then current net asset
value per share in one or more offerings,
subject to certain limitations (including,
without limitation, that the number of
shares does not exceed 25% of its then
outstanding common stock immediately prior
to each such offering).
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BIG ROCK PARTNERS ACQUISITION CORP Agenda Number: 935071073
--------------------------------------------------------------------------------------------------------------------------
Security: 089482103
Meeting Type: Special
Meeting Date: 21-Aug-2019
Ticker: BRPA
ISIN: US0894821034
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt For For
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to November 22, 2019.
2. Early Termination: Approve the Company's Mgmt For For
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors.
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BIG ROCK PARTNERS ACQUISITION CORP Agenda Number: 935103351
--------------------------------------------------------------------------------------------------------------------------
Security: 089482103
Meeting Type: Special
Meeting Date: 21-Nov-2019
Ticker: BRPA
ISIN: US0894821034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt For For
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to March 23, 2020.
2. Early Termination: Approve the Company's Mgmt For For
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors.
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BIG ROCK PARTNERS ACQUISITION CORP Agenda Number: 935142428
--------------------------------------------------------------------------------------------------------------------------
Security: 089482103
Meeting Type: Special
Meeting Date: 23-Mar-2020
Ticker: BRPA
ISIN: US0894821034
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt For For
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to July 23, 2020.
2. Early Termination: Approve the Company's Mgmt For For
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors.
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BLACK RIDGE ACQUISITION CORP. Agenda Number: 935058316
--------------------------------------------------------------------------------------------------------------------------
Security: 09216T107
Meeting Type: Special
Meeting Date: 09-Jul-2019
Ticker: BRAC
ISIN: US09216T1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt No vote
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to August 10, 2019.
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BLACK RIDGE ACQUISITION CORP. Agenda Number: 935053455
--------------------------------------------------------------------------------------------------------------------------
Security: 09216T107
Meeting Type: Special
Meeting Date: 09-Aug-2019
Ticker: BRAC
ISIN: US09216T1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To consider and vote upon a proposal to Mgmt Split 80% For 19% Against 1% AbstainSplit
approve and adopt the Agreement and Plan of
Reorganization, dated as of December 19,
2018, and to approve the transactions
contemplated thereby.
2a. To approve amendments to the amended and Mgmt Split 84% For 15% Against 1% AbstainSplit
restated certificate of incorporation of
BRAC, effective following the business
combination, to: change the name of BRAC
from "Black Ridge Acquisition Corp." to
"Allied Esports Entertainment, Inc."
2b. To approve amendments to the amended and Mgmt Split 84% For 15% Against 1% AbstainSplit
restated certificate of incorporation of
BRAC, effective following the business
combination, to: increase the number of
authorized shares of BRAC Common Stock.
2c. To approve amendments to the amended and Mgmt Split 80% For 15% Against 5% AbstainSplit
restated certificate of incorporation of
BRAC, effective following the business
combination, to: remove provisions that
will no longer be applicable to BRAC after
the business combination.
3a. To Elect the following Class A Director to Mgmt Split 90% For 8% Against 2% AbstainSplit
serve until 2020 annual meeting: Ken
DeCubellis
3b. To Elect the following Class A Director to Mgmt Split 84% For 14% Against 2% AbstainSplit
serve until 2020 annual meeting: Lyle
Berman
3c. To Elect the following Class A Director to Mgmt Split 90% For 8% Against 2% AbstainSplit
serve until 2020 annual meeting: Benjamin
Oehler
3d. To Elect the following Class B Director to Mgmt Split 84% For 14% Against 2% AbstainSplit
serve until 2021 annual meeting: Dr. Kan
Hee Anthony Tyen
3e. To Elect the following Class B Director to Mgmt Split 84% For 14% Against 2% AbstainSplit
serve until 2021 annual meeting: Ho min Kim
3f. To Elect the following Class B Director to Mgmt Split 90% For 8% Against 2% AbstainSplit
serve until 2021 annual meeting: Bradley
Berman
3g. To Elect the following Class B Director to Mgmt Split 90% For 8% Against 2% AbstainSplit
serve until 2021 annual meeting: Joseph
Lahti
3h. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit
serve until 2022 annual meeting: Frank Ng
3i. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit
serve until 2022 annual meeting: Eric Yang
3j. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit
serve until 2022 annual meeting: Adam
Pliska
3k. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit
serve until 2022 annual meeting: Maya
Rogers
4. To approve an equity incentive plan to be Mgmt Split 80% For 14% Against 6% AbstainSplit
effective upon consummation of the business
combination.
5. To adjourn the annual meeting to a later Mgmt Split 78% For 16% Against 6% AbstainSplit
date or dates if determined by the officer
presiding over the meeting.
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BLACKROCK CORPORATE HIGH YIELD FD VI INC Agenda Number: 935052605
--------------------------------------------------------------------------------------------------------------------------
Security: 09255P107
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: HYT
ISIN: US09255P1075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt Split 82% For 18% Withheld Split
Frank J. Fabozzi Mgmt Split 75% For 25% Withheld Split
Robert Fairbairn Mgmt Split 96% For 4% Withheld Split
Henry Gabbay Mgmt Split 89% For 11% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK CREDIT ALLOCATION INCOME TRUST Agenda Number: 935047818
--------------------------------------------------------------------------------------------------------------------------
Security: 092508100
Meeting Type: Annual
Meeting Date: 08-Jul-2019
Ticker: BTZ
ISIN: US0925081004
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt No vote
Cynthia L. Egan Mgmt No vote
Robert Fairbairn Mgmt No vote
Henry Gabbay Mgmt No vote
2. If properly presented at the meeting, a Shr No vote
shareholder proposal to declassify the
Board of Trustees, so that all Trustees are
elected on an annual basis.
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 935052605
--------------------------------------------------------------------------------------------------------------------------
Security: 09255R202
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: DSU
ISIN: US09255R2022
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt Split 41% For 59% Withheld Split
Frank J. Fabozzi Mgmt Split 41% For 59% Withheld Split
Robert Fairbairn Mgmt Split 41% For 59% Withheld Split
Henry Gabbay Mgmt Split 82% For 18% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK FLOATING RATE INCOME TRUST Agenda Number: 935052592
--------------------------------------------------------------------------------------------------------------------------
Security: 091941104
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: BGT
ISIN: US0919411043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt Split 86% For 14% Withheld Split
Cynthia L. Egan Mgmt Split 88% For 12% Withheld Split
Robert Fairbairn Mgmt Split 88% For 12% Withheld Split
Henry Gabbay Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK FLTING RT INCOME STRA FD INC Agenda Number: 935052605
--------------------------------------------------------------------------------------------------------------------------
Security: 09255X100
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: FRA
ISIN: US09255X1000
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt Split 76% For 24% Withheld Split
Frank J. Fabozzi Mgmt Split 76% For 24% Withheld Split
Robert Fairbairn Mgmt Split 80% For 20% Withheld Split
Henry Gabbay Mgmt Split 80% For 20% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK INSURED MUNICIPAL INCOME TRUST Agenda Number: 935052592
--------------------------------------------------------------------------------------------------------------------------
Security: 092479104
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: BYM
ISIN: US0924791041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt Split 78% For 22% Withheld Split
Cynthia L. Egan Mgmt Split 78% For 22% Withheld Split
Robert Fairbairn Mgmt Split 78% For 22% Withheld Split
Henry Gabbay Mgmt Split 78% For 22% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK LTD DURATION INCOME TR Agenda Number: 935052592
--------------------------------------------------------------------------------------------------------------------------
Security: 09249W101
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: BLW
ISIN: US09249W1018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt Split 93% For 7% Withheld Split
Cynthia L. Egan Mgmt Split 98% For 2% Withheld Split
Robert Fairbairn Mgmt Split 98% For 2% Withheld Split
Henry Gabbay Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MULTI SECTOR INCOME TRUST Agenda Number: 935052592
--------------------------------------------------------------------------------------------------------------------------
Security: 09258A107
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: BIT
ISIN: US09258A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Richard E. Cavanagh Mgmt Split 92% For 8% Withheld Split
Cynthia L. Egan Mgmt Split 92% For 8% Withheld Split
Robert Fairbairn Mgmt Split 99% For 1% Withheld Split
Henry Gabbay Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MUNIHOLDINGS CA INSD FD INC Agenda Number: 935052554
--------------------------------------------------------------------------------------------------------------------------
Security: 09254L107
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: MUC
ISIN: US09254L1070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Michael J. Castellano Mgmt Split 83% For 17% Withheld Split
Richard E. Cavanagh Mgmt Split 82% For 18% Withheld Split
Cynthia L. Egan Mgmt Split 84% For 16% Withheld Split
Robert Fairbairn Mgmt Split 83% For 17% Withheld Split
Henry Gabbay Mgmt Split 83% For 17% Withheld Split
R. Glenn Hubbard Mgmt Split 83% For 17% Withheld Split
Catherine A. Lynch Mgmt Split 84% For 16% Withheld Split
John M. Perlowski Mgmt Split 83% For 17% Withheld Split
Karen P. Robards Mgmt Split 83% For 17% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MUNIYIELD CALIFORNIA INSU FUND Agenda Number: 935052554
--------------------------------------------------------------------------------------------------------------------------
Security: 09254N103
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: MCA
ISIN: US09254N1037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Michael J. Castellano Mgmt Split 79% For 21% Withheld Split
Richard E. Cavanagh Mgmt Split 79% For 21% Withheld Split
Cynthia L. Egan Mgmt Split 79% For 21% Withheld Split
Robert Fairbairn Mgmt Split 79% For 21% Withheld Split
Henry Gabbay Mgmt Split 79% For 21% Withheld Split
R. Glenn Hubbard Mgmt Split 79% For 21% Withheld Split
Catherine A. Lynch Mgmt Split 79% For 21% Withheld Split
John M. Perlowski Mgmt Split 79% For 21% Withheld Split
Karen P. Robards Mgmt Split 79% For 21% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MUNIYIELD INSURED FUND Agenda Number: 935052554
--------------------------------------------------------------------------------------------------------------------------
Security: 09254E103
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: MYI
ISIN: US09254E1038
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Michael J. Castellano Mgmt Split 66% For 34% Withheld Split
Richard E. Cavanagh Mgmt Split 72% For 28% Withheld Split
Cynthia L. Egan Mgmt Split 73% For 27% Withheld Split
Robert Fairbairn Mgmt Split 72% For 28% Withheld Split
Henry Gabbay Mgmt Split 72% For 28% Withheld Split
R. Glenn Hubbard Mgmt Split 72% For 28% Withheld Split
Catherine A. Lynch Mgmt Split 67% For 33% Withheld Split
John M. Perlowski Mgmt Split 72% For 28% Withheld Split
Karen P. Robards Mgmt Split 67% For 33% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
BLACKROCK MUNIYIELD NY INSURED FUND Agenda Number: 935052554
--------------------------------------------------------------------------------------------------------------------------
Security: 09255E102
Meeting Type: Annual
Meeting Date: 29-Jul-2019
Ticker: MYN
ISIN: US09255E1029
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Michael J. Castellano Mgmt Split 71% For 29% Withheld Split
Richard E. Cavanagh Mgmt Split 71% For 29% Withheld Split
Cynthia L. Egan Mgmt Split 72% For 28% Withheld Split
Robert Fairbairn Mgmt Split 72% For 28% Withheld Split
Henry Gabbay Mgmt Split 72% For 28% Withheld Split
R. Glenn Hubbard Mgmt Split 71% For 29% Withheld Split
Catherine A. Lynch Mgmt Split 72% For 28% Withheld Split
John M. Perlowski Mgmt Split 73% For 27% Withheld Split
Karen P. Robards Mgmt Split 72% For 28% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CALAMOS INVESTMENTS Agenda Number: 935223836
--------------------------------------------------------------------------------------------------------------------------
Security: 12812C106
Meeting Type: Annual
Meeting Date: 29-Jun-2020
Ticker: CPZ
ISIN: US12812C1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
John P. Calamos, Sr. Mgmt Split 99% For 1% Withheld Split
Christopher M. Toub Mgmt Split 99% For 1% Withheld Split
Karen L. Stuckey Mgmt Split 99% For 1% Withheld Split
William R. Rybak Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 935049228
--------------------------------------------------------------------------------------------------------------------------
Security: 18914E106
Meeting Type: Annual
Meeting Date: 16-Jul-2019
Ticker: GLO
ISIN: US18914E1064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
3. DIRECTOR
Adam D. Crescenzi Mgmt Split 93% For 7% Withheld Split
Jerry G. Rutledge Mgmt Split 93% For 7% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
COHEN & STEERS QUALITY INC RLTY, FD INC. Agenda Number: 935144458
--------------------------------------------------------------------------------------------------------------------------
Security: 19247L106
Meeting Type: Annual
Meeting Date: 14-May-2020
Ticker: RQI
ISIN: US19247L1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Michael G. Clark Mgmt Split 92% For 8% Withheld Split
Dean A. Junkans Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE FLOATING-RATE INCOME TRUST Agenda Number: 935126690
--------------------------------------------------------------------------------------------------------------------------
Security: 278279104
Meeting Type: Annual
Meeting Date: 19-Mar-2020
Ticker: EFT
ISIN: US2782791048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Thomas E. Faust Jr. Mgmt Split 79% For 21% Withheld Split
Cynthia E. Frost Mgmt Split 79% For 21% Withheld Split
Scott E. Wennerholm Mgmt Split 79% For 21% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 935112211
--------------------------------------------------------------------------------------------------------------------------
Security: 27828H105
Meeting Type: Annual
Meeting Date: 16-Jan-2020
Ticker: EVV
ISIN: US27828H1059
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
Thomas E. Faust Jr. Mgmt Split 78% For 22% Withheld Split
Mark R. Fetting Mgmt Split 78% For 22% Withheld Split
Keith Quinton Mgmt Split 78% For 22% Withheld Split
2. A non-binding shareholder proposal that the Shr Split 46% For 51% Against 3% AbstainSplit
Board take the necessary steps to
declassify the Board of Trustees of the
Fund so that all Trustees are elected on an
annual basis.
