N-PX 1 BRDB5F_0001370177_2017.txt BRDB5F_0001370177_2017 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: 07/01/2016 - 06/30/2017 All proxies required to be voted proportionally were done so. Some matters had too few votes for (or against) a proposal to equal more than 1% RiverNorth -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMERGING MKTS Agenda Number: 934427659 -------------------------------------------------------------------------------------------------------------------------- Security: 617477104 Meeting Type: Annual Meeting Date: 27-Jul-2016 Ticker: EDD ISIN: US6174771047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR FRANK L. BOWMAN Mgmt Split 87% For 13% Withheld Split JAKKI L. HAUSSLER Mgmt Split 85% For 15% Withheld Split JAMES F. HIGGINS Mgmt Split 87% For 13% Withheld Split MANUEL H. JOHNSON Mgmt Split 87% For 13% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 934532044 -------------------------------------------------------------------------------------------------------------------------- Security: 003009107 Meeting Type: Annual Meeting Date: 30-Mar-2017 Ticker: FAX ISIN: US0030091070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO ELECT CLASS II DIRECTOR: P. GERALD Mgmt Split 80% For 18% Against 2% AbstainSplit MALONE -------------------------------------------------------------------------------------------------------------------------- ADAMS DIVERSIFIED EQUITY FUND, INC. Agenda Number: 934532373 -------------------------------------------------------------------------------------------------------------------------- Security: 006212104 Meeting Type: Annual Meeting Date: 21-Apr-2017 Ticker: ADX ISIN: US0062121043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ENRIQUE R. ARZAC Mgmt Split 81% For 19% Withheld Split PHYLLIS O. BONANNO Mgmt Split 81% For 19% Withheld Split KENNETH J. DALE Mgmt Split 82% For 18% Withheld Split FREDERIC A. ESCHERICH Mgmt Split 82% For 18% Withheld Split ROGER W. GALE Mgmt Split 81% For 19% Withheld Split KATHLEEN T. MCGAHRAN Mgmt Split 81% For 19% Withheld Split CRAIG R. SMITH Mgmt Split 81% For 19% Withheld Split MARK E. STOECKLE Mgmt Split 82% For 18% Withheld Split 2. THE SELECTION OF PRICEWATERHOUSECOOPERS LLP Mgmt Split 97% For 2% Against 1% AbstainSplit AS INDEPENDENT PUBLIC AUDITORS. -------------------------------------------------------------------------------------------------------------------------- ALLIANCEBERNSTEIN NAT MUNI INCOME FD INC Agenda Number: 934535103 -------------------------------------------------------------------------------------------------------------------------- Security: 01864U106 Meeting Type: Annual Meeting Date: 29-Mar-2017 Ticker: AFB ISIN: US01864U1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR WILLIAM H. FOULK, JR. Mgmt Split 88% For 12% Withheld Split CAROL C. MCMULLEN Mgmt Split 90% For 10% Withheld Split ROBERT M. KEITH Mgmt Split 92% For 8% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ALPINE GLOBAL PREMIER PPTYS FD Agenda Number: 934568366 -------------------------------------------------------------------------------------------------------------------------- Security: 021060207 Meeting Type: Annual Meeting Date: 09-May-2017 Ticker: AOD ISIN: US0210602076 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MS. E.T.M. HOAGLAND Mgmt Split 98% For 2% Withheld Split MR. JEFFREY E. WACKSMAN Mgmt Split 97% For 3% Withheld Split 2. TO TRANSACT SUCH OTHER BUSINESS AS MAY Mgmt Split 29% For 69% Against 2% AbstainSplit PROPERLY COME BEFORE THE MEETING OR ANY ADJOURNMENTS THEREOF. -------------------------------------------------------------------------------------------------------------------------- AMERICAN CAPITAL, LTD. Agenda Number: 934495246 -------------------------------------------------------------------------------------------------------------------------- Security: 02503Y103 Meeting Type: Annual Meeting Date: 15-Dec-2016 Ticker: ACAS ISIN: US02503Y1038 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. ADOPTION OF THE MERGER AGREEMENT. Mgmt For For 2. APPROVAL, ON AN ADVISORY, NON-BINDING Mgmt For For BASIS, OF THE PAYMENT OF CERTAIN COMPENSATION THAT WILL OR MAY BECOME PAYABLE TO AMERICAN CAPITAL'S NAMED EXECUTIVE OFFICERS PURSUANT TO THEIR EMPLOYMENT AND OTHER ARRANGEMENTS WITH AMERICAN CAPITAL AND THE MERGER AGREEMENT, IN CONNECTION WITH THE COMPLETION OF THE MERGERS AND OTHER TRANSACTIONS AS CONTEMPLATED THEREIN. 3. APPROVAL OF ANY ADJOURNMENTS OF THE Mgmt For For AMERICAN CAPITAL ANNUAL MEETING FOR THE PURPOSE OF SOLICITING ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE MEETING TO ADOPT THE MERGER AGREEMENT. 4A. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: MARY C. BASKIN 4B. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: NEIL M. HAHL 4C. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: PHILIP R. HARPER 4D. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: STAN LUNDINE 4E. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: KRISTEN L. MANOS 4F. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: SUSAN K. NESTEGARD 4G. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: KENNETH D. PETERSON, JR. 4H. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: ALVIN N. PURYEAR 4I. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: MALON WILKUS 4J. ELECTION OF DIRECTOR TO SERVE UNTIL THE Mgmt For For EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: DAVID G. RICHARDS 5. RATIFICATION OF THE APPOINTMENT OF ERNST & Mgmt For For YOUNG LLP TO SERVE AS AMERICAN CAPITAL'S INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING DECEMBER 31, 2016. -------------------------------------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION Agenda Number: 934560598 -------------------------------------------------------------------------------------------------------------------------- Security: 04010L103 Meeting Type: Special Meeting Date: 22-May-2017 Ticker: ARCC ISIN: US04010L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO AUTHORIZE THE COMPANY, WITH THE APPROVAL Mgmt Split 87% For 12% Against 1% AbstainSplit OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE SPECIAL MEETING OF STOCKHOLDERS (INCLUDING, ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION Agenda Number: 934557426 -------------------------------------------------------------------------------------------------------------------------- Security: 04010L103 Meeting Type: Annual Meeting Date: 22-May-2017 Ticker: ARCC ISIN: US04010L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF DIRECTOR: MICHAEL J AROUGHETI Mgmt Split 97% For 2% Against 1% AbstainSplit (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020) 1B. ELECTION OF DIRECTOR: ANN TORRE BATES Mgmt Split 98% For 1% Against 1% AbstainSplit (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020) 1C. ELECTION OF DIRECTOR: STEVE MCKEEVER (CLASS Mgmt Split 96% For 3% Against 1% AbstainSplit I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020) 2. TO RATIFY THE SELECTION OF KPMG LLP AS THE Mgmt Split 99% For 1% Against Split COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. -------------------------------------------------------------------------------------------------------------------------- ARES DYNAMIC Agenda Number: 934626574 -------------------------------------------------------------------------------------------------------------------------- Security: 04014F102 Meeting Type: Annual Meeting Date: 29-Jun-2017 Ticker: ARDC ISIN: US04014F1021 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR BRUCE H. SPECTOR Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- AROWANA INC Agenda Number: 934510353 -------------------------------------------------------------------------------------------------------------------------- Security: G05011104 Meeting Type: Special Meeting Date: 20-Dec-2016 Ticker: ARWA ISIN: KYG050111049 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO ADOPT THE CONTRIBUTION AGREEMENT, DATED Mgmt For For AS OF AUGUST 11, 2016 AND AMENDED AS OF OCTOBER 18, 2016 AND NOVEMBER 15, 2016, BY AND AMONG THE COMPANY, AROWANA INTERNATIONAL LIMITED ("AWN"),AND VIVOPOWER INTERNATIONAL PLC, A WHOLLY OWNED SUBSIDIARY OF AWN ("VIVOPOWER") (AS MAY BE AMENDED, THE "CONTRIBUTION AGREEMENT"), AND TO APPROVE THE BUSINESS COMBINATION CONTEMPLATED BY SUCH AGREEMENT. 1A. INTENTION TO EXERCISE REDEMPTION RIGHTS - Mgmt For IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE CHECK THE "FOR" BOX CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE ACCOMPANYING DEFINITIVE PROXY STATEMENT UNDER THE HEADING "EXTRAORDINARY GENERAL MEETING OF ARWA SHAREHOLDERS AND EXTRAORDINARY GENERAL MEETING OF ARWA WARRANTHOLDERS - CONVERSION RIGHTS." 1B. SHAREHOLDER CERTIFICATION - I HEREBY Mgmt For CERTIFY THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D) (3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER SHAREHOLDER WITH RESPECT TO THE ORDINARY SHARES OF THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN THE COMPANY AND VIVOPOWER. (FOR = AGREE TO CERTIFICATION, AGAINST = DO NOT AGREE) 2. TO APPROVE THE VOLUNTARY WINDING UP OF THE Mgmt For For COMPANY, SUBJECT TO AND CONDITIONAL UPON THE APPROVAL OF PROPOSAL 1 AND THE COMPLETION OF THE TRANSACTIONS CONTEMPLATED BY THE CONTRIBUTION AGREEMENT. 3. TO APPROVE A DISCRETIONARY MANAGEMENT Mgmt For For INCENTIVE PLAN, PROVIDING FOR THE ISSUANCE OF EQUITY BY VIVOPOWER AND VIVOPOWER INTERNATIONAL SERVICES LIMITED, A WHOLLY OWNED SUBSIDIARY OF VIVOPOWER, TO EMPLOYEES AND DIRECTORS OF VIVOPOWER AND ITS SUBSIDIARIES. 