N-PX 1 d388542dnpx.htm RIVERNORTH FUNDS RiverNorth Funds

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, DC 20549

FORM N-PX

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY

Investment Company Act file number: 811-21934

RiverNorth Funds

(Exact name of registrant as specified in charter)

325 N. LaSalle St., Suite 645,

Chicago, IL 60654

(Address of principal executive offices) (Zip code)

Paul F. Leone

ALPS Fund Services, Inc.

1290 Broadway, Suite 1100,

Denver, Colorado 80203

(Name and address of agent for service)

Copies to:

JoAnn M. Strasser

Thompson Hine LLP

41 South High Street, Suite 1700,

Columbus, Ohio, 43215

Registrant’s telephone number, including area code: (312) 832-1440

Date of fiscal year end: September 30

Date of reporting period: July 1, 2011 – June 30, 2012

Item 1. Proxy Voting Record.

 

 

RiverNorth Core Opportunity Fund

 

Company Name    Ticker    CUSIP    Meeting
Date		    Prop #    Proposal    Vote   

Proposed

By

    Vs. Mngmt    Notes

ALLIANCEBERNSTEIN INCOME FD

    ACG    01881E101    3/29/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

APOLLO COMMERCIAL REAL ESTATE FINANCE

    ARI    03762U105    5/4/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

APOLLO COMMERCIAL REAL ESTATE FINANCE

    ARI    03762U105    5/4/2012    2    RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31,2012.    Split    Mgmt    With/Against    Mirror Vote

APOLLO COMMERCIAL REAL ESTATE FINANCE

    ARI    03762U105    5/4/2012    3    APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE 2012 PROXY STATEMENT.    Split    Mgmt    With/Against    Mirror Vote

BLACKROCK PREFERRED & EQUITY ADVANTAGE

    BTZ    092508100    7/28/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BLACKROCK PREFERRED OPPORTUNITY TRUST

    BPP    09249V103    7/28/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BOULDER GROWTH & INCOME FUND, INC.

    BIF    101507101    4/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BOULDER TOTAL RETURN FUND, INC.

    BTF    101541100    4/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BR PREFERRED INCOME STRATEGIES FUND

    PSY    09255H105    7/28/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

CALAMOS CONV & HIGH INCOME FUND

    CHY    12811P108    6/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

CALAMOS STRATEGIC TOTAL RETURN FUND

    CSQ    128125101    6/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

CLOUGH GLOBAL OPPORTUNITIES FUND

    GLO    18914E106    7/15/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

CLOUGH GLOBAL EQUITY FUND

    GLQ    18914C100    7/15/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

COLONY FINANCIAL INC

    CLNY    19624R106    5/2/2012    1    ELECTION OF DIRECTORS    For    Mgmt    With     

COLONY FINANCIAL INC

    CLNY    19624R106    5/2/2012    2    APPROVAL OF AN ADVISORY PROPOSAL REGARDING THE COMPENSATION PAID TO COLONY FINANCIAL’S NAMED EXECUTIVE OFFICERS (THE “SAY ON PAY” PROPOSAL).    For    Mgmt    With     

COLONY FINANCIAL INC

    CLNY    19624R106    5/2/2012    3    RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT PUBLIC AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012.    For    Mgmt    With     

EATON VANCE FLOATING-RATE INCOME TRUST

    EFT    278279104    3/23/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE FUNDS

    ETV    27828Y108    4/20/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE RISK-MGD DIV EQTY INCM FD

    ETJ    27829G106    4/20/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE TAX-MANAGED GLOBAL

    ETW    27829C105    4/20/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EV TAX-MANAGED DIVERSIFIED EQUITY INCOME

    ETY    27828N102    8/26/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE TAX-MANGD GLB DIV EQ INC FD

    EXG    27829F108    8/26/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GABELLI DIVIDEND & INCOME TRUST

    GDV    36242H104    5/14/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GENERAL AMERICAN INVESTORS COMPANY, INC.

    GAM    368802104    4/11/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GENERAL AMERICAN INVESTORS COMPANY, INC.