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SENIOR FLOATING-RATE TRUST Agenda Number: 935056956
--------------------------------------------------------------------------------------------------------------------------
Security: 27828Q105
Meeting Type: Annual
Meeting Date: 15-Aug-2019
Ticker: EFR
ISIN: US27828Q1058
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Cynthia E. Frost Mgmt Split 97% For 3% Withheld Split
Valerie A. Mosley Mgmt Split 96% For 4% Withheld Split
Scott E. Wennerholm Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
EATON VANCE SENIOR INCOME TRUST Agenda Number: 935074031
--------------------------------------------------------------------------------------------------------------------------
Security: 27826S103
Meeting Type: Annual
Meeting Date: 17-Oct-2019
Ticker: EVF
ISIN: US27826S1033
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
George J. Gorman Mgmt Split 75% For 25% Withheld Split
Marcus L. Smith Mgmt Split 75% For 25% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST ADVISORS Agenda Number: 935068949
--------------------------------------------------------------------------------------------------------------------------
Security: 33740K101
Meeting Type: Annual
Meeting Date: 09-Sep-2019
Ticker: FIV
ISIN: US33740K1016
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Election of Class II Trustee: Niel B. Mgmt Split 98% For 2% Abstain Split
Nielson
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST ADVISORS Agenda Number: 935122894
--------------------------------------------------------------------------------------------------------------------------
Security: 33738E109
Meeting Type: Annual
Meeting Date: 09-Mar-2020
Ticker: FSD
ISIN: US33738E1091
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1 DIRECTOR
Robert F. Keith Mgmt Split 77% For 23% Withheld Split
2 If properly presented at the Meeting, a Shr Split 22% For 76% Against 2% AbstainSplit
shareholder proposal to terminate all
investment advisory and management
agreements pertaining to the Fund.
--------------------------------------------------------------------------------------------------------------------------
FIRST TRUST INTERMEDIATE Agenda Number: 935145599
--------------------------------------------------------------------------------------------------------------------------
Security: 33718W103
Meeting Type: Annual
Meeting Date: 22-Apr-2020
Ticker: FPF
ISIN: US33718W1036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
ROBERT F. KEITH Mgmt Split 88% For 12% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
FS KKR CAPITAL CORP. Agenda Number: 935016661
--------------------------------------------------------------------------------------------------------------------------
Security: 302635107
Meeting Type: Annual
Meeting Date: 16-Jul-2019
Ticker: FSK
ISIN: US3026351078
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Barbara Adams Mgmt Split 96% For 4% Withheld Split
Frederick Arnold Mgmt Split 95% For 5% Withheld Split
Michael C. Forman Mgmt Split 95% For 5% Withheld Split
Jerel A. Hopkins Mgmt Split 95% For 5% Withheld Split
2. To approve the application of the reduced Mgmt Split 75% For 21% Against 4% AbstainSplit
asset coverage requirements in Section
61(a)(2) of the Investment Company Act of
1940, as amended, to the Company, which
would permit the Company to increase the
maximum amount of leverage that it is
permitted to incur by reducing the asset
coverage requirement applicable to the
Company from 200% to 150%.
3. To approve the proposal to allow the Mgmt Split 70% For 25% Against 5% AbstainSplit
Company in future offerings to sell its
shares below net asset value per share in
order to provide flexibility for future
sales.
--------------------------------------------------------------------------------------------------------------------------
GLADSTONE INVESTMENT CORPORATION Agenda Number: 935052516
--------------------------------------------------------------------------------------------------------------------------
Security: 376546503
Meeting Type: Annual
Meeting Date: 15-Aug-2019
Ticker: GAINM
ISIN: US3765465030
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Paul Adelgren Mgmt Split 39% For 61% Withheld Split
David Gladstone Mgmt Split 39% For 61% Withheld Split
John Outland Mgmt Split 39% For 61% Withheld Split
2. To approve a proposal to authorize the Mgmt Split 92% For 7% Against 1% AbstainSplit
Company, with subsequent approval of its
board of directors, to issue & 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 limitations set forth in Proxy
Statement (including, without limitation,
that the number of shares issued & sold
pursuant to such stockholder approval does
not exceed 25% of Company's then
outstanding common stock immediately prior
to each such sale)
--------------------------------------------------------------------------------------------------------------------------
GORDON POINTE ACQUISITION CORP Agenda Number: 935145082
--------------------------------------------------------------------------------------------------------------------------
Security: 382788107
Meeting Type: Special
Meeting Date: 30-Mar-2020
Ticker: GPAQ
ISIN: US3827881075
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension Amendment: Proposal to amend the Mgmt For For
Company's Amended and Restated Certificate
of Incorporation, as previously amended, to
extend the date by which the Company must
consummate a business combination for
forty-five (45) days from March 30, 2020 to
May 14, 2020.
2. Trust Amendment: Proposal to amend the Mgmt For For
Investment Management Trust Agreement,
dated as of January 24, 2018, as amended,
between the Company and Continental Stock
Transfer & Trust Company ("Continental"),
to extend the date on which Continental
must liquidate the Trust Account
established in connection with the
Company's initial public offering if the
Company has not completed a business
combination for forty-five (45) days from
March 30, 2020 to May 14, 2020.
--------------------------------------------------------------------------------------------------------------------------
GUGGENHEIM FUNDS Agenda Number: 935073990
--------------------------------------------------------------------------------------------------------------------------
Security: 00764C109
Meeting Type: Annual
Meeting Date: 25-Sep-2019
Ticker: AVK
ISIN: US00764C1099
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a. Election of Trustee: Mr. Randall C. Barnes Mgmt Split 65% For 33% Against 2% AbstainSplit
1b. Election of Trustee: Mr. Derek Medina Mgmt Split 65% For 33% Against 2% AbstainSplit
1c. Election of Trustee: Mr. Gerald L. Seizert Mgmt Split 65% For 33% Against 2% AbstainSplit
--------------------------------------------------------------------------------------------------------------------------
HEALTH SCIENCES ACQUISITIONS CORPORATION Agenda Number: 935113388
--------------------------------------------------------------------------------------------------------------------------
Security: 42227C102
Meeting Type: Special
Meeting Date: 16-Dec-2019
Ticker: HSAC
ISIN: US42227C1027
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Adopt the Share Exchange Agreement, dated Mgmt For For
as of September 29, 2019 ("Share Exchange
Agreement"), by and among Health Sciences
Acquisitions Corporation ("HSAC"),
Immunovant Sciences Ltd., a Bermuda
exempted limited company ("Immunovant"),
stockholders of Immunovant ("Sellers") and
Roivant Sciences Ltd., a Bermuda exempted
limited company, as representative of the
Sellers, and thereby approve the
transactions contemplated under the Share
Exchange Agreement ("Business
Combination"). This proposal is referred to
as the "Business Combination Proposal".
2A. To approve, subject to and with immediate Mgmt For For
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current Amended
and Restated Certificate of Incorporation
as set forth in the proposed Second Amended
and Restated Certificate of Incorporation
of HSAC (the "Amended Charter") to: change
name of the combined company after the
Business Combination (the "Combined
Company") to "Immunovant, Inc." from
"Health Sciences Acquisition Corporation".
2B. To approve, subject to and with immediate Mgmt For For
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current Amended
and Restated Certificate of Incorporation
as set forth in the proposed Second Amended
and Restated Certificate of Incorporation
of HSAC (the "Amended Charter") to: the
authorized number of shares of common stock
from 30,000,000 shares to 500,000,000
shares.
2C. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to authorize the issuance of up to
10,000,000 shares of "blank check"
preferred stock, the rights, preferences
and privileges of which may be designated
from time to time by the Combined Company's
board of directors to increase the number
of outstanding shares and discourage a
takeover attempt.