4. TO APPROVE THE ADJOURNMENT OF THE Mgmt For For 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 EXTRAORDINARY GENERAL MEETING, THE COMPANY IS NOT AUTHORIZED TO CONSUMMATE THE TRANSACTIONS CONTEMPLATED BY THE CONTRIBUTION AGREEMENT OR THE CLOSING CONDITIONS UNDER THE CONTRIBUTION AGREEMENT ARE NOT MET. -------------------------------------------------------------------------------------------------------------------------- BABSON CAPITAL Agenda Number: 934451268 -------------------------------------------------------------------------------------------------------------------------- Security: 05617T100 Meeting Type: Annual Meeting Date: 18-Jul-2016 Ticker: BGH ISIN: US05617T1007 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR BERNARD A. HARRIS, JR. Mgmt For For THOMAS M. FINKE Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK Agenda Number: 934449390 -------------------------------------------------------------------------------------------------------------------------- Security: 09258A107 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: BIT ISIN: US09258A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CATHERINE A. LYNCH* Mgmt For For RICHARD E. CAVANAGH# Mgmt For For CYNTHIA L. EGAN# Mgmt For For JERROLD B. HARRIS# Mgmt For For BARBARA G. NOVICK# Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK CORPORATE HIGH YIELD FD VI INC Agenda Number: 934449403 -------------------------------------------------------------------------------------------------------------------------- Security: 09255P107 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: HYT ISIN: US09255P1075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt For For RICHARD E. CAVANAGH Mgmt For For CYNTHIA L. EGAN Mgmt For For FRANK J. FABOZZI Mgmt For For JERROLD B. HARRIS Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For CATHERINE A. LYNCH Mgmt For For BARBARA G. NOVICK Mgmt For For JOHN M. PERLOWSKI Mgmt For For KAREN P. ROBARDS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK CREDIT ALLOCATION INCOME TRUST Agenda Number: 934449390 -------------------------------------------------------------------------------------------------------------------------- Security: 092508100 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: BTZ ISIN: US0925081004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CATHERINE A. LYNCH* Mgmt For For RICHARD E. CAVANAGH# Mgmt For For CYNTHIA L. EGAN# Mgmt For For JERROLD B. HARRIS# Mgmt For For BARBARA G. NOVICK# Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 934449403 -------------------------------------------------------------------------------------------------------------------------- Security: 09255R103 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: DSU ISIN: US09255R1032 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt For For RICHARD E. CAVANAGH Mgmt For For CYNTHIA L. EGAN Mgmt For For FRANK J. FABOZZI Mgmt For For JERROLD B. HARRIS Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For CATHERINE A. LYNCH Mgmt For For BARBARA G. NOVICK Mgmt For For JOHN M. PERLOWSKI Mgmt For For KAREN P. ROBARDS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK FLTING RT INCOME STRA FD INC Agenda Number: 934449403 -------------------------------------------------------------------------------------------------------------------------- Security: 09255X100 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: FRA ISIN: US09255X1000 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt For For RICHARD E. CAVANAGH Mgmt For For CYNTHIA L. EGAN Mgmt For For FRANK J. FABOZZI Mgmt For For JERROLD B. HARRIS Mgmt For For R. GLENN HUBBARD Mgmt For For W. CARL KESTER Mgmt For For CATHERINE A. LYNCH Mgmt For For BARBARA G. NOVICK Mgmt For For JOHN M. PERLOWSKI Mgmt For For KAREN P. ROBARDS Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK FUNDS Agenda Number: 934449390 -------------------------------------------------------------------------------------------------------------------------- Security: 09257A108 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: BCX ISIN: US09257A1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CATHERINE A. LYNCH* Mgmt For For RICHARD E. CAVANAGH# Mgmt For For CYNTHIA L. EGAN# Mgmt For For JERROLD B. HARRIS# Mgmt For For BARBARA G. NOVICK# Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR Agenda Number: 934449390 -------------------------------------------------------------------------------------------------------------------------- Security: 092501105 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: BOE ISIN: US0925011050 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CATHERINE A. LYNCH* Mgmt For For RICHARD E. CAVANAGH# Mgmt For For CYNTHIA L. EGAN# Mgmt For For JERROLD B. HARRIS# Mgmt For For BARBARA G. NOVICK# Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKROCK LTD DURATION INCOME TR Agenda Number: 934449390 -------------------------------------------------------------------------------------------------------------------------- Security: 09249W101 Meeting Type: Annual Meeting Date: 26-Jul-2016 Ticker: BLW ISIN: US09249W1018 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CATHERINE A. LYNCH* Mgmt For For RICHARD E. CAVANAGH# Mgmt For For CYNTHIA L. EGAN# Mgmt For For JERROLD B. HARRIS# Mgmt For For BARBARA G. NOVICK# Mgmt For For -------------------------------------------------------------------------------------------------------------------------- BLACKSTONE FUNDS Agenda Number: 934539997 -------------------------------------------------------------------------------------------------------------------------- Security: 09257D102 Meeting Type: Annual Meeting Date: 19-Apr-2017 Ticker: BGX ISIN: US09257D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR EDWARD H. D'ALELIO Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKSTONE FUNDS Agenda Number: 934540003 -------------------------------------------------------------------------------------------------------------------------- Security: 09257R101 Meeting Type: Annual Meeting Date: 19-Apr-2017 Ticker: BGB ISIN: US09257R1014 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR EDWARD H. D'ALELIO Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 934488621 -------------------------------------------------------------------------------------------------------------------------- Security: 101507101 Meeting Type: Annual Meeting Date: 10-Nov-2016 Ticker: BIF ISIN: US1015071012 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR DR. DEAN L. JACOBSON Mgmt Split 92% For 8% Withheld Split STEPHEN C. MILLER Mgmt Split 90% For 10% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BROOKFIELD FUND Agenda Number: 934461485 -------------------------------------------------------------------------------------------------------------------------- Security: 11272P102 Meeting Type: Special Meeting Date: 16-Sep-2016 Ticker: HHY ISIN: US11272P1021 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO CONSIDER AND VOTE UPON THE PROPOSED Mgmt Abstain Against REORGANIZATION OF THE FUND INTO BROOKFIELD REAL ASSETS INCOME FUND INC., A NEWLY ORGANIZED MARYLAND CORPORATION. -------------------------------------------------------------------------------------------------------------------------- BROOKFIELD INVESTMENT MANAGEMENT INC. Agenda Number: 934619783 -------------------------------------------------------------------------------------------------------------------------- Security: 112830104 Meeting Type: Annual Meeting Date: 25-May-2017 Ticker: RA ISIN: US1128301041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 ELECTION OF CLASS I DIRECTOR: LOUIS P. Mgmt Split 87% For 12% Against 1% AbstainSplit SALVATORE (INDEPENDENT DIRECTOR) 1.2 ELECTION OF CLASS I DIRECTOR: DAVID LEVI Mgmt Split 87% For 12% Against 1% AbstainSplit (INTERESTED DIRECTOR) -------------------------------------------------------------------------------------------------------------------------- CBRE CLARION SECURITIES Agenda Number: 934483190 -------------------------------------------------------------------------------------------------------------------------- Security: 12504G100 Meeting Type: Annual Meeting Date: 12-Oct-2016 Ticker: IGR ISIN: US12504G1004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR RICHARD L. SUTTON Mgmt Split 99% For 1% Withheld Split JOHN R. BARTHOLDSON Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CENTRAL EUROPE, RUSSIA & TURKEY FD COM Agenda Number: 934442485 -------------------------------------------------------------------------------------------------------------------------- Security: 153436100 Meeting Type: Annual Meeting Date: 04-Aug-2016 Ticker: CEE ISIN: US1534361001 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR DR. WILHELM BENDER Mgmt Split 92% For 8% Withheld Split MR. DETLEF BIERBAUM Mgmt Split 16% For 84% Withheld Split MR. RICHARD KARL GOELTZ Mgmt Split 92% For 8% Withheld Split 2. TO RATIFY THE APPOINTMENT BY THE AUDIT Mgmt Split 99% For 1% Abstain Split COMMITTEE AND THE BOARD OF DIRECTORS OF PRICEWATERHOUSECOOPERS LLP, AN INDEPENDENT PUBLIC ACCOUNTING FIRM, AS INDEPENDENT AUDITORS FOR THE FISCAL YEAR ENDING OCTOBER 31, 2016. -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL ALLOCATION FUND Agenda Number: 934454303 -------------------------------------------------------------------------------------------------------------------------- Security: 