N-PX 1 BRD_QY80001356115_2021.txt BRD_QY80001356115_2021.TXT 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: 811-21869 NAME OF REGISTRANT: NexPoint Strategic Opportunities Fund ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 2515 McKinney Avenue Suite 1100 Dallas, TX 75201 NAME AND ADDRESS OF AGENT FOR SERVICE: NexPoint Advisors, L.P. 2515 McKinney Avenue Suite 1100 Dallas, TX 75201 REGISTRANT'S TELEPHONE NUMBER: 833-697-6246 DATE OF FISCAL YEAR END: 12/31 DATE OF REPORTING PERIOD: 07/01/2020 - 06/30/2021 NexPoint Strategic Opportunities Fund -------------------------------------------------------------------------------------------------------------------------- AERIE PHARMACEUTICALS, INC. Agenda Number: 935421165 -------------------------------------------------------------------------------------------------------------------------- Security: 00771V108 Meeting Type: Annual Meeting Date: 17-Jun-2021 Ticker: AERI ISIN: US00771V1089 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR M. du Toit Mgmt For For D. Gryska Mgmt For For 2. Ratification of the appointment of Mgmt For For PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2021. 3. To approve, by a non-binding vote, the Mgmt For For compensation of our named executive officers ("say-on-pay"). -------------------------------------------------------------------------------------------------------------------------- CENTRAL PUERTO S.A. Agenda Number: 935249183 -------------------------------------------------------------------------------------------------------------------------- Security: 155038201 Meeting Type: Special Meeting Date: 31-Jul-2020 Ticker: CEPU ISIN: US1550382014 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Appointment of two shareholders to sign the Mgmt For minutes. 2. Consideration of the extension of the Mgmt For validity term of the Global Issuance Program of Simple Corporate Bonds (not convertible into Shares) for up to US$1,000,000,000 (or a higher or lower amount as approved at the Shareholders' Meeting) or its equivalent in other currency or the creation of a new Global Issuance Program of Simple Corporate Bonds (not convertible into Shares) for up to US$1,000,000,000 (or a higher or lower amount as approved at the Shareholders' ...(due to space limits, see proxy material for full proposal). 3. Authorization to perform the relevant Mgmt For procedures to comply with the Shareholders' Meeting decision. -------------------------------------------------------------------------------------------------------------------------- CENTRAL PUERTO S.A. Agenda Number: 935384381 -------------------------------------------------------------------------------------------------------------------------- Security: 155038201 Meeting Type: Annual Meeting Date: 30-Apr-2021 Ticker: CEPU ISIN: US1550382014 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Consideration of holding the remote Mgmt For Shareholder's Meeting, as per the terms of RG CNV No. 830/2020. 2. Appointment of two shareholders to sign the Mgmt For minutes. 3. Consideration of the Annual Report and its Mgmt For exhibit, the Consolidated Statement of Income, the Consolidated Statement of Comprehensive Income, the Consolidated Statement of Financial Position, the Consolidated Statement of Changes in Equity, the Consolidated Statement of Cash Flow, the Notes to the Consolidated Financial Statements and Exhibits, the Separate Statement of Income, the Separate Statement of Comprehensive Income, the Separate Statement of Financial Position, the ...(due to space limits, see proxy material for full proposal). 4. Consideration of the income (loss) for the Mgmt For period and the Board of Director's proposal that consists on assigning: a) the amount of ARS 344,596 to the statutory reserve; and b) the amount of ARS 6,547,325 from remaining balance of the income for the period to the increase of the Optional Reserve under Article 70 of the Business Entity Act (Law no. 19550), which can be destined to the following: (i) the investment projects that are already committed and/or (ii) future investments to be made by ...(due to space limits, see proxy material for full proposal). 5. Consideration of the Board of Directors Mgmt For performance during the period ended December 31, 2020. 6. Consideration of the Statutory Audit Mgmt For Committee performance during the period ended December 31, 2020. 7. Consideration of the remuneration of the Mgmt For Company's Board of Directors for the period ended December 31, 2020 within the limit of profits in accordance with article 261 of Law no. 19550 and CNV Regulations. Consideration of the advanced payment of fees to the Board of Directors for the period closing next December 31, 2021. 8. Consideration of the remuneration of the Mgmt For members of the Statutory Audit Committee for the period ended December 31, 2020; and the fee scheme for the period closing next December 31, 2021. 