2D. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to authorize the issuance of up to 10,000
shares of Series A Preferred Stock ("Series
A Preferred Stock") and designate the
rights, preferences and privileges of the
Series A Preferred Stock, including that
the holder(s) of a majority of the
outstanding shares of Series A Preferred
Stock will be entitled to elect: (1) four
directors (the "Series A Preferred
Directors"), (2) three Series A Preferred
Directors and (3) two Series A Preferred
Directors.
2E. To approve, subject to and with immediate Mgmt For For
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current Amended
and Restated Certificate of Incorporation
as set forth in the proposed Second Amended
and Restated Certificate of Incorporation
of HSAC (the "Amended Charter") to: provide
that the number of directors constituting
the board of directors of the Combined
Company will be fixed at no less than
seven.
2F. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to provide that directors may be removed
with or without cause by the affirmative
vote of the holders of at least 66 2/3% of
the voting power of all then-outstanding
shares of the Combined Company's capital
stock entitled to vote generally at an
election of directors; provided that the
Series A Preferred Directors may be removed
without cause only by the holder(s) of
Series A Preferred Stock.
2G. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to declassify the Combined Company's board
of directors and provide that each director
will serve for a one-year term, until his
or her successor is duly elected and
qualified or until his or her earlier
death, resignation or removal.
2H. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to provide that, as long as the Combined
Company is a "controlled company," the
chairperson of the broad of directors of
the Combined Company will be entitled to a
casting vote and be entitled to two votes
on any matter or resolution presented to
the full board of directors or any
committee on which he or she then serves
for which a majority vote cannot be
obtained.
2I. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to provide that from and after such time as
the Combined Company is no longer a
"controlled company," no action shall be
taken by the stockholders of the Combined
Company except at an annual or special
meeting of stockholders called in
accordance with the Combined Company's
bylaws, and no action shall be taken by the
stockholders by written consent or
electronic transmission.
2J. To approve, subject to and with immediate Mgmt For For
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current Amended
and Restated Certificate of Incorporation
as set forth in the proposed Second Amended
and Restated Certificate of Incorporation
of HSAC (the "Amended Charter") to: provide
that the Combined Company opts out of
Section 203 of the Delaware General
Corporation Law.
2K. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to provide that, from and after such time
as the Combined Company is no longer a
"controlled company," as such term is
defined under the rules of the exchange on
which the Combined Company's securities are
listed, any amendment to the Combined
Company's bylaws will require the approval
of the holders of at least 66 2/3% of the
Combined Company's then-outstanding shares
of capital stock entitled to vote generally
at an election of directors.
2L. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to provide that, from and after such time
as the Combined Company is no longer a
"controlled company," any amendment to
certain provisions of the Amended Charter
will require the approval of the holders of
at least 66 2/3% of the Combined Company's
then-outstanding shares of capital stock
entitled to vote generally at an election
of directors.
2M. To approve, subject to and with immediate Mgmt For For
effect upon the consummation of the
Business Combination, the following
proposals to amend HSAC's current Amended
and Restated Certificate of Incorporation
as set forth in the proposed Second Amended
and Restated Certificate of Incorporation
of HSAC (the "Amended Charter") to: remove
various provisions related to its
operations as a blank check company prior
to the consummation of an initial business
combination.
2N. To approve to amend HSAC's current Amended Mgmt For For
and Restated Certificate of Incorporation
to provide that the federal district courts
of the United States of America will be the
exclusive forum for resolving any complaint
asserting a cause of action arising under
the Securities Act of 1933, as amended.
3. To approve the issuance of more than 20% of Mgmt For For
the issued and outstanding shares of HSAC's
common stock pursuant to the terms of the
Share Exchange Agreement, resulting in a
change of control, as required by Nasdaq
Listing Rules 5635(a), (b) and (d). This
proposal is referred to as the "Nasdaq
Proposal" or "Proposal No. 3."
4. To approve the 2019 HSAC Equity Incentive Mgmt For For
Plan. This proposal is referred to as the
"Equity Incentive Plan Proposal" or
"Proposal No. 4".
5. To approve the adjournment of the special Mgmt For For
meeting for the purpose of soliciting
additional proxies in favor of the adoption
of the Share Exchange Agreement in the
event HSAC does not receive the requisite
shareholder vote to approve the Business
Combination. This proposal is called the
"Business Combination Adjournment Proposal"
or "Proposal No. 5."
--------------------------------------------------------------------------------------------------------------------------
HIGHLAND FUNDS Agenda Number: 935209177
--------------------------------------------------------------------------------------------------------------------------
Security: 43010E404
Meeting Type: Annual
Meeting Date: 12-Jun-2020
Ticker: HFRO
ISIN: US43010E4044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Dr. Bob Froehlich Mgmt Split 85% For 15% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
HIGHLAND FUNDS Agenda Number: 935212580
--------------------------------------------------------------------------------------------------------------------------
Security: 43010T104
Meeting Type: Annual
Meeting Date: 12-Jun-2020
Ticker: HGLB
ISIN: US43010T1043
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Dr. Bob Froehlich Mgmt Split 81% For 19% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 935061921
--------------------------------------------------------------------------------------------------------------------------
Security: 46138E727
Meeting Type: Special
Meeting Date: 19-Aug-2019
Ticker: PXH
ISIN: US46138E7278
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Ronn R. Bagge Mgmt Split 99% For 1% Withheld Split
Todd J. Barre Mgmt For For
Kevin M. Carome Mgmt For For
E. P. Giambastiani, Jr. Mgmt For For
Victoria J. Herget Mgmt For For
Marc M. kole Mgmt Split 98% For 2% Withheld Split
Yung Bong Lim Mgmt For For
Joanne Pace Mgmt For For
Gary R. Wicker Mgmt Split 99% For 1% Withheld Split
Donald H. Wilson Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 935061921
--------------------------------------------------------------------------------------------------------------------------
Security: 46137V613
Meeting Type: Special
Meeting Date: 19-Aug-2019
Ticker: PRF
ISIN: US46137V6130
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Ronn R. Bagge Mgmt Split 99% For 1% Withheld Split
Todd J. Barre Mgmt For For
Kevin M. Carome Mgmt For For
E. P. Giambastiani, Jr. Mgmt For For
Victoria J. Herget Mgmt For For
Marc M. kole Mgmt Split 99% For 1% Withheld Split
Yung Bong Lim Mgmt For For
Joanne Pace Mgmt For For
Gary R. Wicker Mgmt For For
Donald H. Wilson Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 935062151
--------------------------------------------------------------------------------------------------------------------------
Security: 46132R104
Meeting Type: Annual
Meeting Date: 23-Aug-2019
Ticker: VTA
ISIN: US46132R1041
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a DIRECTOR
Cynthia Hostetler Mgmt Split 97% For 3% Withheld Split
Eli Jones Mgmt Split 98% For 2% Withheld Split
Ann Barnett Stern Mgmt Split 98% For 2% Withheld Split
Raymond Stickel, Jr. Mgmt Split 97% For 3% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
INVESCO Agenda Number: 935062151
--------------------------------------------------------------------------------------------------------------------------
Security: 46131H107
Meeting Type: Annual
Meeting Date: 23-Aug-2019
Ticker: VVR
ISIN: US46131H1077
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a DIRECTOR
Cynthia Hostetler Mgmt Split 98% For 2% Withheld Split
Eli Jones Mgmt Split 98% For 2% Withheld Split
Ann Barnett Stern Mgmt Split 98% For 2% Withheld Split
Raymond Stickel, Jr. Mgmt Split 98% For 2% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
KAYNE ANDERSON MLP/MIDSTREAM INV CO Agenda Number: 935138114
--------------------------------------------------------------------------------------------------------------------------
Security: 486606106
Meeting Type: Annual
Meeting Date: 07-May-2020
Ticker: KYN
ISIN: US4866061066
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Election of Director: WILLIAM R. CORDES Mgmt Split 97% For 2% Against 1% AbstainSplit
1B. Election of Director: BARRY R. PEARL Mgmt Split 97% For 2% Against 1% AbstainSplit
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, 2020.
--------------------------------------------------------------------------------------------------------------------------
LEGACY ACQUISITION CORP. Agenda Number: 935086478
--------------------------------------------------------------------------------------------------------------------------
Security: 524643103
Meeting Type: Special
Meeting Date: 22-Oct-2019
Ticker: LGC
ISIN: US5246431036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To amend the Company's amended and restated Mgmt For For
certificate of incorporation to extend the
date by which the Company has to consummate
a business combination from November 21,
2019 to December 21, 2019, plus an option
for the Company to further extend such date
up to five times, initially to January 21,
2020 and thereafter by additional 30 day
periods each to May 20, 2020 (the "Extended
Date"), a copy of which is attached as
Exhibit A to the proxy statement and as
more fully described therein.
2. To amend the Company's investment Mgmt For For
management trust agreement, dated as of
November 16, 2017, by and between the
Company and Continental Stock Transfer &
Trust Company to extend the date on which
to commence liquidating the trust account
established in connection with the
Company's initial public offering in the
event the Company has not consummated a
business combination from November 21, 2019
to the Extended Date, a copy of which is
attached as Exhibit B to the proxy
statement and as more fully described
therein.
--------------------------------------------------------------------------------------------------------------------------
LEGACY ACQUISITION CORP. Agenda Number: 935222416
--------------------------------------------------------------------------------------------------------------------------
Security: 524643111
Meeting Type: Consent
Meeting Date: 08-Jun-2020
Ticker: LGCWS
ISIN: US5246431119
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve amendments to that certain Mgmt For For
Warrant Agreement, dated as of November 16,
2017, between the Company and Continental
Stock Transfer & Trust Company (the
"Warrant Agreement"), which amendments
provide, among other things.
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 935075247
--------------------------------------------------------------------------------------------------------------------------
Security: 95768B107
Meeting Type: Annual
Meeting Date: 04-Oct-2019
Ticker: HYI
ISIN: US95768B1070
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
William R. Hutchinson Mgmt Split 90% For 10% Withheld Split
Nisha Kumar Mgmt Split 97% For 3% Withheld Split
Jane Trust Mgmt Split 90% For 10% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 935078940
--------------------------------------------------------------------------------------------------------------------------
Security: 95766B109
Meeting Type: Annual
Meeting Date: 25-Oct-2019
Ticker: EHI
ISIN: US95766B1098
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Robert D. Agdern Mgmt No vote
Eileen A. Kamerick Mgmt No vote
2. A non-binding proposal put forth by Saba Shr No vote
Capital Management, L.P., if properly
presented before the Meeting, requesting
that the Board of Directors take all
necessary steps in its power to declassify
the Board of Directors.