18913Y103 Meeting Type: Annual Meeting Date: 20-Jul-2016 Ticker: GLV ISIN: US18913Y1038 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN F. MEE Mgmt Split 95% For 5% Withheld Split VINCENT W. VERSACI Mgmt Split 98% For 2% Withheld Split EDMUND J. BURKE Mgmt Split 95% For 5% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL EQUITY FUND Agenda Number: 934454315 -------------------------------------------------------------------------------------------------------------------------- Security: 18914C100 Meeting Type: Annual Meeting Date: 20-Jul-2016 Ticker: GLQ ISIN: US18914C1009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2. DIRECTOR ROBERT L. BUTLER Mgmt Split 99% For 1% Withheld Split RICHARD C. RANTZOW Mgmt Split 99% For 1% Withheld Split VINCENT W. VERSACI Mgmt Split 99% For 1% Withheld Split JAMES E. CANTY Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 934454290 -------------------------------------------------------------------------------------------------------------------------- Security: 18914E106 Meeting Type: Annual Meeting Date: 20-Jul-2016 Ticker: GLO ISIN: US18914E1064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 3. DIRECTOR ADAM D. CRESCENZI Mgmt Split 96% For 4% Withheld Split JERRY G. RUTLEDGE Mgmt Split 96% For 4% Withheld Split VINCENT W. VERSACI Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- COMMONWEALTH OF PUERTO RICO Agenda Number: 934511571 -------------------------------------------------------------------------------------------------------------------------- Security: 74514LE86 Meeting Type: Special Meeting Date: 30-Mar-2017 Ticker: ISIN: US74514LE869 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. BY MARKING "FOR" I DIRECT THE INSTITUTION Mgmt Against HOLDING MY BONDS TO TRANSMIT AND CONFIRM MY BOND HOLDING INFORMATION (NAME, ADDRESS, BOND AND AMOUNTS HELD) FOR RECORDING IN THE REGISTRY. BY MARKING "AGAINST" MY BONDS SHALL BE "MISSING" FROM THE REGISTRY. I WILL NOT RECEIVE DIRECTLY FROM THE BOND ISSUER ANY OFFICIAL COMMUNICATIONS RELATING TO THE BONDS, SINCE ALL COMMUNICATIONS WILL BE SENT INDIRECTLY VIA THIRD PARTIES. I MAY NOT DIRECTLY PARTICIPATE IN ANY BONDOWNER INITIATIVE IN THE ABSENCE OF ACTIONS BY THIRD PARTIES. -------------------------------------------------------------------------------------------------------------------------- DEUTSCHE FUNDS Agenda Number: 934473834 -------------------------------------------------------------------------------------------------------------------------- Security: 25158V108 Meeting Type: Annual Meeting Date: 30-Sep-2016 Ticker: LBF ISIN: US25158V1089 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR KEITH R. FOX Mgmt Split 78% For 22% Withheld Split KENNETH C. FROEWISS Mgmt Split 78% For 22% Withheld Split RICHARD J. HERRING Mgmt Split 80% For 20% Withheld Split JEAN GLEASON STROMBERG Mgmt Split 78% For 22% Withheld Split -------------------------------------------------------------------------------------------------------------------------- DEUTSCHE FUNDS Agenda Number: 934473822 -------------------------------------------------------------------------------------------------------------------------- Security: 25158Y102 Meeting Type: Annual Meeting Date: 30-Sep-2016 Ticker: DHG ISIN: US25158Y1029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HENRY P. BECTON, JR. Mgmt Split 60% For 40% Withheld Split PAUL K. FREEMAN Mgmt Split 61% For 39% Withheld Split WILLIAM MCCLAYTON Mgmt Split 59% For 41% Withheld Split JEAN GLEASON STROMBERG Mgmt Split 61% For 39% Withheld Split -------------------------------------------------------------------------------------------------------------------------- DEUTSCHE FUNDS Agenda Number: 934473846 -------------------------------------------------------------------------------------------------------------------------- Security: 25155R100 Meeting Type: Annual Meeting Date: 30-Sep-2016 Ticker: KHI ISIN: US25155R1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HENRY P. BECTON, JR. Mgmt Split 93% For 7% Withheld Split PAUL K. FREEMAN Mgmt Split 93% For 7% Withheld Split WILLIAM MCCLAYTON Mgmt Split 93% For 7% Withheld Split JEAN GLEASON STROMBERG Mgmt Split 93% For 7% Withheld Split -------------------------------------------------------------------------------------------------------------------------- DEUTSCHE FUNDS Agenda Number: 934473341 -------------------------------------------------------------------------------------------------------------------------- Security: 25160E102 Meeting Type: Annual Meeting Date: 30-Sep-2016 Ticker: KMM ISIN: US25160E1029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HENRY P. BECTON, JR. Mgmt No vote PAUL K. FREEMAN Mgmt No vote WILLIAM MCCLAYTON Mgmt No vote JEAN GLEASON STROMBERG Mgmt No vote 2. THE SHAREHOLDER PROPOSAL REQUESTING THAT Shr No vote THE BOARD OF THE FUND TAKE THE NECESSARY STEPS TO DECLASSIFY THE FUND'S BOARD OF TRUSTEES. -------------------------------------------------------------------------------------------------------------------------- EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 934509641 -------------------------------------------------------------------------------------------------------------------------- Security: 27828H105 Meeting Type: Annual Meeting Date: 19-Jan-2017 Ticker: EVV ISIN: US27828H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR THOMAS E. FAUST JR. Mgmt For For MARK R. FETTING Mgmt For For HARRIETT TEE TAGGART Mgmt For For -------------------------------------------------------------------------------------------------------------------------- EATON VANCE SENIOR INCOME TRUST Agenda Number: 934474608 -------------------------------------------------------------------------------------------------------------------------- Security: 27826S103 Meeting Type: Annual Meeting Date: 20-Oct-2016 Ticker: EVF ISIN: US27826S1033 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR GEORGE J. GORMAN Mgmt Split 99% For 1% Withheld Split HARRIETT TEE TAGGART Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE SHORT DURATION DIV INCOME FD Agenda Number: 934517941 -------------------------------------------------------------------------------------------------------------------------- Security: 27828V104 Meeting Type: Annual Meeting Date: 16-Feb-2017 Ticker: EVG ISIN: US27828V1044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MARK R. FETTING Mgmt Split 99% For 1% Withheld Split VALERIE A. MOSLEY Mgmt Split 99% For 1% Withheld Split HELEN FRAME PETERS Mgmt Split 99% For 1% Withheld Split RALPH F. VERNI Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ENERGY XXI GULF COAST Agenda Number: 934602221 -------------------------------------------------------------------------------------------------------------------------- Security: 29276K101 Meeting Type: Annual Meeting Date: 10-May-2017 Ticker: EXXI ISIN: US29276K1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL S. BAHORICH Mgmt For For DOUGLAS E. BROOKS Mgmt For For GEORGE KOLLITIDES Mgmt For For MICHAEL S. REDDIN Mgmt For For STANFORD SPRINGEL Mgmt For For JAMES W. SWENT III Mgmt For For CHARLES W. WAMPLER Mgmt For For 2. TO APPROVE, IN A NON-BINDING ADVISORY VOTE, Mgmt Against Against THE COMPENSATION PROVIDED TO THE NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE PROXY STATEMENT 3. TO APPROVE, IN A NON-BINDING ADVISORY VOTE, Mgmt 1 Year For THE FREQUENCY OF FUTURE ADVISORY VOTES ON THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS 4. TO APPROVE THE APPOINTMENT OF ERNST & YOUNG Mgmt For For LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR 2017 -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST ADVISORS Agenda Number: 934545128 -------------------------------------------------------------------------------------------------------------------------- Security: 33738E109 Meeting Type: Annual Meeting Date: 24-Apr-2017 Ticker: FSD ISIN: US33738E1091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT F. KEITH Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST/ABERDEEN GLOBAL OPP INC FD Agenda Number: 934545116 -------------------------------------------------------------------------------------------------------------------------- Security: 337319107 Meeting Type: Annual Meeting Date: 24-Apr-2017 Ticker: FAM ISIN: US3373191077 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT F. KEITH Mgmt Split 59% For 41% Withheld Split -------------------------------------------------------------------------------------------------------------------------- FRANKLIN TEMPLETON LTD DURATION INC TR Agenda Number: 934479963 -------------------------------------------------------------------------------------------------------------------------- Security: 35472T101 Meeting Type: Annual Meeting Date: 28-Oct-2016 Ticker: FTF ISIN: US35472T1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HARRIS J. ASHTON Mgmt No vote EDITH E. HOLIDAY Mgmt No vote JOHN B. WILSON Mgmt No vote 2. BE IT RESOLVED, THAT THE SHAREHOLDERS OF Shr No vote FRANKLIN LIMITED DURATION INCOME TRUST (THE "FUND"), REQUESTS THAT THE BOARD OF TRUSTEES (THE "BOARD") CONSIDER 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 ..