9. Fixing of the number of Deputy Directors Mgmt Abstain and appointment of Directors and Deputy Directors. Continuity of the current Chairman until the appointment by the Board of Directors of the Company. 10. Appointment of the Statutory Audit Mgmt Abstain Committee members and deputy members for the period closing next December 31, 2021. 11. Consideration of the remuneration of the Mgmt For external accountant of the Company regarding the annual accounting documents for the period 2020. 12. Appointment of the external accountant and Mgmt For of the deputy external accountant for the period closing next December 31, 2021 and the fixing of its remuneration. 13. Approval of the Annual Budget for the Mgmt Abstain functioning of the Audit Committee. 14. Consideration of the amendment of Section Mgmt Abstain 14 of the Bylaws referring to Shareholders' Meeting so as to include the possibility of them being held remotely. 15. Granting of authorizations. Mgmt For -------------------------------------------------------------------------------------------------------------------------- CRESUD, S.A.C.I.F. Y A. Agenda Number: 935283856 -------------------------------------------------------------------------------------------------------------------------- Security: 226406106 Meeting Type: Annual Meeting Date: 26-Oct-2020 Ticker: CRESY ISIN: US2264061068 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Appointment of two shareholders to sign the Mgmt For For meetings' minutes. 2. Consideration of documents contemplated in Mgmt For For paragraph 1, Section 234, Law No. 19,550 for the fiscal year ended June 30, 2020 3. Allocation of net gain for the fiscal year Mgmt Abstain Against ended June 30, 2020 for $1,900,624,275.32. Distribution of dividends in kind. 4. Consideration of Board of Directors' Mgmt For For performance for the Fiscal Year ended June 30, 2020. 5. Consideration of Supervisory Committee's Mgmt For For performance for the Fiscal Year ended June 30, 2020. 6. Consideration of compensation payable to Mgmt For For the Board of Directors ($93,792,715, allocated sum) for the Fiscal Year ended June 30, 2020. 7. Consideration of compensation payable to Mgmt For For the Supervisory Committee ($1,575,000, allocated sum) for the Fiscal Year ended June 30, 2020. 8. Determination of number and appointment of Mgmt Abstain Against regular directors and alternate directors for a term of three fiscal years. 9. Appointment of regular and alternate Mgmt Abstain Against members of the Supervisory Committee for a term of one fiscal year. 10. Appointment of certifying accountant for Mgmt For For the next fiscal year. 11. Consideration of the approval of Mgmt For For compensation for $15,300,333, payable to certifying accountant for the fiscal year ended June 30, 2020. 12. Consideration of annual budget for Mgmt Abstain Against implementation of the audit committee's annual plan. 13. Consideration of incentive plan for Mgmt For For employees, management, and directors, approved on the Shareholders Meeting held on October 30, 2019. Guidelines for the implementation of the plan that will be bonused to its beneficiaries, paying up the corresponding capital increase with reserves of the company according to Art. 68 of Law 26,831 of Capital Market. 14. Authorization to carry out registration Mgmt For For proceedings relating to this shareholders' meeting before the Argentine Securities Commission and the general superintendence of corporations. -------------------------------------------------------------------------------------------------------------------------- HERON THERAPEUTICS, INC. Agenda Number: 935414817 -------------------------------------------------------------------------------------------------------------------------- Security: 427746102 Meeting Type: Annual Meeting Date: 17-Jun-2021 Ticker: HRTX ISIN: US4277461020 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director to serve until the Mgmt For For 2022 Annual Meeting: Barry Quart, Pharm.D. 1B. Election of Director to serve until the Mgmt For For 2022 Annual Meeting: Stephen Davis 1C. Election of Director to serve until the Mgmt For For 2022 Annual Meeting: Craig Johnson 1D. Election of Director to serve until the Mgmt For For 2022 Annual Meeting: Kimberly Manhard 1E. Election of Director to serve until the Mgmt For For 2022 Annual Meeting: Christian Waage 2. To ratify the appointment of OUM & Co. LLP Mgmt For For as our independent registered public accounting firm for the year ending December 31, 2021. 3. To approve, on an advisory basis, Mgmt For For compensation paid to our Named Executive Officers during the year ended December 31, 2020. 4. To amend the Company's 2007 Amended and Mgmt Against Against Restated Equity Incentive Plan (the "2007 Plan") to increase the number of shares of common stock authorized for issuance thereunder from 25,800,000 to 27,800,000. 