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 935128620
--------------------------------------------------------------------------------------------------------------------------
Security: 95766K109
Meeting Type: Annual
Meeting Date: 20-Mar-2020
Ticker: HIO
ISIN: US95766K1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Class I Director: Robert D. Mgmt Split 65% For 34% Against 1% AbstainSplit
Agdern
1.2 Election of Class I Director: Carol L. Mgmt Split 65% For 34% Against 1% AbstainSplit
Colman, CFA
1.3 Election of Class I Director: Daniel P. Mgmt Split 62% For 37% Against 1% AbstainSplit
Cronin
2. To ratify the selection of Mgmt Split 98% For 1% Against 1% AbstainSplit
PricewaterhouseCoopers LLP ("PwC") as
independent registered public accountants
of the Fund for the fiscal year ended
September 30, 2020.
3. A non-binding proposal put forth by Saba Shr Split 40% For 57% Against 3% AbstainSplit
Capital Management, L.P. regarding a
self-tender offer, if properly presented
before the Meeting.
--------------------------------------------------------------------------------------------------------------------------
LEGG MASON Agenda Number: 935128632
--------------------------------------------------------------------------------------------------------------------------
Security: 10537L104
Meeting Type: Annual
Meeting Date: 20-Mar-2020
Ticker: BWG
ISIN: US10537L1044
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Class II Director: Nisha Kumar Mgmt No vote
1.2 Election of Class II Director: Jane E. Mgmt No vote
Trust, CFA
2. To ratify the selection of Mgmt No vote
PricewaterhouseCoopers LLP ("PwC") as
independent registered public accountants
of the Fund for the fiscal year ended
October 31, 2020.
3. A non-binding proposal put forth by an Shr No vote
affiliate of Bulldog Investors, LLC
requesting that the Board consider a
self-tender offer for all outstanding
shares of the Fund at or close to net asset
value, if properly presented before the
Meeting.
4. A non-binding proposal put forth by an Shr No vote
affiliate of Bulldog Investors, LLC
requesting that the Board amend the Fund's
bylaws to provide a majority of votes cast
voting standard for contested director
elections, if properly presented before the
Meeting.
--------------------------------------------------------------------------------------------------------------------------
LEISURE ACQUISITION CORP. Agenda Number: 935098170
--------------------------------------------------------------------------------------------------------------------------
Security: 52539T107
Meeting Type: Special
Meeting Date: 26-Nov-2019
Ticker: LACQ
ISIN: US52539T1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension Amendment: Proposal to amend the Mgmt For For
Company's Second Amended and Restated
Certificate of Incorporation to extend the
date by which the Company must consummate a
business combination from December 5, 2019
to April 5, 2020.
2. Trust Amendment: Proposal to amend the Mgmt For For
Company's investment management trust
agreement, dated December 1, 2017, by and
between the Company and Continental Stock
Transfer & Trust Company to extend the date
on which to commence liquidating the trust
account established in connection with the
Company's initial public offering in the
event the Company has not consummated a
business combination by April 5, 2020.
3. DIRECTOR
Steven M. Rittvo Mgmt For For
David L. Weinstein Mgmt For For
4. Auditor Proposal: Proposal to ratify the Mgmt For For
selection by our Audit Committee of Marcum
LLP to serve as our independent registered
public accounting firm for the year ending
December 31, 2019.
5. Adjournment Proposal: Proposal to adjourn Mgmt For For
the Special Meeting to a later date or
dates, if necessary, to permit further
solicitation and vote of proxies if, based
upon the tabulated vote at the time of the
Special Meeting, there are not sufficient
votes to approve any of the foregoing
proposals.
--------------------------------------------------------------------------------------------------------------------------
LEISURE ACQUISITION CORP. Agenda Number: 935098170
--------------------------------------------------------------------------------------------------------------------------
Security: 52539T206
Meeting Type: Special
Meeting Date: 26-Nov-2019
Ticker: LACQU
ISIN: US52539T2069
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension Amendment: Proposal to amend the Mgmt For For
Company's Second Amended and Restated
Certificate of Incorporation to extend the
date by which the Company must consummate a
business combination from December 5, 2019
to April 5, 2020.
2. Trust Amendment: Proposal to amend the Mgmt For For
Company's investment management trust
agreement, dated December 1, 2017, by and
between the Company and Continental Stock
Transfer & Trust Company to extend the date
on which to commence liquidating the trust
account established in connection with the
Company's initial public offering in the
event the Company has not consummated a
business combination by April 5, 2020.
3. DIRECTOR
Steven M. Rittvo Mgmt For For
David L. Weinstein Mgmt For For
4. Auditor Proposal: Proposal to ratify the Mgmt For For
selection by our Audit Committee of Marcum
LLP to serve as our independent registered
public accounting firm for the year ending
December 31, 2019.
5. Adjournment Proposal: Proposal to adjourn Mgmt For For
the Special Meeting to a later date or
dates, if necessary, to permit further
solicitation and vote of proxies if, based
upon the tabulated vote at the time of the
Special Meeting, there are not sufficient
votes to approve any of the foregoing
proposals.
--------------------------------------------------------------------------------------------------------------------------
LEISURE ACQUISITION CORP. Agenda Number: 935137491
--------------------------------------------------------------------------------------------------------------------------
Security: 52539T107
Meeting Type: Special
Meeting Date: 26-Mar-2020
Ticker: LACQ
ISIN: US52539T1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension Amendment: Proposal to amend the Mgmt For For
Company's Second Amended and Restated
Certificate of Incorporation, as amended on
December 5, 2019, to extend the date by
which the Company must consummate a
business combination from April 5, 2020 to
June 30, 2020.
2. Trust Amendment: Proposal to amend the Mgmt For For
Company's investment management trust
agreement, dated December 1, 2017, as
amended on December 5, 2019, by and between
the Company and Continental Stock Transfer
& Trust Company to extend the date on which
to commence liquidating the trust account
established in connection with the
Company's initial public offering in the
event the Company has not consummated a
business combination from April 5, 2020 to
June 30, 2020.
3. Adjournment Proposal: Proposal to adjourn Mgmt For For
the Special Meeting to a later date or
dates, if necessary, to permit further
solicitation and vote of proxies if, based
upon the tabulated vote at the time of the
Special Meeting, there are not sufficient
votes to approve any of the foregoing
proposals.
--------------------------------------------------------------------------------------------------------------------------
LF CAPITAL ACQUISTION CORP Agenda Number: 935100658
--------------------------------------------------------------------------------------------------------------------------
Security: 50200K108
Meeting Type: Annual
Meeting Date: 03-Dec-2019
Ticker: LFAC
ISIN: US50200K1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
James Erwin Mgmt For For
Karen Wendel Mgmt For For
2. Ratification of the selection by the Audit Mgmt For For
Committee of RSM US LLP to serve as our
independent registered public accounting
firm for the year ending December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
LF CAPITAL ACQUISTION CORP Agenda Number: 935227276
--------------------------------------------------------------------------------------------------------------------------
Security: 50200K108
Meeting Type: Special
Meeting Date: 16-Jun-2020
Ticker: LFAC
ISIN: US50200K1088
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension Amendment: Proposal to amend the Mgmt For For
Company's Amended and Restated Certificate
of Incorporation, as previously amended, to
extend the date by which the Company must
consummate a business combination from June
22, 2020 to September 22, 2020.
2. Adjournment of the Special Meeting Proposal Mgmt For For
to direct the chairman of the special
meeting to adjourn the special meeting to a
later date or dates, if necessary, to
permit further solicitation and vote of
proxies if, based upon the tabulated vote
at the time of the Meeting, there are not
sufficient votes to approve the foregoing
proposal.
--------------------------------------------------------------------------------------------------------------------------
LIBERTY ALL-STAR EQUITY FUND Agenda Number: 935059267
--------------------------------------------------------------------------------------------------------------------------
Security: 530158104
Meeting Type: Annual
Meeting Date: 22-Aug-2019
Ticker: USA
ISIN: US5301581048
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
John J. Neuhasuer Mgmt Split 95% For 5% Withheld Split
Milton M. Irvin Mgmt Split 96% For 4% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NEUBERGER BERMAN HI/YLD STRATEGY Agenda Number: 935075540
--------------------------------------------------------------------------------------------------------------------------
Security: 64128C106
Meeting Type: Annual
Meeting Date: 03-Oct-2019
Ticker: NHS
ISIN: US64128C1062
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Frederic Gabriel Mgmt No vote
Thomas H. McGlade Mgmt No vote
Arthur D. Lipson Mgmt No vote
2. Proposal 2- Termination of the Management Mgmt No vote
Agreement between the Fund and Neuberger
Berman Management LLC, dated August 6,
2010, as amended or novated and all other
advisory and management agreements between
the Fund and Neuberger Berman Investment
Advisers LLC.
3. Proposal 3- For the Board to consider Mgmt No vote
authorizing a self-tender offer for all
outstanding shares of the Fund at or close
to net asset value ("NAV'). If more than
50% of the Fund's outstanding shares are
submitted for tender, the tender offer
should be cancelled and the Board should
take the steps necessary to liquidate or
convert the Fund into an open-end mutual
fund.
--------------------------------------------------------------------------------------------------------------------------
NUVEEN AMT FREE QUALITY MUNI INC FD Agenda Number: 935059748
--------------------------------------------------------------------------------------------------------------------------
Security: 670657105
Meeting Type: Annual
Meeting Date: 07-Aug-2019
Ticker: NEA
ISIN: US6706571055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1c. DIRECTOR
Judith M. Stockdale Mgmt Split 81% For 19% Withheld Split
Carole E. Stone Mgmt Split 76% For 24% Withheld Split
Margaret L. Wolff Mgmt Split 82% For 18% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN FLOATING RATE INCOME OPP FD Agenda Number: 935139394
--------------------------------------------------------------------------------------------------------------------------
Security: 6706EN100
Meeting Type: Annual
Meeting Date: 22-Apr-2020
Ticker: JRO
ISIN: US6706EN1001
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
John K. Nelson Mgmt Split 94% For 6% Withheld Split
Terence J. Toth Mgmt Split 88% For 12% Withheld Split
Robert L. Young Mgmt Split 94% For 6% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN GLOBAL HIGH INCOME FUND Agenda Number: 935139382
--------------------------------------------------------------------------------------------------------------------------
Security: 67075G103
Meeting Type: Annual
Meeting Date: 22-Apr-2020
Ticker: JGH
ISIN: US67075G1031
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
John K. Nelson Mgmt Split 73% For 27% Withheld Split
Terence J. Toth Mgmt Split 80% For 20% Withheld Split
Robert L. Young Mgmt Split 81% For 19% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN INTER DUR QLTY MUNI TERM FD Agenda Number: 935139394
--------------------------------------------------------------------------------------------------------------------------
Security: 670677103
Meeting Type: Annual
Meeting Date: 22-Apr-2020
Ticker: NIQ
ISIN: US6706771036
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. DIRECTOR
John K. Nelson Mgmt Split 90% For 10% Withheld Split
Terence J. Toth Mgmt Split 90% For 10% Withheld Split
Robert L. Young Mgmt Split 90% For 10% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN MORTGAGE OPPORTUNITY TERM FUND Agenda Number: 935049874
--------------------------------------------------------------------------------------------------------------------------
Security: 670735109
Meeting Type: Annual
Meeting Date: 29-Aug-2019
Ticker: JLS
ISIN: US6707351093
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve an amendment to the Fund's Mgmt Split 84% For 13% Against 3% AbstainSplit
Declaration of Trust that would eliminate
the provision requiring the automatic
termination of the Fund on November 30,
2019.