(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- FULL CIRCLE CAPITAL CORPORATION Agenda Number: 934486653 -------------------------------------------------------------------------------------------------------------------------- Security: 359671104 Meeting Type: Special Meeting Date: 31-Oct-2016 Ticker: FULL ISIN: US3596711040 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO APPROVE THE MERGER OF FULL CIRCLE Mgmt Split 80% For 17% Against 3% AbstainSplit CAPITAL CORPORATION WITH AND INTO GREAT ELM CAPITAL CORP. PER THE AGREEMENT AND PLAN OF MERGER, DATED AS OF JUNE 23, 2016, BY AND BETWEEN FULL CIRCLE CAPITAL CORPORATION AND GREAT ELM CAPITAL CORP. 2. TO APPROVE THE ADJOURNMENT OF THE FULL Mgmt Split 79% For 17% Against 4% AbstainSplit CIRCLE CAPITAL CORPORATION SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE FULL CIRCLE CAPITAL CORPORATION SPECIAL MEETING TO APPROVE THE FOREGOING PROPOSAL. -------------------------------------------------------------------------------------------------------------------------- GDL FD Agenda Number: 934572389 -------------------------------------------------------------------------------------------------------------------------- Security: 361570104 Meeting Type: Annual Meeting Date: 15-May-2017 Ticker: GDL ISIN: US3615701048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CLARENCE A. DAVIS Mgmt Split 94% For 6% Withheld Split ARTHUR V. FERRARA Mgmt Split 94% For 6% Withheld Split -------------------------------------------------------------------------------------------------------------------------- GDL FD Agenda Number: 934572391 -------------------------------------------------------------------------------------------------------------------------- Security: 361570302 Meeting Type: Annual Meeting Date: 15-May-2017 Ticker: GDLPRB ISIN: US3615703028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CLARENCE A. DAVIS Mgmt Split 96% For 4% Withheld Split ARTHUR V. FERRARA Mgmt Split 96% For 4% Withheld Split JAMES P. CONN Mgmt Split 96% For 4% Withheld Split 2. TO APPROVE AN AMENDMENT TO THE STATEMENT OF Mgmt Split 97% For 2% Against 1% AbstainSplit PREFERENCES TO EXTEND THE MANDATORY REDEMPTION DATE FROM MARCH 26, 2018 TO MARCH 26, 2020, AND TO ADD MARCH 26, 2018 AS A PUT RIGHT DATE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934536357 -------------------------------------------------------------------------------------------------------------------------- Security: 368802104 Meeting Type: Annual Meeting Date: 12-Apr-2017 Ticker: GAM ISIN: US3688021043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MR. BERENS Mgmt Split 53% For 47% Withheld Split MR. CULLMAN Mgmt Split 69% For 31% Withheld Split MR. DAVIDSON Mgmt Split 66% For 34% Withheld Split MS. DEL VILLAR Mgmt Split 71% For 29% Withheld Split MR. GORDAN Mgmt Split 67% For 33% Withheld Split MS. GOTBAUM Mgmt Split 69% For 31% Withheld Split MR. KNAFEL Mgmt Split 68% For 32% Withheld Split MR. PRIEST Mgmt Split 73% For 27% Withheld Split MR. SCHIRMER Mgmt Split 70% For 30% Withheld Split 2. RATIFICATION OF THE SELECTION OF ERNST & Mgmt Split 94% For 5% Against 1% AbstainSplit YOUNG LLP AS AUDITORS. -------------------------------------------------------------------------------------------------------------------------- GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934536369 -------------------------------------------------------------------------------------------------------------------------- Security: 368802401 Meeting Type: Annual Meeting Date: 12-Apr-2017 Ticker: GAMPRB ISIN: US3688024013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MR. ALTSCHUL Mgmt Split 92% For 8% Withheld Split MR. BERENS Mgmt Split 68% For 32% Withheld Split MR. CULLMAN Mgmt Split 92% For 8% Withheld Split MR. DAVIDSON Mgmt Split 91% For 9% Withheld Split MS. DEL VILLAR Mgmt Split 97% For 3% Withheld Split MR. GORDAN Mgmt Split 91% For 9% Withheld Split MS. GOTBAUM Mgmt Split 92% For 8% Withheld Split MR. KNAFEL Mgmt Split 92% For 8% Withheld Split MR. PRIEST Mgmt Split 97% For 3% Withheld Split MR. SCHIRMER Mgmt Split 92% For 8% Withheld Split MR. TROUBH Mgmt Split 92% For 8% Withheld Split 2. RATIFICATION OF THE SELECTION OF ERNST & Mgmt Split 98% For 1% Against 1% AbstainSplit YOUNG LLP AS AUDITORS. -------------------------------------------------------------------------------------------------------------------------- GLADSTONE INVESTMENT CORPORATION Agenda Number: 934452777 -------------------------------------------------------------------------------------------------------------------------- Security: 376546404 Meeting Type: Annual Meeting Date: 04-Aug-2016 Ticker: GAINN ISIN: US3765464041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR PAUL W. ADELGREN Mgmt For For DAVID GLADSTONE Mgmt For For JOHN H. OUTLAND Mgmt For For 2. TO APPROVE A PROPOSAL TO AUTHORIZE US, WITH Mgmt For For THE APPROVAL OF OUR BOARD OF DIRECTORS (THE "BOARD"), TO ISSUE AND SELL SHARES OF OUR COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LIMITATIONS SET FORTH IN THE ACCOMPANY PROXY STATEMENT. -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 934477490 -------------------------------------------------------------------------------------------------------------------------- Security: 007639107 Meeting Type: Annual Meeting Date: 28-Sep-2016 Ticker: AGC ISIN: US0076391079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS I TRUSTEE: MR. GERALD L. Mgmt Split 58% For 31% Against 11% AbstainSplit SEIZERT 1B. ELECTION OF CLASS I TRUSTEE: MR. DEREK Mgmt Split 58% For 31% Against 11% AbstainSplit MEDINA 1C. ELECTION OF CLASS I TRUSTEE: MR. RANDALL C. Mgmt Split 58% For 31% Against 11% AbstainSplit BARNES -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 934477503 -------------------------------------------------------------------------------------------------------------------------- Security: 00764C109 Meeting Type: Annual Meeting Date: 28-Sep-2016 Ticker: AVK ISIN: US00764C1099 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS I TRUSTEE: MR. GERALD L. Mgmt Split 72% For 27% Against 1% AbstainSplit SEIZERT 1B. ELECTION OF CLASS I TRUSTEE: MR. DEREK Mgmt Split 71% For 28% Against 1% AbstainSplit MEDINA 1C. ELECTION OF CLASS I TRUSTEE: MR. RANDALL C. Mgmt Split 72% For 27% Against 1% AbstainSplit BARNES -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 934477515 -------------------------------------------------------------------------------------------------------------------------- Security: 00765E104 Meeting Type: Annual Meeting Date: 28-Sep-2016 Ticker: LCM ISIN: US00765E1047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS III TRUSTEE: MR. GERALD Mgmt Split 55% For 25% Against 20% AbstainSplit L. SEIZERT 1B. ELECTION OF CLASS III TRUSTEE: MR. DEREK Mgmt Split 55% For 25% Against 20% AbstainSplit MEDINA 1C. ELECTION OF CLASS III TRUSTEE: MR. RANDALL Mgmt Split 55% For 25% Against 20% AbstainSplit C. BARNES -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 934464518 -------------------------------------------------------------------------------------------------------------------------- Security: 46131F101 Meeting Type: Annual Meeting Date: 26-Aug-2016 Ticker: VLT ISIN: US46131F1012 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR ALBERT R. DOWDEN Mgmt Split 74% For 26% Withheld Split ELI JONES Mgmt Split 73% For 27% Withheld Split PREMA MATHAI-DAVIS Mgmt Split 73% For 27% Withheld Split RAYMOND STICKEL, JR. Mgmt Split 74% For 26% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 934464506 -------------------------------------------------------------------------------------------------------------------------- Security: 46131H107 Meeting Type: Annual Meeting Date: 26-Aug-2016 Ticker: VVR ISIN: US46131H1077 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR ALBERT R. DOWDEN Mgmt Split 98% For 2% Withheld Split ELI JONES Mgmt Split 98% For 2% Withheld Split RAYMOND STICKEL, JR. Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 934464506 -------------------------------------------------------------------------------------------------------------------------- Security: 46132R104 Meeting Type: Annual Meeting Date: 26-Aug-2016 Ticker: VTA ISIN: US46132R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR ALBERT R. DOWDEN Mgmt Split 99% For 1% Withheld Split ELI JONES Mgmt Split 99% For 1% Withheld Split RAYMOND STICKEL, JR. Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- IVY HIGH INCOME OPPORTUNITIES Agenda Number: 934456395 -------------------------------------------------------------------------------------------------------------------------- Security: 465893105 Meeting Type: Annual Meeting Date: 10-Aug-2016 Ticker: IVH ISIN: US4658931054 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JAROLD W. BOETTCHER Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934641893 -------------------------------------------------------------------------------------------------------------------------- Security: 486606601 Meeting Type: Annual Meeting Date: 29-Jun-2017 Ticker: KYNPRF ISIN: US4866066016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. THE RATIFICATION OF THE SELECTION OF Mgmt No vote PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2017. -------------------------------------------------------------------------------------------------------------------------- KKR INCOME OPPORTUNITIES FUND Agenda Number: 934530494 -------------------------------------------------------------------------------------------------------------------------- Security: 48249T106 Meeting Type: Annual Meeting Date: 22-Mar-2017 Ticker: KIO ISIN: US48249T1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR SUZANNE DONOHOE Mgmt Split 96% For 4% Withheld Split JEFFREY L. ZLOT Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934439440 -------------------------------------------------------------------------------------------------------------------------- Security: 95766K109 Meeting Type: Special Meeting Date: 12-Aug-2016 Ticker: HIO ISIN: US95766K1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 94% For 3% Against 3% AbstainSplit ASKED TO APPROVE THE MERGER OF WESTERN ASSET MANAGED HIGH INCOME FUND INC. WITH AND INTO THE FUND IN ACCORDANCE WITH THE MARYLAND GENERAL CORPORATION LAW. 2B. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 93% For 3% Against 4% AbstainSplit ASKED TO APPROVE A FUNDAMENTAL INVESTMENT POLICY REGARDING SENIOR SECURITIES. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934504172 -------------------------------------------------------------------------------------------------------------------------- Security: 95768B107 Meeting Type: Annual Meeting Date: 16-Dec-2016 Ticker: HYI ISIN: US95768B1070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR LESLIE H. GELB Mgmt Split 95% For 5% Withheld Split WILLIAM R. HUTCHINSON Mgmt Split 95% For 5% Withheld Split JANE E. TRUST Mgmt Split 94% For 6% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934518537 -------------------------------------------------------------------------------------------------------------------------- Security: 95790J102 Meeting Type: Annual Meeting Date: 27-Jan-2017 Ticker: TLI ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR DANIEL P. CRONIN Mgmt No vote LESLIE H. GELB Mgmt No vote EILEEN A. KAMERICK Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934518121 -------------------------------------------------------------------------------------------------------------------------- Security: 95766K109 Meeting Type: Annual Meeting Date: 27-Jan-2017 Ticker: HIO ISIN: US95766K1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT D. AGDERN Mgmt No vote CAROL L. COLMAN Mgmt No vote DANIEL P. CRONIN Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934527473 -------------------------------------------------------------------------------------------------------------------------- Security: 52469B100 Meeting Type: Annual Meeting Date: 24-Feb-2017 Ticker: BWG ISIN: US52469B1008 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR LESLIE H. GELB Mgmt No vote JANE TRUST Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934527485 -------------------------------------------------------------------------------------------------------------------------- Security: 95790C107 Meeting Type: Annual Meeting Date: 24-Feb-2017 Ticker: GDO ISIN: US95790C1071 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CAROL L. COLMAN Mgmt No vote DANIEL P. CRONIN Mgmt No vote PAOLO M. CUCCHI Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- LEGG MASON PARTNERS CAPITAL AND INCOME Agenda Number: 934544037 -------------------------------------------------------------------------------------------------------------------------- Security: 50208A102 Meeting Type: Annual Meeting Date: 07-Apr-2017 Ticker: SCD ISIN: US50208A1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT D.AGDERN Mgmt Split 97% For 3% Withheld Split EILEEN A. KAMERICK Mgmt Split 96% For 4% Withheld Split RIORDAN ROETT Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LIBERTY ALL-STAR EQUITY FUND Agenda Number: 934458440 -------------------------------------------------------------------------------------------------------------------------- Security: 530158104 Meeting Type: Annual Meeting Date: 25-Aug-2016 Ticker: USA ISIN: US5301581048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN J. NEUHAUSER Mgmt Split 93% For 7% Withheld Split RICHARD C. RANTZOW Mgmt Split 93% For 7% Withheld Split 3. TO APPROVE A NEW PORTFOLIO MANAGEMENT Mgmt Split 91% For 7% Against 2% AbstainSplit AGREEMENT AMONG THE EQUITY FUND, ALPS ADVISORS, INC. AND SUSTAINABLE GROWTH ADVISERS, LP. -------------------------------------------------------------------------------------------------------------------------- LKQ ITALIA BONDCO S.P.A., MILANO Agenda Number: 707283331 -------------------------------------------------------------------------------------------------------------------------- Security: ADPV34665 Meeting Type: BOND Meeting Date: 25-Jul-2016 Ticker: ISIN: XS1395004580 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management CMMT PLEASE NOTE THAT THIS IS AN AMENDMENT TO Non-Voting MEETING ID 663967 AS THE MEETING IS FOR INFORMATION PURPOSE. ALL VOTES RECEIVED ON THE PREVIOUS MEETING WILL BE DISREGARDED. THANK YOU. CMMT PLEASE NOTE THAT THE SUB-CUSTODIANS ARE NOT Non-Voting OFFERING A PROXY VOTING SERVICE FOR THIS MEETING. PLEASE REFER THE NOTICE UNDER LINK : https://materials.proxyvote.com/Approved/99 999Z/19840101/NPS_292080.PDF FOR ADDITIONAL DETAILS CMMT PLEASE NOTE THAT THIS IS AN INFORMATIONAL Non-Voting MEETING, AS THERE ARE NO PROPOSALS TO BE VOTED ON. SHOULD YOU WISH TO ATTEND THE MEETING PERSONALLY, YOU MAY REQUEST AN ENTRANCE CARD. THANK YOU. 1 APPOINTMENT OF SECURITISATION SERVICES Non-Voting S.P.A. AS THE NOTEHOLDERS' REPRESENTATIVE PURSUANT TO ARTICLE 2415 AND 2417 OF THE ITALIAN CIVIL CODE -------------------------------------------------------------------------------------------------------------------------- MADISON COVERED CALL & EQUITY STRGY FUND Agenda Number: 934468225 -------------------------------------------------------------------------------------------------------------------------- Security: 557437100 Meeting Type: Annual Meeting Date: 08-Sep-2016 Ticker: MCN ISIN: US5574371002 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.A DIRECTOR STEVEN P. RIEGE Mgmt Split 60% For 40% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MADISON STRATEGIC SECTOR PREMIUM FUND Agenda Number: 934468237 -------------------------------------------------------------------------------------------------------------------------- Security: 558268108 Meeting Type: Annual Meeting Date: 08-Sep-2016 Ticker: MSP ISIN: US5582681087 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.B DIRECTOR KATHERINE L. FRANK Mgmt Split 55% For 45% Withheld Split JAMES R. IMHOFF, JR. Mgmt Split 55% For 45% Withheld Split 2. SHAREHOLDER PROPOSAL REGARDING SELF-TENDER Shr Split 52% For 46% Against 2% AbstainSplit OFFER. THE BOARD OF TRUSTEES RECOMMENDS A VOTE "AGAINST" THIS PROPOSAL. -------------------------------------------------------------------------------------------------------------------------- MFS CHARTER INCOME TRUST Agenda Number: 934474420 -------------------------------------------------------------------------------------------------------------------------- Security: 552727109 Meeting Type: Annual Meeting Date: 06-Oct-2016 Ticker: MCR ISIN: US5527271093 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR MAUREEN R. GOLDFARB Mgmt Split 80% For 20% Withheld Split ROBERT J. MANNING Mgmt Split 79% For 21% Withheld Split MARYANNE L. ROEPKE Mgmt Split 80% For 20% Withheld Split LAURIE J. THOMSEN Mgmt Split 80% For 20% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MFS MULTIMARKET INCOME TRUST Agenda Number: 934474420 -------------------------------------------------------------------------------------------------------------------------- Security: 552737108 Meeting Type: Annual Meeting Date: 06-Oct-2016 Ticker: MMT ISIN: US5527371083 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR MAUREEN R. GOLDFARB Mgmt Split 84% For 16% Withheld Split ROBERT J. MANNING Mgmt Split 84% For 16% Withheld Split MARYANNE L. ROEPKE Mgmt Split 84% For 16% Withheld Split LAURIE J. THOMSEN Mgmt Split 84% For 16% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMER MKTS DEBT FUND, INC. Agenda Number: 934427659 -------------------------------------------------------------------------------------------------------------------------- Security: 61744H105 Meeting Type: Annual Meeting Date: 27-Jul-2016 Ticker: MSD ISIN: US61744H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR FRANK L. BOWMAN Mgmt Split 94% For 6% Withheld Split JAKKI L. HAUSSLER Mgmt Split 94% For 6% Withheld Split JAMES F. HIGGINS Mgmt Split 94% For 6% Withheld Split MANUEL H. JOHNSON Mgmt Split 94% For 6% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY TRUSTS Agenda Number: 934427673 -------------------------------------------------------------------------------------------------------------------------- Security: 61745P874 Meeting Type: Annual Meeting Date: 27-Jul-2016 Ticker: ICB ISIN: US61745P8749 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR NANCY C. EVERETT Mgmt Split 68% For 32% Withheld Split JAKKI L. HAUSSLER Mgmt Split 67% For 33% Withheld Split MICHAEL F. KLEIN Mgmt Split 68% For 32% Withheld Split MICHAEL E. NUGENT Mgmt Split 68% For 32% Withheld Split W. ALLEN REED Mgmt Split 68% For 32% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NEUBERGER BERMAN HI/YLD STRATEGY Agenda Number: 934472298 -------------------------------------------------------------------------------------------------------------------------- Security: 64128C106 Meeting Type: Annual Meeting Date: 07-Sep-2016 Ticker: NHS ISIN: US64128C1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR FAITH COLISH Mgmt Split 93% For 7% Withheld Split MICHAEL J. COSGROVE Mgmt Split 94% For 6% Withheld Split DEBORAH C. MCLEAN Mgmt Split 93% For 7% Withheld Split TOM D. SEIP Mgmt Split 93% For 7% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NEUBERGER BERMAN REAL ESTATE SEC INC FD Agenda