    GAM    368802104    4/11/2012    2    RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS.    Split    Mgmt    With/Against    Mirror Vote

GENERAL AMERICAN INVESTORS COMPANY, INC.

    GAMPRB    368802401    4/11/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GENERAL AMERICAN INVESTORS COMPANY, INC.

    GAMPRB    368802401    4/11/2012    2    RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS.    Split    Mgmt    With/Against    Mirror Vote

H&Q LIFE SCIENCES INVESTORS

    HQL    404053100    7/8/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

H&Q LIFE SCIENCES INVESTORS

    HQL    404053100    7/8/2011    2    TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTANTS OF THE FUND FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2011.    Split    Mgmt    With/Against    Mirror Vote

H&Q LIFE SCIENCES INVESTORS

    HQL    404053100    7/8/2011    3    SHAREHOLDER PROPOSAL REGARDING ANNUAL TERMS FOR TRUSTEES, IF PROPERLY PRESENTED.    Split    Shr    With/Against    Mirror Vote

LEGG MASON

    EMO    18469P100    12/12/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

LEGG MASON

    GDO    95790C107    2/24/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

LEGG MASON PARTNERS CAPITAL AND INCOME

    SCD    50208A102    3/30/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

LEGG MASON, INC.

    LM    524901105    7/26/2011    1    ELECTION OF DIRECTORS    For    Mgmt    With     

LEGG MASON, INC.

    LM    524901105    7/26/2011    2    AMENDMENT AND RE-APPROVAL OF THE LEGG MASON, INC. 1996 EQUITY INCENTIVE PLAN;    For    Mgmt    With     

LEGG MASON, INC.

    LM    524901105    7/26/2011    3    AMENDMENT OF THE LEGG MASON, INC. ARTICLES OF INCORPORATION TO PROVIDE FOR THE ANNUAL ELECTION OF DIRECTORS;    For    Mgmt    With     

                                                        

LEGG MASON, INC.

    LM    524901105    7/26/2011    4    AN ADVISORY VOTE ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS;    For    Mgmt    With     

LEGG MASON, INC.

    LM    524901105    7/26/2011    5    AN ADVISORY VOTE ON FREQUENCY OF ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS;    For    Mgmt    With     

LEGG MASON, INC.

    LM    524901105    7/26/2011    6    RATIFICATION OF THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM;    For    Mgmt    With     

LIBERTY ALL-STAR EQUITY FUND

    USA    530158104    9/30/2011    1    TO APPROVE A NEW FUND MANAGEMENT AGREEMENT BETWEEN THE FUND AND ALPS ADVISORS, INC. TO BECOME EFFECTIVE UPON THE CLOSING OF THE TRANSACTION WHEREBY ALPS HOLDINGS INC. WILL MERGE WITH A WHOLLY-OWNED SUBSIDIARY OF DST SYSTEMS, INC. (THE “CLOSING”).    Split    Mgmt    With/Against    Mirror Vote

LIBERTY ALL-STAR EQUITY FUND

    USA    530158104    9/30/2011    2A    PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER CORNERSTONE CAPITAL MANAGEMENT, INC.    Split    Mgmt    With/Against    Mirror Vote

LIBERTY ALL-STAR EQUITY FUND

    USA    530158104    9/30/2011    2B    PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER MATRIX ASSET ADVISERS, INC.    Split    Mgmt    With/Against    Mirror Vote

LIBERTY ALL-STAR EQUITY FUND

    USA    530158104    9/30/2011    2C    PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER PZENA INVESTMENT MANAGEMENT, LLC.    Split    Mgmt    With/Against    Mirror Vote

LIBERTY ALL-STAR EQUITY FUND

    USA    530158104    9/30/2011    2D    PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER SCHNEIDER CAPITAL MANAGEMENT CORPORATION.    Split    Mgmt    With/Against    Mirror Vote

LIBERTY ALL-STAR EQUITY FUND

    USA    530158104    9/30/2011    2E    PORTFOLIO MANAGEMENT AGREEMENT FOR FUND WITH ALPS ADVISORS, INC. & CURRENT PORTFOLIO MANAGER TCW INVESTMENT MANAGEMENT COMPANY.    Split    Mgmt    With/Against    Mirror Vote