2. To approve the adoption of a new investment Mgmt Split 84% For 13% Against 3% AbstainSplit
objective.
3a. To approve a new investment management Mgmt Split 84% For 12% Against 4% AbstainSplit
agreement with Nuveen Fund Advisors, LLC.
3b. To approve a new investment sub-advisory Mgmt Split 84% For 12% Against 4% AbstainSplit
agreement between Nuveen Fund Advisors, LLC
and Teachers Advisors, LLC on behalf of the
Fund.
4. DIRECTOR
Judith M. Stockdale Mgmt Split 88% For 12% Withheld Split
Carole E. Stone Mgmt Split 88% For 12% Withheld Split
Margaret L. Wolff Mgmt Split 88% For 12% Withheld Split
William C. Hunter Mgmt Split 87% For 13% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 Agenda Number: 935049886
--------------------------------------------------------------------------------------------------------------------------
Security: 67074R100
Meeting Type: Annual
Meeting Date: 29-Aug-2019
Ticker: JMT
ISIN: US67074R1005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve an amendment to the Fund's Mgmt Split 87% For 9% Against 4% AbstainSplit
Declaration of Trust that would eliminate
the provision requiring the automatic
termination of the Fund on February 28,
2020.
2. To approve the adoption of a new investment Mgmt Split 87% For 9% Against 4% AbstainSplit
objective.
3a. To approve a new investment management Mgmt Split 88% For 8% Against 4% AbstainSplit
agreement with Nuveen Fund Advisors, LLC.
3b. To approve a new investment sub-advisory Mgmt Split 88% For 8% Against 4% AbstainSplit
agreement between Nuveen Fund Advisors, LLC
and Teachers Advisors, LLC on behalf of the
Fund.
4. DIRECTOR
Judith M. Stockdale Mgmt Split 89% For 11% Withheld Split
Carole E. Stone Mgmt Split 89% For 11% Withheld Split
Margaret L. Wolff Mgmt Split 89% For 11% Withheld Split
William C. Hunter Mgmt Split 89% For 11% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 935139382
--------------------------------------------------------------------------------------------------------------------------
Security: 67073D102
Meeting Type: Annual
Meeting Date: 22-Apr-2020
Ticker: JQC
ISIN: US67073D1028
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1B. DIRECTOR
John K. Nelson Mgmt Split 89% For 11% Withheld Split
Terence J. Toth Mgmt Split 91% For 9% Withheld Split
Robert L. Young Mgmt Split 91% For 9% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
NUVEEN QUALITY MUNICIPAL INCOME FUND Agenda Number: 935059748
--------------------------------------------------------------------------------------------------------------------------
Security: 67066V101
Meeting Type: Annual
Meeting Date: 07-Aug-2019
Ticker: NAD
ISIN: US67066V1017
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1c. DIRECTOR
Judith M. Stockdale Mgmt Split 82% For 18% Withheld Split
Carole E. Stone Mgmt Split 75% For 25% Withheld Split
Margaret L. Wolff Mgmt Split 82% For 18% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
OPES ACQUISITION CORP. Agenda Number: 935078736
--------------------------------------------------------------------------------------------------------------------------
Security: 68373P100
Meeting Type: Special
Meeting Date: 16-Sep-2019
Ticker: OPES
ISIN: US68373P1003
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt For For
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to November 15, 2019.
2. Early Termination: Approve the Company's Mgmt For For
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors.
--------------------------------------------------------------------------------------------------------------------------
OPES ACQUISITION CORP. Agenda Number: 935100242
--------------------------------------------------------------------------------------------------------------------------
Security: 68373P100
Meeting Type: Special
Meeting Date: 15-Nov-2019
Ticker: OPES
ISIN: US68373P1003
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt For For
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to January 15, 2020.
2. Early Termination: Approve the Company's Mgmt For For
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors.
--------------------------------------------------------------------------------------------------------------------------
OPES ACQUISITION CORP. Agenda Number: 935121032
--------------------------------------------------------------------------------------------------------------------------
Security: 68373P100
Meeting Type: Special
Meeting Date: 15-Jan-2020
Ticker: OPES
ISIN: US68373P1003
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt For For
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to March 16, 2020.
2. Early Termination: Approve the Company's Mgmt For For
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors.
--------------------------------------------------------------------------------------------------------------------------
OPES ACQUISITION CORP. Agenda Number: 935139180
--------------------------------------------------------------------------------------------------------------------------
Security: 68373P100
Meeting Type: Special
Meeting Date: 16-Mar-2020
Ticker: OPES
ISIN: US68373P1003
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Extension of Corporate Life: Amend the Mgmt For For
Company's amended and restated certificate
of incorporation to extend the date that
the Company has to consummate a business
combination to June 18, 2020.
2. Early Termination: Approve the Company's Mgmt For For
early winding up and redemption of 100% of
the outstanding public shares if determined
by the Company's board of directors.
--------------------------------------------------------------------------------------------------------------------------
PGIM INVESTMENTS Agenda Number: 935122616
--------------------------------------------------------------------------------------------------------------------------
Security: 69346H100
Meeting Type: Annual
Meeting Date: 09-Mar-2020
Ticker: ISD
ISIN: US69346H1005
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Kevin J. Bannon Mgmt Split 92% For 8% Withheld Split
Keith F. Hartstein Mgmt Split 75% For 25% Withheld Split
Grace C. Torres Mgmt Split 75% For 25% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PGIM INVESTMENTS Agenda Number: 935122628
--------------------------------------------------------------------------------------------------------------------------
Security: 69346J106
Meeting Type: Annual
Meeting Date: 09-Mar-2020
Ticker: GHY
ISIN: US69346J1060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Kevin J. Bannon Mgmt Split 87% For 13% Withheld Split
Keith F. Hartstein Mgmt Split 67% For 33% Withheld Split
Grace C. Torres Mgmt Split 69% For 31% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PIMCO FUNDS Agenda Number: 935224802
--------------------------------------------------------------------------------------------------------------------------
Security: 69346N107
Meeting Type: Annual
Meeting Date: 29-Jun-2020
Ticker: NRGX
ISIN: US69346N1072
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Sarah E. Cogan Mgmt Split 92% For 8% Withheld Split
Joseph B. Kittredge, Jr Mgmt Split 92% For 8% Withheld Split
John C. Maney Mgmt Split 95% For 5% Withheld Split
William B. Ogden, IV Mgmt Split 92% For 8% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
PURE ACQUISITION CORP. Agenda Number: 935084183
--------------------------------------------------------------------------------------------------------------------------
Security: 74621Q106
Meeting Type: Annual
Meeting Date: 10-Oct-2019
Ticker: PACQ
ISIN: US74621Q1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) The Extension Proposal - To amend the Mgmt For For
Company's second amended and restated
certificate of incorporation to extend the
date by which the Company has to consummate
a business combination from October 17,
2019 to February 21, 2020.
2) The Election of Director - To elect Jared Mgmt For For
S. Sturdivant to serve as the Class A
director on the Company's Board of
Directors until the 2022 annual meeting of
stockholders or until his successor is
elected and qualified.
3) The Auditor Proposal - To ratify the Mgmt For For
selection by the Company's audit committee
of WithumSmith+Brown, PC to serve as the
Company's independent registered public
accounting firm for the year ending
December 31, 2019.
4) The Adjournment Proposal - to approve the Mgmt For For
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of proposal
1.
--------------------------------------------------------------------------------------------------------------------------
PURE ACQUISITION CORP. Agenda Number: 935084183
--------------------------------------------------------------------------------------------------------------------------
Security: 74621Q205
Meeting Type: Annual
Meeting Date: 10-Oct-2019
Ticker: PACQU
ISIN: US74621Q2057
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) The Extension Proposal - To amend the Mgmt For For
Company's second amended and restated
certificate of incorporation to extend the
date by which the Company has to consummate
a business combination from October 17,
2019 to February 21, 2020.
2) The Election of Director - To elect Jared Mgmt For For
S. Sturdivant to serve as the Class A
director on the Company's Board of
Directors until the 2022 annual meeting of
stockholders or until his successor is
elected and qualified.
3) The Auditor Proposal - To ratify the Mgmt For For
selection by the Company's audit committee
of WithumSmith+Brown, PC to serve as the
Company's independent registered public
accounting firm for the year ending
December 31, 2019.
4) The Adjournment Proposal - to approve the Mgmt For For
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of proposal
1.
--------------------------------------------------------------------------------------------------------------------------
PURE ACQUISITION CORP. Agenda Number: 935129836
--------------------------------------------------------------------------------------------------------------------------
Security: 74621Q106
Meeting Type: Special
Meeting Date: 20-Feb-2020
Ticker: PACQ
ISIN: US74621Q1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) The Extension Amendment Proposal - To amend Mgmt For For
the Company's second amended and restated
certificate of incorporation to extend the
date by which the Company has to consummate
a business combination from February 21.
2020 to May 21, 2020.
2) The Adjournment Proposal - to approve the Mgmt For For
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of proposal
1.
--------------------------------------------------------------------------------------------------------------------------
PURE ACQUISITION CORP. Agenda Number: 935214483
--------------------------------------------------------------------------------------------------------------------------
Security: 74621Q106
Meeting Type: Special
Meeting Date: 15-May-2020
Ticker: PACQ
ISIN: US74621Q1067
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) The Extension Amendment Proposal - To amend Mgmt For For
the Company's second amended and restated
certificate of incorporation to extend the
date by which the Company has to consummate
a business combination from May 21, 2020 to
August 21, 2020, or such earlier date as
determined by the Board.
2) The Adjournment Proposal - To approve the Mgmt For For
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of proposal
1.