Number: 934472298 -------------------------------------------------------------------------------------------------------------------------- Security: 64190A103 Meeting Type: Annual Meeting Date: 07-Sep-2016 Ticker: NRO ISIN: US64190A1034 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR FAITH COLISH Mgmt Split 88% For 12% Withheld Split MICHAEL J. COSGROVE Mgmt Split 88% For 12% Withheld Split DEBORAH C. MCLEAN Mgmt Split 88% For 12% Withheld Split TOM D. SEIP Mgmt Split 88% For 12% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NEXPOINT FUNDS Agenda Number: 934621788 -------------------------------------------------------------------------------------------------------------------------- Security: 65340G205 Meeting Type: Annual Meeting Date: 02-Jun-2017 Ticker: NHF ISIN: US65340G2057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR DR. BOB FROEHLICH Mgmt Split 98% For 2% Withheld Split TIMOTHY K. HUI Mgmt Split 98% For 2% Withheld Split 2. TO APPROVE A CHANGE TO THE FUND'S Mgmt Split 96% For 3% Against 1% AbstainSplit FUNDAMENTAL POLICY REGARDING CONCENTRATION. -------------------------------------------------------------------------------------------------------------------------- NUVEEN DIVIDEND ADVANTAGE MUNICIPAL FD 3 Agenda Number: 934457018 -------------------------------------------------------------------------------------------------------------------------- Security: 67070X101 Meeting Type: Annual Meeting Date: 03-Aug-2016 Ticker: NZF ISIN: US67070X1019 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR JUDITH M. STOCKDALE Mgmt For For CAROLE E. STONE Mgmt For For MARGARET L. WOLFF Mgmt For For -------------------------------------------------------------------------------------------------------------------------- NUVEEN GLOBAL HIGH INCOME FUND Agenda Number: 934535595 -------------------------------------------------------------------------------------------------------------------------- Security: 67075G103 Meeting Type: Annual Meeting Date: 06-Apr-2017 Ticker: JGH ISIN: US67075G1031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR WILLIAM ADAMS IV Mgmt Split 97% For 3% Withheld Split DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split JOHN K. NELSON Mgmt Split 97% For 3% Withheld Split TERENCE J. TOTH Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN GLOBAL VALUE OPPORTUNITIES FUND Agenda Number: 934472678 -------------------------------------------------------------------------------------------------------------------------- Security: 6706EH103 Meeting Type: Annual Meeting Date: 16-Sep-2016 Ticker: JGV ISIN: US6706EH1033 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR WILLIAM C. HUNTER Mgmt Split 94% For 6% Withheld Split JUDITH M. STOCKDALE Mgmt Split 94% For 6% Withheld Split CAROLE E. STONE Mgmt Split 94% For 6% Withheld Split MARGARET L. WOLFF Mgmt Split 94% For 6% Withheld Split 2. TO APPROVE AN AGREEMENT AND PLAN OF MERGER Mgmt Split 98% For 1% Against 1% AbstainSplit PURSUANT TO WHICH NUVEEN GLOBAL EQUITY INCOME FUND (THE "TARGET FUND") WILL MERGE WITH AND INTO NNGEIF MERGER SUB, LLC, A MASSACHUSETTS LIMITED LIABILITY COMPANY AND A WHOLLY-OWNED SUBSIDIARY OF NUVEEN NWQ GLOBAL EQUITY INCOME FUND (THE "ACQUIRING FUND"), ... (DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL) 3. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 94% For 2% Against 4% AbstainSplit BETWEEN NUVEEN FUND ADVISORS, LLC AND NWQ INVESTMENT MANAGEMENT COMPANY, LLC WITH RESPECT TO NUVEEN GLOBAL EQUITY INCOME FUND. -------------------------------------------------------------------------------------------------------------------------- NUVEEN INVESTMENTS Agenda Number: 934456991 -------------------------------------------------------------------------------------------------------------------------- Security: 67074Q102 Meeting Type: Annual Meeting Date: 03-Aug-2016 Ticker: NBD ISIN: US67074Q1022 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR WILLIAM C. HUNTER Mgmt For For JUDITH M. STOCKDALE Mgmt For For CAROLE E. STONE Mgmt For For MARGARET L. WOLFF Mgmt For For -------------------------------------------------------------------------------------------------------------------------- NUVEEN INVESTMENTS Agenda Number: 934535608 -------------------------------------------------------------------------------------------------------------------------- Security: 670677103 Meeting Type: Annual Meeting Date: 06-Apr-2017 Ticker: NIQ ISIN: US6706771036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR WILLIAM ADAMS IV Mgmt Split 99% For 1% Withheld Split DAVID J. KUNDERT Mgmt Split 98% For 2% Withheld Split JOHN K. NELSON Mgmt Split 99% For 1% Withheld Split TERENCE J. TOTH Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN INVESTMENTS Agenda Number: 934535595 -------------------------------------------------------------------------------------------------------------------------- Security: 670735109 Meeting Type: Annual Meeting Date: 06-Apr-2017 Ticker: JLS ISIN: US6707351093 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR WILLIAM ADAMS IV Mgmt Split 98% For 2% Withheld Split DAVID J. KUNDERT Mgmt Split 98% For 2% Withheld Split JOHN K. NELSON Mgmt Split 98% For 2% Withheld Split TERENCE J. TOTH Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN INVESTMENTS Agenda Number: 934535595 -------------------------------------------------------------------------------------------------------------------------- Security: 67074R100 Meeting Type: Annual Meeting Date: 06-Apr-2017 Ticker: JMT ISIN: US67074R1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR WILLIAM ADAMS IV Mgmt Split 99% For 1% Withheld Split DAVID J. KUNDERT Mgmt Split 99% For 1% Withheld Split JOHN K. NELSON Mgmt Split 99% For 1% Withheld Split TERENCE J. TOTH Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN MUNICIPAL MARKET OPPORTUNITY FD Agenda Number: 934417583 -------------------------------------------------------------------------------------------------------------------------- Security: 67062W103 Meeting Type: Annual Meeting Date: 19-Aug-2016 Ticker: NMO ISIN: US67062W1036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR WILLIAM ADAMS IV Mgmt Split 88% For 12% Withheld Split JACK B. EVANS Mgmt Split 88% For 12% Withheld Split DAVID J. KUNDERT Mgmt Split 88% For 12% Withheld Split JOHN K. NELSON Mgmt Split 88% For 12% Withheld Split JUDITH M. STOCKDALE Mgmt Split 88% For 12% Withheld Split CAROLE E. STONE Mgmt Split 88% For 12% Withheld Split TERENCE J. TOTH Mgmt Split 88% For 12% Withheld Split MARGARET L. WOLFF Mgmt Split 88% For 12% Withheld Split 2. TO APPROVE AN AGREEMENT AND PLAN OF Mgmt Split 87% For 10% Against 3% AbstainSplit REORGANIZATION PURSUANT TO WHICH NUVEEN MUNICIPAL MARKET OPPORTUNITY FUND, INC. (THE "TARGET FUND") WOULD (I) TRANSFER SUBSTANTIALLY ALL OF ITS ASSETS TO NUVEEN AMT-FREE MUNICIPAL INCOME FUND (THE "ACQUIRING FUND") IN EXCHANGE SOLELY FOR NEWLY ISSUED COMMON ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 934535595 -------------------------------------------------------------------------------------------------------------------------- Security: 67073D102 Meeting Type: Annual Meeting Date: 06-Apr-2017 Ticker: JQC ISIN: US67073D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR WILLIAM ADAMS IV Mgmt For For DAVID J. KUNDERT Mgmt For For JOHN K. NELSON Mgmt For For TERENCE J. TOTH Mgmt For For -------------------------------------------------------------------------------------------------------------------------- NUVEEN SELECT QUALITY MUNI FD INC Agenda Number: 934419145 -------------------------------------------------------------------------------------------------------------------------- Security: 670973106 Meeting Type: Annual Meeting Date: 19-Aug-2016 Ticker: NQS ISIN: US6709731060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR WILLIAM ADAMS IV Mgmt Split 84% For 16% Withheld Split JACK B. EVANS Mgmt Split 84% For 16% Withheld Split DAVID J. KUNDERT Mgmt Split 84% For 16% Withheld Split JOHN K. NELSON Mgmt Split 84% For 16% Withheld Split JUDITH M. STOCKDALE Mgmt Split 84% For 16% Withheld Split CAROLE E. STONE Mgmt Split 84% For 16% Withheld Split TERENCE J. TOTH Mgmt Split 84% For 16% Withheld Split MARGARET L. WOLFF Mgmt Split 84% For 16% Withheld Split 2. TO APPROVE AN AGREEMENT AND PLAN OF Mgmt Split 83% For 15% Against 2% AbstainSplit REORGANIZATION PURSUANT TO WHICH NUVEEN SELECT QUALITY MUNICIPAL FUND, INC. (THE "TARGET FUND") WOULD (I) TRANSFER SUBSTANTIALLY ALL OF ITS ASSETS TO NUVEEN DIVIDEND ADVANTAGE MUNICIPAL FUND (THE "ACQUIRING FUND") IN EXCHANGE SOLELY FOR NEWLY ISSUED COMMON SHARES AND ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- PACHOLDER HIGH YIELD FUND, INC. Agenda Number: 934544114 -------------------------------------------------------------------------------------------------------------------------- Security: 693742108 Meeting Type: Annual Meeting Date: 10-May-2017 Ticker: PHF ISIN: US6937421088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO CONSIDER AND VOTE UPON A PROPOSAL THAT Mgmt Split 89% For 7% Against 4% AbstainSplit THE FUND BE LIQUIDATED AND DISSOLVED PURSUANT TO A PLAN OF LIQUIDATION AND DISSOLUTION. 