LIBERTY ALL-STAR EQUITY FUND

    USA    530158104    9/30/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

MACQUAIRE GLOBAL INFRASTRUCTURE TOTAL RT

    MGU    55608D101    6/21/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

MACQUAIRE GLOBAL INFRASTRUCTURE TOTAL RT

    MGU    55608D101    6/21/2012    2    STOCKHOLDER PROPOSAL PRESENTED UNDER THE HEADING “STOCKHOLDER PROPOSAL” IN THE ACCOMPANYING PROXY STATEMENT.    Split    Shr    With/Against    Mirror Vote

NFJ DIVIDEND, INTEREST & PREM STRAT FD

    NFJ    65337H109    7/20/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN FLOATING RATE INCOME FUND

    JFR    67072T108    3/14/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN PREFERED & CONVERTIBLE INCOME 2

    JQC    67073D102    11/18/2011    1    TO AMEND THE FUND’S FUNDAMENTAL INVESTMENT RESTRICTION REGARDING CONCENTRATION.    Split    Mgmt    With/Against    Mirror Vote

NUVEEN PREFERED & CONVERTIBLE INCOME 2

    JQC    67073D102    3/30/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN PREFERRED AND CONVERTIBLE INCOME

    JPC    67073B106    11/18/2011    1    TO APPROVE AN INVESTMENT SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS, INC. AND NUVEEN ASSET MANAGEMENT, LLC.    Split    Mgmt    With/Against    Mirror Vote

NUVEEN PREFERRED AND CONVERTIBLE INCOME

    JPC    67073B106    11/18/2011    2    TO APPROVE AN INVESTMENT SUB-ADVISORY AGREEMENT BETWEEN NUVEEN FUND ADVISORS, INC. AND NWQ INVESTMENT MANAGEMENT, LLC.    Split    Mgmt    With/Against    Mirror Vote

NUVEEN PREFERRED AND CONVERTIBLE INCOME

    JPC    67073B106    3/30/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

PIMCO INCOME OPPORTUNITY FD

    PKO    72202B100    4/23/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

ROYCE FOCUS TRUST, INC.

    FUND    78080N108    9/22/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

                                                        

ROYCE VALUE TRUST, INC.

    RVT    780910105    9/22/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

RYDEX SERIES TRUST

    XLG    78355W205    1/26/2012    1    TO APPROVE A NEW INVESTMENT ADVISORY AGREEMENT BETWEEN THE TRUST AND SECURITIES INVESTORS, LLC    Split    Mgmt    With/Against    Mirror Vote

RYDEX SERIES TRUST

    XLG    78355W205    1/26/2012    2    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

RYDEX SERIES TRUST

    XLG    78355W205    1/26/2012    3    TO APPROVE A “MANAGER OF MANAGERS” ARRANGEMENT    Split    Mgmt    With/Against    Mirror Vote

SUNAMERICA FOCUSED ALPHA GROWTH FD INC

    FGF    867037103    12/19/2011    1    APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PROVIDING FOR THE TRANSFER OF ALL ASSETS OF FGF TO THE SUNAMERICA FOCUSED ALPHA GROWTH FUND (“FOCUSED ALPHA GROWTH FUND”), IN EXCHANGE FOR CLASS A SHARES OF FOCUSED ALPHA GROWTH FUND; DISTRIBUTION OF SUCH CLASS A SHARES TO HOLDERS OF FGF IN COMPLETE LIQUIDATION OF FGF; AND THE DISSOLUTION OF FGF UNDER MARYLAND LAW.    Split    Mgmt    With/Against    Mirror Vote

TCW STRATEGIC INCOME FUND, INC.

    TSI    872340104    9/15/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

TCW STRATEGIC INCOME FUND, INC.