--------------------------------------------------------------------------------------------------------------------------
PUTNAM MUNICIPAL OPPORTUNITIES TRUST Agenda Number: 935168890
--------------------------------------------------------------------------------------------------------------------------
Security: 746922103
Meeting Type: Annual
Meeting Date: 24-Apr-2020
Ticker: PMO
ISIN: US7469221037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1A. Fixing the number of Trustees at 11. Mgmt Split 94% For 3% Against 3% AbstainSplit
1B. DIRECTOR
Liaquat Ahamed Mgmt Split 95% For 5% Withheld Split
Ravi Akhoury Mgmt Split 93% For 7% Withheld Split
Barbara M. Baumann Mgmt Split 93% For 7% Withheld Split
Catharine Bond Hill Mgmt Split 95% For 5% Withheld Split
Paul L. Joskow Mgmt Split 89% For 11% Withheld Split
Kenneth R. Leibler Mgmt Split 92% For 8% Withheld Split
Robert L. Reynolds Mgmt Split 95% For 5% Withheld Split
Manoj P. Singh Mgmt Split 93% For 7% Withheld Split
Mona K. Sutphen Mgmt Split 95% For 5% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
ROYCE VALUE TRUST, INC. Agenda Number: 935069612
--------------------------------------------------------------------------------------------------------------------------
Security: 780910105
Meeting Type: Annual
Meeting Date: 24-Sep-2019
Ticker: RVT
ISIN: US7809101055
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Patricia W. Chadwick Mgmt Split 90% For 10% Withheld Split
Arthur S. Mehlman Mgmt Split 90% For 10% Withheld Split
Michael K. Shields Mgmt Split 90% For 10% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
SOURCE CAPITAL, INC. Agenda Number: 935152847
--------------------------------------------------------------------------------------------------------------------------
Security: 836144105
Meeting Type: Annual
Meeting Date: 22-May-2020
Ticker: SOR
ISIN: US8361441053
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Atwood Mgmt Split 85% For 15% Withheld Split
Brown Mgmt Split 85% For 15% Withheld Split
Lipson Mgmt Split 85% For 15% Withheld Split
Osborne Mgmt Split 85% For 15% Withheld Split
Pisano Mgmt Split 85% For 15% Withheld Split
Purcell Mgmt Split 85% For 15% Withheld Split
2A. To approve the amendment or elimination of Mgmt Split 80% For 16% Against 4% AbstainSplit
the fundamental investment restrictions:
Commodities and Real Estate
2B. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit
the fundamental investment restrictions:
Senior Securities and Borrowing
2C. To approve the amendment or elimination of Mgmt Split 79% For 18% Against 3% AbstainSplit
the fundamental investment restrictions:
Concentration of Investments
2D. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit
the fundamental investment restrictions:
Making Loans
2E. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit
the fundamental investment restrictions:
Underwriting
2F. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit
the fundamental investment restrictions:
Concentration Limits
2G. To approve the amendment or elimination of Mgmt Split 78% For 18% Against 4% AbstainSplit
the fundamental investment restrictions:
Short Sales and Purchases of Securities on
Margin
2H. To approve the amendment or elimination of Mgmt Split 78% For 18% Against 4% AbstainSplit
the fundamental investment restrictions:
Investments in which a Director or Officer
is Invested
2I. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit
the fundamental investment restrictions:
Writing and Selling Options
2J. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit
the fundamental investment restrictions:
Investments in Other Investment Companies
2K. To approve the amendment or elimination of Mgmt Split 80% For 17% Against 3% AbstainSplit
the fundamental investment restrictions:
Investments in Securities for Which Market
Quotations Are Not Readily Available
2L. To approve the amendment or elimination of Mgmt Split 80% For 17% Against 3% AbstainSplit
the fundamental investment restrictions:
Purchases of Certain Restricted Securities
--------------------------------------------------------------------------------------------------------------------------
SPROTT FUNDS Agenda Number: 935068456
--------------------------------------------------------------------------------------------------------------------------
Security: 85208J109
Meeting Type: Annual
Meeting Date: 04-Sep-2019
Ticker: FUND
ISIN: US85208J1097
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. Election of Director: Michael W. Clark Mgmt Split 98% For 2% Abstain Split
--------------------------------------------------------------------------------------------------------------------------
TEMPLETON EMERGING MKTS INCOME FUND Agenda Number: 935159081
--------------------------------------------------------------------------------------------------------------------------
Security: 880192109
Meeting Type: Annual
Meeting Date: 28-May-2020
Ticker: TEI
ISIN: US8801921094
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Harris J. Ashton Mgmt Split 71% For 29% Withheld Split
Edith E. Holiday Mgmt Split 71% For 29% Withheld Split
J. Michael Luttig Mgmt Split 71% For 29% Withheld Split
C.D. Tseretopoulos Mgmt Split 71% For 29% Withheld Split
2. The ratification of the selection of Mgmt Split 94% For 3% Against 3% AbstainSplit
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Fund for the fiscal year
ending December 31, 2020.
--------------------------------------------------------------------------------------------------------------------------
TEMPLETON GLOBAL INCOME FUND Agenda Number: 935159093
--------------------------------------------------------------------------------------------------------------------------
Security: 880198106
Meeting Type: Annual
Meeting Date: 28-May-2020
Ticker: GIM
ISIN: US8801981064
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Edith E. Holiday Mgmt Split 95% For 5% Withheld Split
J. Michael Luttig Mgmt Split 96% For 4% Withheld Split
C.D. Tseretopoulos Mgmt Split 96% For 4% Withheld Split
2. The ratification of the selection of Mgmt Split 92% For 7% Against 1% AbstainSplit
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Fund for the fiscal year
ending December 31, 2020.
--------------------------------------------------------------------------------------------------------------------------
THE GDL FUND Agenda Number: 935189161
--------------------------------------------------------------------------------------------------------------------------
Security: 361570401
Meeting Type: Annual
Meeting Date: 11-May-2020
Ticker: GDLPRC
ISIN: US3615704018
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Clarence A. Davis Mgmt Split 98% For 2% Withheld Split
James P. Conn Mgmt Split 98% For 2% Withheld Split
2. RESOLVED: Request that the Board of Shr Split 67% For 32% Against 1% AbstainSplit
Directors consider authorizing a
self-tender offer for all outstanding
shares of the Fund at or close to net asset
value. If more than 50% of the Fund's
outstanding shares are submitted for
tender, the tender offer should be
cancelled and the Fund should be liquidated
or converted into an open-end mutual fund.
--------------------------------------------------------------------------------------------------------------------------
THL CREDIT SENIOR LOAN FUND Agenda Number: 935147644
--------------------------------------------------------------------------------------------------------------------------
Security: 87244R103
Meeting Type: Annual
Meeting Date: 08-May-2020
Ticker: TSLF
ISIN: US87244R1032
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. To approve a new advisory agreement between Mgmt No vote
the Fund and First Eagle Alternative
Credit, LLC (formerly known as THL Credit
Advisors LLC).
2. DIRECTOR
Laurie Hesslein Mgmt No vote
--------------------------------------------------------------------------------------------------------------------------
THUNDER BRIDGE ACQUISITION, LTD. Agenda Number: 935056742
--------------------------------------------------------------------------------------------------------------------------
Security: G8857R100
Meeting Type: Special
Meeting Date: 10-Jul-2019
Ticker: TBRG
ISIN: KYG8857R1002
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Domestication Proposal - To approve the Mgmt For For
following resolution to change the
corporate structure and domicile of Thunder
Bridge by way of continuation from an
exempted company incorporated under the
laws of the Cayman Islands to a corporation
incorporated under the laws of the State of
Delaware. "It is resolved as special
resolutions that Thunder Bridge
Acquisition, Ltd. be de-registered in the
Cayman Islands pursuant to Article 47 of
the Amended and Restated Articles of
Association of ...(due to space limits, see
proxy material for full proposal).
2. The Business Combination Proposal - To Mgmt For For
approve the following resolution to approve
and adopt the Second Amended and Restated
Agreement and Plan of Merger dated
effective as of January 21, 2019 (as
amended or supplemented from time to time,
the "Merger Agreement") by and among
Thunder Bridge, TB Acquisition Merger Sub
LLC ("Merger Sub"), Hawk Parent Holdings
LLC ("Repay") and, solely in its capacity
as the securityholder representative
thereunder, CC Payment Holdings, L.L.C.,
and the transactions ...(due to space
limits, see proxy material for full
proposal).
3. The 2019 Equity Incentive Plan Proposal - Mgmt For For
To approve the following resolution to
approve and adopt the Repay Holdings
Corporation Omnibus Incentive Plan (the
"2019 Equity Incentive Plan"). "It is
resolved as an ordinary resolution that the
2019 Equity Incentive Plan be approved and
adopted in all respects."
4. DIRECTOR
Richard E. Thornburgh Mgmt For For
Paul R. Garcia Mgmt For For
Shaler Alias Mgmt For For
Jeremy Schein Mgmt For For
Robert H. Hartheimer Mgmt For For
Maryann Goebel Mgmt For For
William Jacobs Mgmt For For
John Morris Mgmt For For
Peter J. Kight Mgmt For For
5. The Articles Amendment Proposal - To Mgmt For For
approve the following resolution to approve
and adopt the amendments to the Articles in
the Memorandum and Articles of Association
so that the prohibition on Thunder Bridge
having net tangible assets of less than
US$5,000,001 upon the completion of a
business combination is revised to apply
immediately prior to the completion of a
business combination and measures only the
net tangible assets of Thunder Bridge,
without regard to the assets or liabilities
...(due to space limits, see proxy material
for full proposal).
6. The Nasdaq Proposal - To approve the Mgmt For For
following resolution, which shall approve,
for purposes of complying with Nasdaq
Listing Rule 5635(d), the issuance of 13.5
million Class A ordinary shares in the PIPE
Financing (as defined in the accompanying
proxy statement/prospectus), in connection
with the completion of the Business
Combination. "It is resolved as an ordinary
resolution that the issuance of 13.5
million Class A ordinary shares in the PIPE
Financing be approved and adopted in all
respects."
7. The Shareholder Adjournment Proposal - To Mgmt For For
approve the following resolution to adjourn
the Shareholders Meeting to a later date or
dates, if necessary to permit further
solicitation and vote of proxies if it is
determined by Thunder Bridge that more time
is necessary or appropriate to approve one
or more proposals at the Shareholders
Meeting. "It is resolved as an ordinary
resolution that the adjournment of the
Shareholders Meeting to a later date or
dates, if necessary to permit further
...(due to space limits, see proxy material
for full proposal).
7a. 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 Thunder
Bridge owned by me. I further certify that
I am not exercising Redemption Rights with
respect to 15% or more of Thunder Bridge's
Public Shares.
--------------------------------------------------------------------------------------------------------------------------
THUNDER BRIDGE ACQUISITION, LTD. Agenda Number: 935056754
--------------------------------------------------------------------------------------------------------------------------
Security: G8857R126
Meeting Type: Special
Meeting Date: 10-Jul-2019
Ticker: TBRGW
ISIN: KYG8857R1267
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Warrant Amendment Proposal - To approve Mgmt For For
and adopt an amendment to the warrant
agreement that governs all of Thunder
Bridge's outstanding warrants to provide
that, immediately prior to the consummation
of the Business Combination (as defined in
the proxy statement/prospectus), (i) each
of Thunder Bridge's outstanding warrants,
which currently entitle the holder thereof
to purchase one Class A ordinary share of
Thunder Bridge at an exercise price of
$11.50 per share, will become exercisable
for ...(due to space limits, see proxy
material for full proposal).