5. To amend the Company's 1997 Employee Stock Mgmt For For Purchase Plan, as amended (the "ESPP") to increase the number of shares of common stock authorized for issuance thereunder from 775,000 to 975,000. -------------------------------------------------------------------------------------------------------------------------- JERNIGAN CAPITAL, INC. Agenda Number: 935278780 -------------------------------------------------------------------------------------------------------------------------- Security: 476405105 Meeting Type: Special Meeting Date: 26-Oct-2020 Ticker: JCAP ISIN: US4764051052 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve the merger of NexPoint RE Mgmt For For Merger, Inc. with and into Jernigan Capital, Inc., and the other transactions contemplated by the Agreement and Plan of Merger, dated as of August 3, 2020 and as it may be amended from time to time, among Jernigan Capital, Inc., Jernigan Capital Operating Company, LLC, NexPoint RE Merger, Inc. and NexPoint RE Merger OP, LLC, as more particularly described in the Proxy Statement. 2. To approve, on a non-binding, advisory Mgmt For For basis, the compensation that may be paid or become payable to our named executive officers that is based on or otherwise relates to the merger, as more particularly described in the Proxy Statement. 3. To approve any adjournment of the special Mgmt For For meeting for the purpose of soliciting additional proxies if there are not sufficient votes at the special meeting to approve the merger and the other transactions contemplated by the merger agreement. -------------------------------------------------------------------------------------------------------------------------- LOMA NEGRA CIA INDUSTRIAL ARGENTINA SA Agenda Number: 935273033 -------------------------------------------------------------------------------------------------------------------------- Security: 54150E104 Meeting Type: Special Meeting Date: 30-Sep-2020 Ticker: LOMA ISIN: US54150E1047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Appointment of the persons in charge of Mgmt For executing the minutes. 2. Consideration of the use of all the funds Mgmt For in the Reserve for Future Dividends and part of the funds in the Optional Reserve, in both cases, for the payment of dividends up to ARS 2,400,000,000. Determination of the terms and conditions of the dividend payment, including, without limitation, the currency of payment. 3. Granting of the relevant authorizations for Mgmt For the carrying out of paperwork and to make the necessary filings. -------------------------------------------------------------------------------------------------------------------------- LOMA NEGRA CIA INDUSTRIAL ARGENTINA SA Agenda Number: 935374188 -------------------------------------------------------------------------------------------------------------------------- Security: 54150E104 Meeting Type: Annual Meeting Date: 20-Apr-2021 Ticker: LOMA ISIN: US54150E1047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Appointment of the persons in charge of Mgmt For For subscribing the minute. 2. Consideration of the documents to which Mgmt For For paragraph 1) of Section 234 of the Argentine Corporations Act refers to, that correspond to the regular financial year No 96 ended on December 31st, 2020. 3. Consideration of the modification of the Mgmt For For allocation of the Optional Reserve and change of name to "Optional Reserve for Future Dividends". 4. Consideration of the positive unallocated Mgmt For For earnings of the year ended on December 31st, 2020 of the amount of ARS 11,351,024,000. Consideration of the proposal of the Board of Directors to allocate said sum to the "Optional Reserve for Future Dividends". Delegation of the power to completely or partially use such reserve one or more times to the Board of Directors, depending on the evolution of the business and until the next shareholders' meeting at which the financial statements as of December 31st, 2021 are considered. 5. Consideration of the performance of the Mgmt For members of the Board of Directors for the year ended December 31st, 2020. 6. Consideration of the performance of the Mgmt For members of the Supervisory Committee for the year ended on December 31st, 2020. 7. Consideration of the remuneration of the Mgmt For Board of Directors that corresponds to the year that ended on December 31st, 2020 of ARS 99,020,464.96 (total amount of remunerations). 8. Consideration of the remuneration of the Mgmt For members of the Supervisory Committee for the year ended on December 31st, 2020. 9. Setting of the number of directors and Mgmt For appointment of the full and alternate members for year 2021. Approval of a policy aimed at maintaining a proportion of at least 20% independent members over the total number of members of the Board during the year in course. 10. Appointment of the full and alternate Mgmt For members of the Supervisory Committee for year 2021. 11. Appointment of External Auditors and of the Mgmt For For main partner and alternate partner of the respective accounting firm for the year of 2021. 