    TSI    872340104    9/15/2011    2    AMENDMENT OF THE COMPANY’S INVESTMENT RESTRICTION REGARDING FUTURES CONTRACTS AND OPTIONS ON FUTURES CONTRACTS TO PERMIT THE COMPANY TO PURCHASE AND SELL INTEREST RATE FUTURES CONTRACTS AND OPTIONS ON INTEREST RATE FUTURES CONTRACTS.    Split    Mgmt    With/Against    Mirror Vote

TEMPLETON EMERGING MARKETS FUND

    EMF    880191101    3/2/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

TEMPLETON EMERGING MARKETS FUND

    EMF    880191101    3/2/2012    2    RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FUND FOR THE FISCAL YEAR ENDING AUGUST 31, 2012.    Split    Mgmt    With/Against    Mirror Vote

THE CENTRAL EUROPE AND RUSSIA FUND

    CEE    153436100    6/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

THE CENTRAL EUROPE AND RUSSIA FUND

    CEE    153436100    6/27/2012    2    TO RATIFY THE APPOINTMENT BY THE AUDIT COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER 31, 2012.    Split    Mgmt    With/Against    Mirror Vote

THE CENTRAL EUROPE AND RUSSIA FUND

    CEE    153436100    6/27/2012    3    IF PROPERLY PRESENTED AT THE MEETING, TO CONSIDER AND VOTE ON A STOCKHOLDER PROPOSAL TO ASK THE BOARD OF DIRECTORS TO TAKE THE STEPS NECESSARY TO ADOPT AN INTERVAL FUND STRUCTURE, WHEREBY THE FUND WOULD CONDUCT PERIODIC TENDER OFFERS AT LEAST SEMIANNUALLY FOR AT LEAST 10% OF CURRENTLY OUTSTANDING COMMON SHARES AT A PRICE OF AT LEAST 98% OF NET ASSET VALUE.    Split    Shr    With/Against    Mirror Vote

TRI-CONTINENTAL CORPORATION

    TY    895436103    4/12/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

TRI-CONTINENTAL CORPORATION

    TY    895436103    4/12/2012    2    TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE CORPORATION’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM.    Split    Mgmt    With/Against    Mirror Vote

WELLS FARGO ADVANTAGE FUNDS

    ERC    94987D101    2/13/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

WESTERN ASSET/CLAYMORE LINKED OPP & INC

    WIW    95766R104    5/1/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

ADAMS EXPRESS COMPANY

    ADX    006212104    3/20/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

                                                        

ADAMS EXPRESS COMPANY

    ADX    006212104    3/20/2012    2    THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS INDEPENDENT PUBLIC AUDITORS.    Split    Mgmt    With/Against    Mirror Vote

AFFILIATED MANAGERS GROUP, INC.

    AMG    008252108    6/18/2012    1    ELECTION OF DIRECTORS    For    Mgmt    With     

AFFILIATED MANAGERS GROUP, INC.

    AMG    008252108    6/18/2012    2    TO APPROVE, BY A NON-BINDING ADVISORY VOTE, THE COMPENSATION OF THE COMPANY’S NAMED EXECUTIVE OFFICERS.    For    Mgmt    With     

AFFILIATED MANAGERS GROUP, INC.

    AMG    008252108    6/18/2012    3    TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE CURRENT FISCAL YEAR.    For    Mgmt    With     

KAYNE ANDERSON MLP INVESTMENT CO

    KYNPRD    486606403    6/13/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

KAYNE ANDERSON MLP INVESTMENT CO

    KYNPRD    486606403    6/13/2012    2    THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2012.    Split    Mgmt    With/Against    Mirror Vote

KAYNE ANDERSON MLP INVESTMENT CO

    KYNPRD    486606403    6/13/2012    3    THE APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL SHARES OF ITS COMMON STOCK AT A NET PRICE LESS THAN THE NET ASSET VALUE PER SHARE, SUBJECT TO THE GROSS PRICE (BEFORE UNDERWRITING FEES, COMMISSIONS AND OFFERING EXPENSES) BEING ABOVE THE NET ASSET VALUE PER SHARE.    Split    Mgmt    With/Against    Mirror Vote

RiverNorth/DoubleLine Strategic Income Fund

 

Company Name    Ticker    CUSIP    Meeting
Date		    Prop #    Proposal    Vote    Proposed
By		    Vs. Mngmt    Notes