2. DIRECTOR JOHN F. FINN Mgmt Split 87% For 13% Withheld Split DR. MATTHEW GOLDSTEIN Mgmt Split 86% For 14% Withheld Split FRANKIE D. HUGHES Mgmt Split 87% For 13% Withheld Split PETER C. MARSHALL Mgmt Split 86% For 14% Withheld Split MARY E. MARTINEZ Mgmt Split 87% For 13% Withheld Split MARILYN MCCOY Mgmt Split 87% For 13% Withheld Split MITCHELL M. MERIN Mgmt Split 87% For 13% Withheld Split DR. ROBERT A. ODEN, JR. Mgmt Split 86% For 14% Withheld Split MARIAN U. PARDO Mgmt Split 87% For 13% Withheld Split FREDERICK W. RUEBECK Mgmt Split 86% For 14% Withheld Split JAMES J. SCHONBACHLER Mgmt Split 87% For 13% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PACIFIC EXPLORATION & PRODUCTION CORP. Agenda Number: 934606700 -------------------------------------------------------------------------------------------------------------------------- Security: 69423W889 Meeting Type: Annual Meeting Date: 31-May-2017 Ticker: PEGFF ISIN: CA69423W8896 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 TO SET THE NUMBER OF DIRECTORS AT 6. Mgmt For For 02 DIRECTOR LUIS FERNANDO ALARCON Mgmt For For W. ELLIS ARMSTRONG Mgmt For For GABRIEL DE ALBA Mgmt For For RAYMOND BROMARK Mgmt For For RUSSELL FORD Mgmt For For CAMILO MARULANDA Mgmt For For 03 APPOINTMENT OF ERNST & YOUNG LLP AS Mgmt For For AUDITORS OF THE CORPORATION FOR THE ENSUING YEAR AND AUTHORIZING THE DIRECTORS TO FIX THEIR REMUNERATION. -------------------------------------------------------------------------------------------------------------------------- PIMCO Agenda Number: 934551323 -------------------------------------------------------------------------------------------------------------------------- Security: 72202D106 Meeting Type: Annual Meeting Date: 28-Apr-2017 Ticker: PCI ISIN: US72202D1063 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HANS W. KERTESS Mgmt Split 98% For 2% Withheld * ALAN RAPPAPORT Mgmt Split 98% For 2% Withheld * WILLIAM B. OGDEN, IV Mgmt Split 98% For 2% Withheld * -------------------------------------------------------------------------------------------------------------------------- PIONEER FLOATING RATE TRUST Agenda Number: 934466649 -------------------------------------------------------------------------------------------------------------------------- Security: 72369J102 Meeting Type: Annual Meeting Date: 20-Sep-2016 Ticker: PHD ISIN: US72369J1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR DAVID R. BOCK Mgmt Split 99% For 1% Withheld * LISA M. JONES Mgmt Split 98% For 2% Withheld * LORRAINE H. MONCHAK Mgmt Split 98% For 2% Withheld * -------------------------------------------------------------------------------------------------------------------------- PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 934521142 -------------------------------------------------------------------------------------------------------------------------- Security: 74433A109 Meeting Type: Annual Meeting Date: 10-Mar-2017 Ticker: GHY ISIN: US74433A1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR KEVIN J. BANNON Mgmt Split 98% For 2% Withheld Split KEITH F. HARTSTEIN Mgmt Split 98% For 2% Withheld Split STEPHEN G. STONEBURN Mgmt Split 98% For 2% Withheld Split GRACE C. TORRES Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PUTNAM PREMIER INCOME TRUST Agenda Number: 934560637 -------------------------------------------------------------------------------------------------------------------------- Security: 746853100 Meeting Type: Annual Meeting Date: 28-Apr-2017 Ticker: PPT ISIN: US7468531006 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. FIXING THE NUMBER OF TRUSTEES AT 12. Mgmt Split 94% For 5% Against 1% AbstainSplit 1B. DIRECTOR LIAQUAT AHAMED Mgmt Split 93% For 7% Withheld Split RAVI AKHOURY Mgmt Split 93% For 7% Withheld Split BARBARA M. BAUMANN Mgmt Split 93% For 7% Withheld Split JAMESON A. BAXTER Mgmt Split 96% For 4% Withheld Split KATINKA DOMOTORFFY Mgmt Split 93% For 7% Withheld Split CATHARINE HILL Mgmt Split 93% For 7% Withheld Split PAUL L. JOSKOW Mgmt Split 93% For 7% Withheld Split KENNETH R. LEIBLER Mgmt Split 93% For 7% Withheld Split ROBERT E. PATTERSON Mgmt Split 93% For 7% Withheld Split GEORGE PUTNAM, III Mgmt Split 96% For 4% Withheld Split ROBERT L. REYNOLDS Mgmt Split 93% For 7% Withheld Split MANOJ SINGH Mgmt Split 93% For 7% Withheld Split 2. APPROVAL OF THE CONVERSION OF YOUR FUND Shr Split 17% For 80% Against 3% AbstainSplit FROM CLOSED-END TO OPEN-END STATUS AND CERTAIN RELATED AMENDMENTS TO YOUR FUND'S DECLARATION OF TRUST. -------------------------------------------------------------------------------------------------------------------------- ROYCE FUNDS Agenda Number: 934466473 -------------------------------------------------------------------------------------------------------------------------- Security: 78081T104 Meeting Type: Annual Meeting Date: 19-Sep-2016 Ticker: RGT ISIN: US78081T1043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR PATRICIA W. CHADWICK Mgmt Split 96% For 4% Withheld Split ARTHUR S. MEHLMAN Mgmt Split 96% For 4% Withheld Split MICHAEL K. SHIELDS Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ROYCE VALUE TRUST, INC. Agenda Number: 934466461 -------------------------------------------------------------------------------------------------------------------------- Security: 780910105 Meeting Type: Annual Meeting Date: 19-Sep-2016 Ticker: RVT ISIN: US7809101055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR PATRICIA W. CHADWICK Mgmt Split 96% For 4% Withheld Split ARTHUR S. MEHLMAN Mgmt Split 97% For 3% Withheld Split MICHAEL K. SHIELDS Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- SANDRIDGE ENERGY, INC. Agenda Number: 934617929 -------------------------------------------------------------------------------------------------------------------------- Security: 80007P869 Meeting Type: Annual Meeting Date: 15-Jun-2017 Ticker: SD ISIN: US80007P8692 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF DIRECTOR: JAMES D. BENNETT Mgmt For For 1B. ELECTION OF DIRECTOR: MICHAEL L. BENNETT Mgmt For For 1C. ELECTION OF DIRECTOR: JOHN V. GENOVA Mgmt For For 1D. ELECTION OF DIRECTOR: WILLIAM M. GRIFFIN, Mgmt For For JR. 1E. ELECTION OF DIRECTOR: DAVID J. KORNDER Mgmt For For 2. RATIFY THE SELECTION OF Mgmt For For PRICEWATERHOUSECOOPERS LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. 3. APPROVE, IN A NON-BINDING VOTE, THE Mgmt Against Against COMPENSATION PROVIDED TO THE COMPANY'S NAMED EXECUTIVE OFFICERS. 4. RECOMMEND, IN A NON-BINDING VOTE, WHETHER A Mgmt 1 Year For NON-BINDING STOCKHOLDER VOTE TO APPROVE THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS SHOULD OCCUR EVERY ONE, TWO OR THREE YEARS. -------------------------------------------------------------------------------------------------------------------------- SPROTT FUNDS Agenda Number: 934469746 -------------------------------------------------------------------------------------------------------------------------- Security: 85208J109 Meeting Type: Annual Meeting Date: 20-Sep-2016 Ticker: FUND ISIN: US85208J1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL W. CLARK Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- TEMPLETON EMERGING MKTS INCOME FUND Agenda Number: 934517840 -------------------------------------------------------------------------------------------------------------------------- Security: 880192109 Meeting Type: Annual Meeting Date: 01-Mar-2017 Ticker: TEI ISIN: US8801921094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HARRIS J. ASHTON Mgmt Split 96% For 4% Withheld Split EDITH E. HOLIDAY Mgmt Split 96% For 4% Withheld Split J. MICHAEL LUTTIG Mgmt Split 96% For 4% Withheld Split C.D. TSERETOPOULOS Mgmt Split 96% For 4% Withheld Split MARY C. CHOKSI Mgmt Split 96% For 4% Withheld Split 2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 97% For 2% Against 1% AbstainSplit PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FUND FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. -------------------------------------------------------------------------------------------------------------------------- TEMPLETON GLOBAL INCOME FUND Agenda Number: 934517852 -------------------------------------------------------------------------------------------------------------------------- Security: 880198106 Meeting Type: Annual Meeting Date: 01-Mar-2017 Ticker: GIM ISIN: US8801981064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR EDITH E. HOLIDAY Mgmt Split 97% For 3% Withheld Split J. MICHAEL LUTTIG Mgmt Split 98% For 2% Withheld Split C.D. TSERETOPOULOS Mgmt Split 97% For 3% Withheld Split MARY C. CHOKSI Mgmt Split 98% For 2% Withheld Split 2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 98% For 1% Against 1% AbstainSplit PRICEWATERHOUSECOOPERS LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FUND FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. -------------------------------------------------------------------------------------------------------------------------- THE BROOKFIELD INVESTMENT FUNDS Agenda Number: 934461497 -------------------------------------------------------------------------------------------------------------------------- Security: 112792106 Meeting Type: Special Meeting Date: 16-Sep-2016 Ticker: BOI ISIN: US1127921062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO CONSIDER AND VOTE UPON THE PROPOSED Mgmt Split 86% For 13% Against 1% AbstainSplit REORGANIZATION OF THE FUND INTO BROOKFIELD REAL ASSETS INCOME FUND INC., A NEWLY ORGANIZED MARYLAND CORPORATION. 