12. Approval of the fees of the External Mgmt For For Auditors for the year ended on December 31st, 2020. 13. Consideration of the fees of the External Mgmt Abstain Against Auditors for the year 2021. 14. Approval of the budget of the Audit Mgmt For For Committee for 2021. 15. Exemption from the preferential offer of Mgmt For For shares to shareholders under section 67 of Argentine Law No. 26,831 in relation to the implementation of the Stock Incentive Programs approved at the Board meeting held on February 12, 2021. 16. Granting of the relevant authorizations for Mgmt For For the carrying out of paperwork and to make the necessary filings. -------------------------------------------------------------------------------------------------------------------------- NEXPOINT RESIDENTIAL TRUST, INC. Agenda Number: 935404664 -------------------------------------------------------------------------------------------------------------------------- Security: 65341D102 Meeting Type: Annual Meeting Date: 11-May-2021 Ticker: NXRT ISIN: US65341D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director to serve until the Mgmt For For 2022 Annual meeting: James Dondero 1B. Election of Director to serve until the Mgmt For For 2022 Annual meeting: Brian Mitts 1C. Election of Director to serve until the Mgmt For For 2022 Annual meeting: Edward Constantino 1D. Election of Director to serve until the Mgmt For For 2022 Annual meeting: Scott Kavanaugh 1E. Election of Director to serve until the Mgmt For For 2022 Annual meeting: Arthur Laffer 1F. Election of Director to serve until the Mgmt For For 2022 Annual meeting: Catherine Wood 2. Advisory Vote on Executive Compensation: to Mgmt For For approve, on an advisory basis, the compensation of our named executive officers. 3. To ratify the appointment of KPMG LLP as Mgmt For For the Company's independent registered public accounting firm for 2021. -------------------------------------------------------------------------------------------------------------------------- NEXTDECADE CORPORATION Agenda Number: 935434073 -------------------------------------------------------------------------------------------------------------------------- Security: 65342K105 Meeting Type: Annual Meeting Date: 15-Jun-2021 Ticker: NEXT ISIN: US65342K1051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class A Director: Matthew Mgmt For For Schatzman 1.2 Election of Class A Director: Taewon Jun Mgmt For For 1.3 Election of Class A Director: Avinash Mgmt For For Kripalani 1.4 Election of Class A Director: William Mgmt For For Vrattos 1.5 Election of Class C Director: Edward Andrew Mgmt For For Scoggins, Jr. 2. To approve the potential issuance of a Mgmt For For number of shares of common stock greater than 19.99% of outstanding common stock underlying Series C Preferred Stock and Series C Warrants in compliance with Nasdaq Stock Market Rule 5635(d). 3. To amend the Company's 2017 Omnibus Mgmt For For Incentive Plan to increase the number of shares available under such plan and remove certain individual limits on shares issuable during a calendar year. 4. To approve, on an advisory basis, the Mgmt For For compensation of the Company's named executive officers as disclosed in the Proxy Statement. 5. To approve, on a non-binding, advisory Mgmt 1 Year For basis, the frequency of future advisory votes on the compensation paid to the Company's named executive officers. 6. To ratify the reappointment of Grant Mgmt For For Thornton LLP as the Company's independent registered public accountants and auditors for the fiscal year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- PARATEK PHARMACEUTICALS, INC. Agenda Number: 935410516 -------------------------------------------------------------------------------------------------------------------------- Security: 699374302 Meeting Type: Annual Meeting Date: 09-Jun-2021 Ticker: PRTK ISIN: US6993743029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Rolf K. Hoffmann Mgmt For For Kristine Peterson Mgmt For For Jeffrey Stein, Ph.D. Mgmt For For 2. To approve an amendment to our Amended and Mgmt For For Restated Certificate of Incorporation, as amended, to increase the number of authorized shares of our common stock from 100,000,000 shares to 200,000,000 shares. 3. To ratify the selection by the Audit Mgmt For For Committee of the Board of Directors of Ernst & Young LLP as our independent registered public accounting firm for the year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- POSTAL REALTY TRUST INC Agenda Number: 935437081 -------------------------------------------------------------------------------------------------------------------------- Security: 73757R102 Meeting Type: Annual Meeting Date: 18-Jun-2021 Ticker: PSTL ISIN: US73757R1023 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Patrick R. Donahoe Mgmt For For Barry Lefkowitz Mgmt For For Jane Gural-Senders Mgmt For For Anton Feingold Mgmt For For Andrew Spodek Mgmt For For 2. Ratification of the appointment of BDO USA, Mgmt For For LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. 