ALLIANCEBERNSTEIN INCOME FD

    ACG    01881E101    3/29/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

APOLLO COMMERCIAL REAL ESTATE FINANCE

    ARI    03762U105    5/4/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

APOLLO COMMERCIAL REAL ESTATE FINANCE

    ARI    03762U105    5/4/2012    2    RATIFICATION OF THE APPOINTMENT OF DELOITTE & TOUCHE LLP AS APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31,2012.    Split    Mgmt    With/Against    Mirror Vote

APOLLO COMMERCIAL REAL ESTATE FINANCE

    ARI    03762U105    5/4/2012    3    APPROVAL, ON AN ADVISORY BASIS, OF THE COMPENSATION OF APOLLO COMMERCIAL REAL ESTATE FINANCE, INC.’S NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE 2012 PROXY STATEMENT.    Split    Mgmt    With/Against    Mirror Vote

APOLLO SENIOR FLOATING RATE, INC

    AFT    037636107    5/21/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BLACKROCK PREFERRED & EQUITY ADVANTAGE

    BTZ    092508100    7/28/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BLACKROCK PREFERRED OPPORTUNITY TRUST

    BPP    09249V103    7/28/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BLACKSTONE FUNDS

    BGX    09257D102    4/25/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BR PREFERRED & CORPORATE INCOME STRT FD

    PSW    09255J101    7/28/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

CALAMOS CONV & HIGH INCOME FUND

    CHY    12811P108    6/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

CALAMOS CONV OPPS & INCOME FUND

    CHI    128117108    6/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

COLONY FINANCIAL INC

    CLNY    19624R106    5/2/2012    1    ELECTION OF DIRECTORS    For    Mgmt    For     

COLONY FINANCIAL INC

    CLNY    19624R106    5/2/2012    2    APPROVAL OF AN ADVISORY PROPOSAL REGARDING THE COMPENSATION PAID TO COLONY FINANCIAL’S NAMED EXECUTIVE OFFICERS (THE “SAY ON PAY” PROPOSAL).    For    Mgmt    For     

COLONY FINANCIAL INC

    CLNY    19624R106    5/2/2012    3    RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS INDEPENDENT PUBLIC AUDITOR FOR THE FISCAL YEAR ENDING DECEMBER 31, 2012.    For    Mgmt    For     

DWS GLOBAL HIGH INCOME FUND, INC.

    LBF    23338W104    10/17/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE FLOATING-RATE INCOME TRUST

    EFT    278279104    3/23/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE FUNDS

    EXD    27829M103    4/20/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE LIMITED DURATION INCOME FD

    EVV    27828H105    3/16/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE SENIOR INCOME TRUST

    EVF    27826S103    10/28/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

EATON VANCE SHORT DURATION DIV INCOME FD

    EVG    27828V104    2/24/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

FIRST TR STRATEGIC HIGH INCOME

    FHI    337347108    8/8/2011    1    TO APPROVE AN AGREEMENT AND PLAN OF REORGANIZATION PURSUANT TO WHICH FIRST TRUST STRATEGIC HIGH INCOME FUND (ACQUIRED FUND) WOULD (1) TRANSFER ALL ASSETS TO FIRST TRUST STRATEGIC HIGH INCOME FUND II (ACQUIRING FUND) (2) DISTRIBUTE SUCH SHARES OF THE ACQUIRING FUND, (3) COMPLETELY LIQUIDATE, AND BE DISSOLVED, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT.    Split    Mgmt    With/Against    Mirror Vote

FIRST TRUST/ABERDEEN GLOBAL OPP INC FD

    FAM    337319107    4/18/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

FIRST TRUST/FOUR CORNERS SR FLOATING

    FCT    33733U108    9/19/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GDL FD

    GDL    361570104    5/14/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GENERAL AMERICAN INVESTORS COMPANY, INC.

    GAMPRB    368802401    4/11/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GENERAL AMERICAN INVESTORS COMPANY, INC.