2. The Warrant Holders Adjournment Proposal - Mgmt For For
To approve a proposal to adjourn the
Special Meeting to a later date or dates,
if necessary to permit further solicitation
and vote of proxies if it is determined by
Thunder Bridge that more time is necessary
or appropriate to approve the Warrant
Amendment Proposal.
--------------------------------------------------------------------------------------------------------------------------
TIBERIUS ACQUISITION CORPORATION Agenda Number: 935114962
--------------------------------------------------------------------------------------------------------------------------
Security: 88633A107
Meeting Type: Annual
Meeting Date: 23-Dec-2019
Ticker: TIBR
ISIN: US88633A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
C. Allen Bradley Mgmt For For
Senator E. B. Nelson Mgmt For For
John W. Hayden Mgmt For For
Michael Millhouse Mgmt For For
2. Ratification of the selection by the Audit Mgmt For For
committee of Marcum LLP to serve as the
Company's independent registered public
accounting firm for the year ending
December 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
TIBERIUS ACQUISITION CORPORATION Agenda Number: 935132770
--------------------------------------------------------------------------------------------------------------------------
Security: 88633A107
Meeting Type: Special
Meeting Date: 13-Mar-2020
Ticker: TIBR
ISIN: US88633A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) The Business Combination Proposal - To Mgmt For For
consider and vote upon a proposal to
approve and adopt the Business Combination
Agreement, dated as of October 10, 2019, by
and among Tiberius Acquisition Corporation,
International General Insurance Holdings
Ltd., the other parties thereto and,
International General Insurance Holdings
Ltd., a Bermuda exempted company, and
Tiberius Merger Sub, Inc. & to approve
transactions contemplated thereby and the
performance by Tiberius Acquisition
Corporation of its obligations thereunder
("Business Combination").
2) The Incentive Compensation Proposal: To Mgmt For For
consider and vote upon a proposal to
approve the adoption of the 2020 Omnibus
Incentive Plan of International General
Insurance Holdings Ltd.
3) The Share Issuance Proposal: To consider Mgmt For For
and vote upon a proposal to approve, for
purposes of complying with applicable
NASDAQ Stock Market LLC listing rules, the
issuance of 20% or more of the issued and
outstanding shares of common stock of
Tiberius Acquisition Corporation in
financing transactions in connection with
the Business Combination.
4) The Adjournment Proposal: To consider and Mgmt For For
vote upon a proposal to adjourn the special
meeting of Tiberius stockholders to a later
date or dates, if necessary, to permit
further solicitation and vote of proxies
if, based upon the tabulated vote at the
time of the special meeting, there are not
sufficient votes to approve the Business
Combination.
A) Intention to Exercise Redemption Rights: If Mgmt For
you intend to exercise your redemption
rights, please check 'For' box. Checking
'For' box, however, is not sufficient to
exercise your redemption rights. You must
comply with the procedures set forth in the
proxy statement/prospectus under the
heading "Special Meeting of Tiberius
Stockholders - Redemption Rights".
--------------------------------------------------------------------------------------------------------------------------
TIBERIUS ACQUISITION CORPORATION Agenda Number: 935140450
--------------------------------------------------------------------------------------------------------------------------
Security: 88633A107
Meeting Type: Special
Meeting Date: 19-Mar-2020
Ticker: TIBR
ISIN: US88633A1079
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) The Extension Amendment Proposal - To amend Mgmt For For
the amended and restated certificate of
incorporation of Tiberius Acquisition
Corporation ("Tiberius") to extend the date
by which Tiberius has to consummate a
business combination from March 20, 2020 to
April 20, 2020.
2) The Adjournment Proposal - To adjourn the Mgmt For For
special meeting of Tiberius stockholders to
a later date or dates, if necessary, to
permit further solicitation and vote of
proxies if, based upon the tabulated vote
at the time of the special meeting, there
are not sufficient votes to approve the
Extension Amendment Proposal.
--------------------------------------------------------------------------------------------------------------------------
TRIDENT ACQUISITIONS CORP Agenda Number: 935102119
--------------------------------------------------------------------------------------------------------------------------
Security: 89615T106
Meeting Type: Annual
Meeting Date: 26-Nov-2019
Ticker: TDAC
ISIN: US89615T1060
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Vadim Komissarov Mgmt For For
Thomas Gallagher Mgmt For For
2. 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 180 DAYS, TO MAY 29, 2020.
3. APPROVAL OF AN AMENDMENT TO THE COMPANY'S Mgmt For For
EXISTING INVESTMENT MANAGEMENT TRUST
AGREEMENT TO MAKE CHANGES NECESSARY TO
REFLECT THE EXTENSION.
4. RATIFICATION OF THE APPOINTMENT OF MARCUM Mgmt For For
LLP AS THE COMPANY'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR
ENDING DECEMBER 31, 2019.
--------------------------------------------------------------------------------------------------------------------------
TRINITY MERGER CORP Agenda Number: 935094259
--------------------------------------------------------------------------------------------------------------------------
Security: 89653L106
Meeting Type: Special
Meeting Date: 12-Nov-2019
Ticker: TMCX
ISIN: US89653L1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Trinity Business Combination Proposal: Mgmt For For
To approve and adopt the Agreement and Plan
of Merger, by and among Trinity, Trinity
Sub Inc., Trinity Merger Sub I, Inc.,
Trinity Merger Sub II, LLC, PBRELF I, LLC,
BRELF II, LLC, BRELF III, LLC, BRELF IV,
LLC, Pyatt Broadmark MGMT, LLC, Broadmark
Real Estate MGMT II, LLC, Broadmark Real
Estate MGMT III, LLC, and Broadmark Real
Estate MGMT IV, LLC, and transactions
contemplated by Merger Agreement, including
the issuance of shares of common stock of
Broadmark Realty pursuant to Merger
Agreement.
1A. Intention to Exercise Redemption Rights: Mgmt For
Please indicate if you intend to exercise
your redemption rights. Selecting Yes,
however, is not sufficient to exercise your
redemption rights. You must comply with the
procedures set forth in the joint proxy
statement/prospectus under the Q&A section
entitled "How do I exercise my redemption
rights?"
1B. Stockholder 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 stockholder with
respect to the shares of Class A common
stock of Trinity.
2. The Stock Incentive Plan Proposal: To Mgmt For For
approve and adopt the Broadmark Realty 2019
Stock Incentive Plan. The Stock Incentive
Plan Proposal is conditioned on stockholder
approval of the Trinity Business
Combination Proposal and public warrant
holder approval of the Warrant Amendment
Proposal (as defined in the joint proxy
statement/prospectus).
3. The Trinity Adjournment Proposal: To Mgmt For For
approve the adjournment of the Trinity
Special Meeting to a later date or dates,
if necessary, to solicit additional proxies
from stockholders in favor of the Trinity
Business Combination Proposal.
--------------------------------------------------------------------------------------------------------------------------
TRINITY MERGER CORP Agenda Number: 935094261
--------------------------------------------------------------------------------------------------------------------------
Security: 89653L114
Meeting Type: Special
Meeting Date: 12-Nov-2019
Ticker: TMCXW
ISIN: US89653L1145
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Warrant Amendment Proposal: To approve Mgmt For For
and adopt an amendment (the "Warrant
Amendment") to the warrant agreement that
governs all of Trinity's outstanding
warrants to provide that, immediately prior
to the consummation of the Business
Combination (as defined in the joint proxy
statement/prospectus).
2. The Warrant Holders Adjournment Proposal: Mgmt For For
To approve the adjournment of the Trinity
Warrant Holders Meeting to a later date or
dates, if necessary, to permit further
solicitation and vote of proxies if it is
determined by Trinity that more time is
necessary or appropriate to approve the
Warrant Amendment Proposal.
--------------------------------------------------------------------------------------------------------------------------
TRINITY MERGER CORP Agenda Number: 935099021
--------------------------------------------------------------------------------------------------------------------------
Security: 89653L106
Meeting Type: Special
Meeting Date: 15-Nov-2019
Ticker: TMCX
ISIN: US89653L1061
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Extension Amendment Proposal - To Mgmt For For
consider and vote on a proposal to amend
Trinity's amended and restated certificate
of incorporation to extend the date by
which Trinity has to consummate a business
combination from November 17, 2019 to
December 17, 2019.
1A. Intention to Exercise Redemption Rights. Mgmt For
Please indicate if you intend to exercise
your redemption rights. Selecting YES,
however, is not sufficient to exercise your
redemption rights. You must comply with the
procedures set forth in the definitive
proxy statement under the section entitled
"Special Meeting of Trinity
Stockholders-Redemption Rights."
1B. Stockholder Certification. I hereby certify Mgmt For
that I am not acting in concert, or as a
"group" as defined in Section 14(d)(3) of
the Securities Exchange Act of 1934, as
amended, with any other stockholder with
respect to the share of Class A common
stock of Trinity.
2. The Adjournment Proposal - To consider and Mgmt For For
vote on a proposal to approve the
adjournment of the Special Meeting to a
later date or dates, if necessary, to
permit further solicitation and vote of
proxies in the event that there are
insufficient votes for, or otherwise in
connection with, the approval of one or
more proposals to be submitted for
stockholder approval at the Special
Meeting.
--------------------------------------------------------------------------------------------------------------------------
TWELVE SEAS INVESTMENT COMPANY Agenda Number: 935110724
--------------------------------------------------------------------------------------------------------------------------
Security: G9145A107
Meeting Type: Special
Meeting Date: 19-Dec-2019
Ticker: BROG
ISIN: KYG9145A1076
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1) The Business Combination Proposal - To Mgmt For For
consider and vote upon a proposal to
approve and adopt the Business Combination
Agreement, dated as of April 15, 2019 (as
may be amended), by and among Twelve Seas
Investment Company, Brooge Holdings
Limited, Brooge Merger Sub, Brooge Petrolum
And Gas Investment Company FZE and the
other parties thereto, and the transactions
contemplated thereby (the "Business
Combination").
2) The Merger Proposal - To consider and vote Mgmt For For
upon a proposal to approve the merger of
Twelve Seas Investment Company with Brooge
Merger Sub Limited.
3) The Share Issuance Proposal - To consider Mgmt For For
and vote upon a proposal, if necessary, to
approve, for purposes of complying with
applicable NASDAQ Stock Market LLC listing
rules, the issuance of more than 20% of the
issued and outstanding ordinary shares of
Twelve Seas Investment Company in financing
transactions in connection with the
Business Combination.
4) The Adjournment Proposal - To consider and Mgmt For For
vote upon a proposal to adjourn the
Extraordinary General Meeting to a later
date or dates, if necessary, to permit
further solicitation and vote of proxies
if, based upon the tabulated vote at the
time of the meeting, there are not
sufficient votes to approve the Business
Combination Proposal, the Merger Proposal
and the Share Issuance Proposal, as
applicable.