3. Approve an amendment to the Company's 2019 Mgmt For For Incentive Plan. -------------------------------------------------------------------------------------------------------------------------- TRANSOCEAN, LTD. Agenda Number: 935437043 -------------------------------------------------------------------------------------------------------------------------- Security: H8817H100 Meeting Type: Annual Meeting Date: 27-May-2021 Ticker: RIG ISIN: CH0048265513 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 Approval of the 2020 Annual Report, Mgmt For For Including the Audited Consolidated Financial Statements of Transocean Ltd. for Fiscal Year 2020 and the Audited Statutory Financial Statements of Transocean Ltd. for Fiscal Year 2020. 2 Discharge of the Members of the Board of Mgmt For For Directors and Executive Management Team From Liability for Activities During Fiscal Year 2020. 3 Appropriation of the Accumulated Loss for Mgmt For For Fiscal Year 2020 and Release of CHF 8.0 Billion of Statutory Capital Reserves from Capital Contribution and Allocation to Free Capital Reserves from Capital Contribution. 4 Renewal of Shares Authorized for Issuance. Mgmt For For 5A Election of Director: Glyn A. Barker Mgmt For For 5B Election of Director: Vanessa C.L. Chang Mgmt For For 5C Election of Director: Frederico F. Curado Mgmt For For 5D Election of Director: Chadwick C. Deaton Mgmt For For 5E Election of Director: Vincent J. Intrieri Mgmt For For 5F Election of Director: Samuel J. Merksamer Mgmt For For 5G Election of Director: Frederik W. Mohn Mgmt For For 5H Election of Director: Edward R. Muller Mgmt For For 5I Election of Director: Margareth Ovrum Mgmt For For 5J Election of Director: Diane de Saint Victor Mgmt For For 5K Election of Director: Jeremy D. Thigpen Mgmt For For 6 Election of Chadwick C. Deaton as the Chair Mgmt For For of the Board of Directors for a Term Extending Until Completion of the Next Annual General Meeting. 7A Election of the Member of the Compensation Mgmt For For Committee for a Term Extending Until Completion of the Next Annual General Meeting: Glyn A. Barker 7B Election of the Member of the Compensation Mgmt For For Committee for a Term Extending Until Completion of the Next Annual General Meeting: Vanessa C.L. Chang 7C Election of the Member of the Compensation Mgmt For For Committee for a Term Extending Until Completion of the Next Annual General Meeting: Samuel J. Merksamer 8 Election of Schweiger Advokatur / Notariat Mgmt For For as the Independent Proxy for a Term Extending Until Completion of the Next Annual General Meeting. 9 Appointment of Ernst & Young LLP as the Mgmt For For Company's Independent Registered Public Accounting Firm for Fiscal Year 2021 and Reelection of Ernst & Young Ltd, Zurich, as the Company's Auditor for a Further One-Year Term. 10 Advisory Vote to Approve Named Executive Mgmt For For Officer Compensation for Fiscal Year 2021. 11A Ratification of the Maximum Aggregate Mgmt For For Amount of Compensation of the Board of Directors for the Period Between the 2021 Annual General Meeting and the 2022 Annual General Meeting. 11B Ratification of an amount of US $24,000,000 Mgmt For For as the Maximum Aggregate Amount of Compensation of the Executive Management Team for Fiscal Year 2022. 12 Approval of Amendment and Restatement of Mgmt For For the Transocean Ltd. 2015 Long-Term Incentive Plan. -------------------------------------------------------------------------------------------------------------------------- VISTRA CORP. Agenda Number: 935375344 -------------------------------------------------------------------------------------------------------------------------- Security: 92840M102 Meeting Type: Annual Meeting Date: 28-Apr-2021 Ticker: VST ISIN: US92840M1027 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Scott B. Helm Mgmt For For 1B. Election of Director: Hilary E. Ackermann Mgmt For For 1C. Election of Director: Arcilia C. Acosta Mgmt For For 1D. Election of Director: Gavin R. Baiera Mgmt For For 1E. Election of Director: Paul M. Barbas Mgmt For For 1F. Election of Director: Lisa Crutchfield Mgmt For For 1G. Election of Director: Brian K. Ferraioli Mgmt For For 1H. Election of Director: Jeff D. Hunter Mgmt For For 1I. Election of Director: Curtis A. Morgan Mgmt For For 1J. Election of Director: John R. Sult Mgmt For For 2. Approve, on an advisory basis, the 2020 Mgmt For For compensation of the Company's named executive officers. 3. Ratify the selection of Deloitte & Touche Mgmt For For LLP as the Company's independent registered public accounting firm for the year ending December 31, 2021. * 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) NexPoint Strategic Opportunities Fund By (Signature) /s/ Stephanie Vitiello Name Stephanie Vitiello Title Secretary Date 08/11/2021