    GAMPRB    368802401    4/11/2012    2    RATIFICATION OF THE SELECTION OF ERNST & YOUNG LLP AS AUDITORS.    Split    Mgmt    With/Against    Mirror Vote

GUGGENHEIM FUNDS

    GBAB    401664107    4/4/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

HELIOS FUNDS

    HAV    42327W206    11/17/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

HELIOS FUNDS

    HMH    42327Y202    11/17/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

HELIOS FUNDS

    HSA    42328A203    11/17/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

ING PRIME RATE TRUST

    PPR    44977W106    7/6/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

KAYNE ANDERSON MLP INVESTMENT CO

    KYNPRE    486606502    6/13/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

                                                        

KAYNE ANDERSON MLP INVESTMENT CO

    KYNPRE    486606502    6/13/2012    2    THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2012.    Split    Mgmt    With/Against    Mirror Vote

KAYNE ANDERSON MLP INVESTMENT CO

    KYNPRE    486606502    6/13/2012    3    THE APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL SHARES OF ITS COMMON STOCK AT A NET PRICE LESS THAN THE NET ASSET VALUE PER SHARE, SUBJECT TO THE GROSS PRICE (BEFORE UNDERWRITING FEES, COMMISSIONS AND OFFERING EXPENSES) BEING ABOVE THE NET ASSET VALUE PER SHARE.    Split    Mgmt    With/Against    Mirror Vote

LEGG MASON

    GDO    95790C107    2/24/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

MONTGOMERY STREET INCOME SECURITIES, INC

    MTS    614115103    7/14/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN FLOATING RATE INCOME FUND

    JFR    67072T108    3/14/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN INVESTMENTS

    JLS    670735109    3/30/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN MULTI-CURR. SHORT-TERM GOVT INC

    JGT    67090N109    3/30/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN PREFERED & CONVERTIBLE INCOME 2

    JQC    67073D102    3/30/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

NUVEEN PREFERRED AND CONVERTIBLE INCOME

    JPC    67073B106    3/30/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

PIMCO INCOME OPPORTUNITY FD

    PKO    72202B100    4/23/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

PUTNAM MASTER INTERMEDIATE INCOME TRUST

    PIM    746909100    1/26/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

PUTNAM PREMIER INCOME TRUST

    PPT    746853100    1/26/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

PYXIS FUNDS

    HCF    74734W107    6/3/2011    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

TORTOISE ENERGY CAPITAL CORP.

    TYYPRB    89147U503    5/24/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

TORTOISE ENERGY CAPITAL CORP.

    TYYPRB    89147U503    5/24/2012    2    APPROVAL FOR THE COMPANY, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE 2012 ANNUAL MEETING OF STOCKHOLDERS.    Split    Mgmt    With/Against    Mirror Vote

TORTOISE ENERGY CAPITAL CORP.

    TYYPRB    89147U503    5/24/2012    3    RATIFICATION OF ERNST & YOUNG LLP AS THE COMPANY’S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM TO AUDIT THE FINANCIAL STATEMENTS OF THE COMPANY FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2012.    Split    Mgmt    With/Against    Mirror Vote

WELLS FARGO ADVANTAGE FUNDS

    ERC    94987D101    2/13/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

WESTERN ASSET INFLATION MANAGEMENT FUND

    IMF    95766U107    4/27/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

WESTERN ASSET INFLATION MANAGEMENT FUND

    IMF    95766U107    4/27/2012    2    A STOCKHOLDER PROPOSAL TO TERMINATE THE EXISTING INVESTMENT MANAGEMENT AGREEMENT.    Split    Shr    With/Against    Mirror Vote

WESTERN ASSET/CLAYMORE LINKED OPP & INC

    WIW    95766R104    5/1/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

WESTERN ASSET/CLAYMORE LINKED SEC & INC

    WIA    95766Q106    5/1/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

GDL FD

    GDL PRB    361570104    5/14/2012    1    ELECTION OF DIRECTORS    Split    Mgmt    With/Against    Mirror Vote

BTA Bank JSC, Almaty

         XS0532988770    3/21/2012    1    ELECTION OF DIRECTORS    DNV    Mgmt    N/A    Did Not Vote

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 and Title):     /s/ Patrick W. Galley
    Patrick W. Galley, President

Date: August 31, 2012