--------------------------------------------------------------------------------------------------------------------------
VAN KAMPEN FUNDS Agenda Number: 935062151
--------------------------------------------------------------------------------------------------------------------------
Security: 46132C107
Meeting Type: Annual
Meeting Date: 23-Aug-2019
Ticker: VMO
ISIN: US46132C1071
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1a DIRECTOR
Cynthia Hostetler Mgmt Split 91% For 9% Withheld Split
Eli Jones Mgmt Split 94% For 6% Withheld Split
Ann Barnett Stern Mgmt Split 93% For 7% Withheld Split
Raymond Stickel, Jr. Mgmt Split 91% For 9% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
VECTOIQ ACQUISITION CORP. Agenda Number: 935198463
--------------------------------------------------------------------------------------------------------------------------
Security: 92243N103
Meeting Type: Special
Meeting Date: 12-May-2020
Ticker: VTIQ
ISIN: US92243N1037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Charter Amendment: To amend VectoIQ'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") from May 18,
2020 to July 31, 2020, and permit holders
of public shares to redeem their shares for
their pro rata portion of the trust
account.
2. Adjournment of the Meeting: To adjourn the Mgmt For For
special meeting to a later date or dates,
if necessary, to permit further
solicitation and vote of proxies if, based
upon the tabulated vote at the time of the
special meeting, there are not sufficient
votes to approve any of the foregoing
proposal.
--------------------------------------------------------------------------------------------------------------------------
VECTOIQ ACQUISITION CORP. Agenda Number: 935220905
--------------------------------------------------------------------------------------------------------------------------
Security: 92243N103
Meeting Type: Special
Meeting Date: 02-Jun-2020
Ticker: VTIQ
ISIN: US92243N1037
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. The Business Combination Proposal - To Mgmt For For
approve and adopt the Business Combination
Agreement, dated as of March 2, 2020 (as
may be amended from time to time, the
"Business Combination Agreement"), by and
among VectoIQ, Nikola Corporation
("Nikola") and VCTIQ Merger Sub Corp.
("Merger Sub"), and the transactions
contemplated thereby (the "Business
Combination").
2A. The Amendments to VectoIQ's Certificate of Mgmt For For
Incorporation Proposal - To approve the
amendment of VectoIQ's Amended and Restated
Certificate of Incorporation (the
"Charter") to be effective upon the
consummation of the Business Combination:
To change VectoIQ's name to "Nikola
Corporation".
2B. The Amendments to VectoIQ's Certificate of Mgmt For For
Incorporation Proposal - To approve the
amendment of VectoIQ's Amended and Restated
Certificate of Incorporation (the
"Charter") to be effective upon the
consummation of the Business Combination:
To increase the number of authorized shares
of VectoIQ Common Stock to 600,000,000 and
the number of authorized shares of
VectoIQ's preferred stock to 150,000,000
shares.
2C. The Amendments to VectoIQ's Certificate of Mgmt For For
Incorporation Proposal - To approve the
amendment of VectoIQ's Amended and Restated
Certificate of Incorporation (the
"Charter") to be effective upon the
consummation of the Business Combination:
To approve the choice of forum provisions.
2D. The Amendments to VectoIQ's Certificate of Mgmt For For
Incorporation Proposal - To approve the
amendment of VectoIQ's Amended and Restated
Certificate of Incorporation (the
"Charter") to be effective upon the
consummation of the Business Combination:
To include supermajority voting provisions.
2E. The Amendments to VectoIQ's Certificate of Mgmt For For
Incorporation Proposal - To approve the
amendment of VectoIQ's Amended and Restated
Certificate of Incorporation (the
"Charter") to be effective upon the
consummation of the Business Combination:
To remove the provision renouncing the
corporate opportunity doctrine.
2F. The Amendments to VectoIQ's Certificate of Mgmt For For
Incorporation Proposal - To approve the
amendment of VectoIQ's Amended and Restated
Certificate of Incorporation (the
"Charter") to be effective upon the
consummation of the Business Combination:
To revise the classification of the board
of directors from two classes with each of
the successors to be elected for a two-year
term to three classes with each of the
successors to be elected for a three-year
term.
2G. The Amendments to VectoIQ's Certificate of Mgmt For For
Incorporation Proposal - To approve the
amendment of VectoIQ's Amended and Restated
Certificate of Incorporation (the
"Charter") to be effective upon the
consummation of the Business Combination:
To approve all other changes to the
Charter, including without limitation the
elimination of certain provisions related
to VectoIQ's initial business combination
that will no longer be relevant following
the closing of the Business Combination.
3. DIRECTOR
Trevor R. Milton Mgmt For For
Mark A. Russell Mgmt For For
Stephen J. Girsky Mgmt For For
Sooyean Jin Mgmt For For
Michael L. Mansuetti Mgmt For For
Gerrit A. Marx Mgmt For For
Lonnie R. Stalsberg Mgmt For For
DeWitt C. Thompson V Mgmt For For
Jeffrey W. Ubben Mgmt For For
4. The Stock Incentive Plan Proposal - To Mgmt For For
approve and adopt the Nikola Corporation
2020 Stock Incentive Plan to be effective
after the closing of the Business
Combination.
5. The Nasdaq Proposal - To approve, in Mgmt For For
connection with the Business Combination,
for purposes of complying with applicable
listing rules of The Nasdaq Capital Market:
the issuance, pursuant to the Business
Combination Agreement, of 276,998,624
shares of VectoIQ Common Stock to the
Nikola stockholders; and the issuance, in a
private placement to be consummated
concurrently with the closing of the
Business Combination, of 52.5 million
shares of VectoIQ Common Stock to a number
of investors.
6. The Employee Stock Purchase Plan Proposal - Mgmt For For
To approve and adopt the Nikola Corporation
Employee Stock Purchase Plan to be
effective after the closing of the Business
Combination.
7. The Adjournment Proposal - To approve the Mgmt For For
adjournment of the special meeting to a
later date or dates, if necessary or
appropriate, to permit further solicitation
and vote of proxies in the event that there
are insufficient votes for, or otherwise in
connection with, the approval of the
Business Combination Proposal, the
Amendments to VectoIQ's Certificate of
Incorporation Proposal, the Election of
Directors Proposal, the Stock Incentive
Plan Proposal, the Nasdaq Proposal and the
Employee Stock Purchase Plan Proposal.
--------------------------------------------------------------------------------------------------------------------------
VOYA EMERGING MKTS HIGH DIVIDEND EY FD Agenda Number: 935033403
--------------------------------------------------------------------------------------------------------------------------
Security: 92912P108
Meeting Type: Annual
Meeting Date: 09-Jul-2019
Ticker: IHD
ISIN: US92912P1084
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
John V. Boyer Mgmt Split 99% For 1% Withheld Split
Patricia W. Chadwick Mgmt Split 99% For 1% Withheld Split
Sheryl K. Pressler Mgmt Split 99% For 1% Withheld Split
Christopher P. Sullivan Mgmt Split 99% For 1% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
VOYA PRIME RATE TRUST Agenda Number: 935033415
--------------------------------------------------------------------------------------------------------------------------
Security: 92913A100
Meeting Type: Annual
Meeting Date: 09-Jul-2019
Ticker: PPR
ISIN: US92913A1007
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Colleen D. Baldwin Mgmt Split 72% For 28% Withheld Split
John V. Boyer Mgmt Split 72% For 28% Withheld Split
Patricia W. Chadwick Mgmt Split 72% For 28% Withheld Split
Martin J. Gavin Mgmt Split 72% For 28% Withheld Split
Russell H. Jones Mgmt Split 72% For 28% Withheld Split
Joseph E. Obermeyer Mgmt Split 72% For 28% Withheld Split
Sheryl K. Pressler Mgmt Split 72% For 28% Withheld Split
Dina Santoro Mgmt Split 74% For 26% Withheld Split
Christopher P. Sullivan Mgmt Split 72% For 28% Withheld Split
Roger B. Vincent Mgmt Split 72% For 28% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WELLS FARGO ADVANTAGE INCOME OPP FUND Agenda Number: 935058607
--------------------------------------------------------------------------------------------------------------------------
Security: 94987B105
Meeting Type: Annual
Meeting Date: 12-Aug-2019
Ticker: EAD
ISIN: US94987B1052
--------------------------------------------------------------------------------------------------------------------------
Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Timothy J. Penny Mgmt Split 83% For 17% Withheld Split
James G. Polisson Mgmt Split 83% For 17% Withheld Split
Pamela Wheelock Mgmt Split 46% For 54% Withheld Split
--------------------------------------------------------------------------------------------------------------------------
WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 935142694
--------------------------------------------------------------------------------------------------------------------------
Security: 95766A101
Meeting Type: Annual
Meeting Date: 17-Apr-2020
Ticker: EMD
ISIN: US95766A1016
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1.1 Election of Class III Director to serve Mgmt Split 98% For 1% Against 1% AbstainSplit
until the 2023 Annual Meeting of
Stockholders: Robert D. Agdern
1.2 Election of Class III Director to serve Mgmt Split 98% For 1% Against 1% AbstainSplit
until the 2023 Annual Meeting of
Stockholders: Eileen A. Kamerick
2. To ratify the selection of Mgmt Split 98% For 1% Against 1% AbstainSplit
PricewaterhouseCoopers LLP as the Fund's
independent registered public accountants
for the fiscal year ending December 31,
2020.
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WESTERN ASSET HIGH INCOME FUND II INC Agenda Number: 935078964
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Security: 95766J102
Meeting Type: Annual
Meeting Date: 25-Oct-2019
Ticker: HIX
ISIN: US95766J1025
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Carol L. Colman Mgmt No vote
William R. Hutchinson Mgmt No vote
Jane E. Trust Mgmt No vote
2. A non-binding proposal put forth by Saba Shr No vote
Capital Management, L.P., if properly
presented before the Meeting, requesting
that the Board of Directors take all
necessary steps in its power to declassify
the Board of Directors.
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WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 935172849
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Security: 95766R104
Meeting Type: Annual
Meeting Date: 24-Apr-2020
Ticker: WIW
ISIN: US95766R1041
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Prop.# Proposal Proposal Proposal Vote For/Against
Type Management
1. DIRECTOR
Robert Abeles, Jr. Mgmt Split 80% For 20% Withheld Split
Jane F. Dasher Mgmt Split 80% For 20% Withheld Split
Anita L. DeFrantz Mgmt Split 80% For 20% Withheld Split
Susan B. Kerley Mgmt Split 80% For 20% Withheld Split
Michael Larson Mgmt Split 79% For 21% Withheld Split
Avedick B. Poladian Mgmt Split 80% For 20% Withheld Split
William E. B. Siart Mgmt Split 80% For 20% Withheld Split
Jaynie Miller Studemund Mgmt Split 80% For 20% Withheld Split
Peter J. Taylor Mgmt Split 80% For 20% Withheld Split
Ronald Olson Mgmt Split 80% For 20% Withheld Split
Jane E. Trust Mgmt Split 80% For 20% Withheld Split
* 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 08/18/2020