2. TO CONSIDER AND VOTE UPON THE APPOINTMENT Mgmt Split 94% For 4% Against 2% AbstainSplit OF SCHRODER INVESTMENT MANAGEMENT NORTH AMERICA INC. AS SUB-ADVISER. -------------------------------------------------------------------------------------------------------------------------- THE BROOKFIELD INVESTMENT FUNDS Agenda Number: 934493230 -------------------------------------------------------------------------------------------------------------------------- Security: 112792106 Meeting Type: Special Meeting Date: 18-Nov-2016 Ticker: BOI ISIN: US1127921062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. TO CONSIDER AND VOTE UPON THE PROPOSED Mgmt For For REORGANIZATION OF THE FUND INTO BROOKFIELD REAL ASSETS INCOME FUND INC., A NEWLY ORGANIZED MARYLAND CORPORATION. -------------------------------------------------------------------------------------------------------------------------- THE ZWEIG FUND, INC. Agenda Number: 934513525 -------------------------------------------------------------------------------------------------------------------------- Security: 989834A05 Meeting Type: Special Meeting Date: 31-Jan-2017 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR WILLIAM R. MOYER Mgmt Split 87% For 13% Withheld Split -------------------------------------------------------------------------------------------------------------------------- THE ZWEIG FUND, INC. Agenda Number: 934513537 -------------------------------------------------------------------------------------------------------------------------- Security: 989834205 Meeting Type: Special Meeting Date: 31-Jan-2017 Ticker: ZF ISIN: US9898342053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. TO APPROVE A NEW INVESTMENT ADVISORY Mgmt Split 85% For 7% Against 8% AbstainSplit AGREEMENT BETWEEN THE FUND AND VIRTUS INVESTMENT ADVISERS, INC. ("VIA"). 1B. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 85% For 7% Against 8% AbstainSplit BETWEEN VIA AND DUFF & PHELPS INVESTMENT MANAGEMENT, CO. 1C. TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt Split 85% For 7% Against 8% AbstainSplit BETWEEN VIA AND NEWFLEET ASSET MANAGEMENT, LLC. -------------------------------------------------------------------------------------------------------------------------- THE ZWEIG FUND, INC. Agenda Number: 934528906 -------------------------------------------------------------------------------------------------------------------------- Security: 989834205 Meeting Type: Special Meeting Date: 07-Mar-2017 Ticker: ZF ISIN: US9898342053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2. TO APPROVE THE ISSUANCE OF ADDITIONAL Mgmt For For SHARES OF COMMON STOCK OF THE ZWEIG FUND, INC. IN CONNECTION WITH THE AGREEMENT AND PLAN OF REORGANIZATION. -------------------------------------------------------------------------------------------------------------------------- THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 934492783 -------------------------------------------------------------------------------------------------------------------------- Security: 989837208 Meeting Type: Special Meeting Date: 18-Nov-2016 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A) TO APPROVE A NEW INVESTMENT ADVISORY Mgmt For For AGREEMENT BETWEEN THE FUND AND VIRTUS INVESTMENT ADVISERS, INC. ("VIA"). 1B) TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt For For BETWEEN VIA AND KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC. 1C) TO APPROVE A NEW SUB-ADVISORY AGREEMENT Mgmt For For BETWEEN VIA AND NEWFLEET ASSET MANAGEMENT, LLC. -------------------------------------------------------------------------------------------------------------------------- THE ZWEIG TOTAL RETURN FUND, INC. Agenda Number: 934492771 -------------------------------------------------------------------------------------------------------------------------- Security: 989837A00 Meeting Type: Special Meeting Date: 18-Nov-2016 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR WILLIAM R. MOYER Mgmt For For -------------------------------------------------------------------------------------------------------------------------- TRI-CONTINENTAL CORPORATION Agenda Number: 934546372 -------------------------------------------------------------------------------------------------------------------------- Security: 895436103 Meeting Type: Annual Meeting Date: 19-Apr-2017 Ticker: TY ISIN: US8954361031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR PATRICIA M. FLYNN Mgmt Split 74% For 26% Withheld Split CATHERINE JAMES PAGLIA Mgmt Split 74% For 26% Withheld Split WILLIAM A. HAWKINS Mgmt Split 74% For 26% Withheld Split 2. TO RATIFY THE SELECTION OF Mgmt Split 87% For 12% Against 1% AbstainSplit PRICEWATERHOUSECOOPERS LLP AS THE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM. -------------------------------------------------------------------------------------------------------------------------- VIRTUS INVESTMENT PARTNERS Agenda Number: 934469342 -------------------------------------------------------------------------------------------------------------------------- Security: 92829B101 Meeting Type: Special Meeting Date: 16-Sep-2016 Ticker: VGI ISIN: US92829B1017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR BRIAN T. ZINO Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VIRTUS MUTUAL FUNDS Agenda Number: 934618010 -------------------------------------------------------------------------------------------------------------------------- Security: 92837G100 Meeting Type: Annual Meeting Date: 06-Jun-2017 Ticker: ZF ISIN: US92837G1004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR R. KEITH WALTON Mgmt Split 90% For 10% Withheld Split BRIAN T. ZINO Mgmt Split 90% For 10% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA EMERGING MKTS HIGH DIV EQUITY FUND Agenda Number: 934425605 -------------------------------------------------------------------------------------------------------------------------- Security: 92912P108 Meeting Type: Annual Meeting Date: 07-Jul-2016 Ticker: IHD ISIN: US92912P1084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN V. BOYER Mgmt Split 58% For 42% Withheld Split PATRICIA W. CHADWICK Mgmt Split 58% For 42% Withheld Split SHERYL K. PRESSLER Mgmt Split 58% For 42% Withheld Split CHRISTOPHER P. SULLIVAN Mgmt Split 58% For 42% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA PRIME RATE TRUST Agenda Number: 934424627 -------------------------------------------------------------------------------------------------------------------------- Security: 92913A100 Meeting Type: Annual Meeting Date: 07-Jul-2016 Ticker: PPR ISIN: US92913A1007 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR COLLEEN D. BALDWIN Mgmt Split 97% For 3% Withheld Split JOHN V. BOYER Mgmt Split 97% For 3% Withheld Split PATRICIA W. CHADWICK Mgmt Split 97% For 3% Withheld Split PETER S. DROTCH Mgmt Split 97% For 3% Withheld Split MARTIN J. GAVIN Mgmt Split 97% For 3% Withheld Split RUSSELL H. JONES Mgmt Split 97% For 3% Withheld Split PATRICK W. KENNY Mgmt Split 97% For 3% Withheld Split JOSEPH E. OBERMEYER Mgmt Split 98% For 2% Withheld Split SHERYL K. PRESSLER Mgmt Split 97% For 3% Withheld Split CHRISTOPHER P. SULLIVAN Mgmt Split 97% For 3% Withheld Split ROGER B. VINCENT Mgmt Split 97% For 3% Withheld Split SHAUN P. MATHEWS Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WELLS FARGO ADVANTAGE FUNDS Agenda Number: 934458793 -------------------------------------------------------------------------------------------------------------------------- Security: 94987B105 Meeting Type: Annual Meeting Date: 08-Aug-2016 Ticker: EAD ISIN: US94987B1052 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR PETER G. GORDON Mgmt For For TIMOTHY J. PENNY Mgmt For For MICHAEL S. SCOFIELD Mgmt For For -------------------------------------------------------------------------------------------------------------------------- WELLS FARGO ADVANTAGE FUNDS Agenda Number: 934520328 -------------------------------------------------------------------------------------------------------------------------- Security: 94987D101 Meeting Type: Annual Meeting Date: 06-Feb-2017 Ticker: ERC ISIN: US94987D1019 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ISAIAH HARRIS, JR. Mgmt Split 96% For 4% Withheld Split DAVID F. LARCKER Mgmt Split 96% For 4% Withheld Split OLIVIA S. MITCHELL Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET CLAYMORE FUNDS Agenda Number: 934587099 -------------------------------------------------------------------------------------------------------------------------- Security: 95766Q106 Meeting Type: Annual Meeting Date: 01-May-2017 Ticker: WIA ISIN: US95766Q1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS II TRUSTEE: RONALD A. Mgmt Split 78% For 22% Abstain Split NYBERG -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MARKETS INCOME FD Agenda Number: 934478238 -------------------------------------------------------------------------------------------------------------------------- Security: 95766E103 Meeting Type: Annual Meeting Date: 30-Sep-2016 Ticker: EMD ISIN: US95766E1038 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CAROL L. COLMAN Mgmt No vote DANIEL P. CRONIN Mgmt No vote WILLIAM R. HUTCHINSON Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MARKETS INCOME FD Agenda Number: 934486526 -------------------------------------------------------------------------------------------------------------------------- Security: 95766E103 Meeting Type: Special Meeting Date: 12-Dec-2016 Ticker: EMD ISIN: US95766E1038 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 82% For 16% Against 2% AbstainSplit ASKED TO APPROVE THE MERGER OF THE FUND WITH AND INTO WESTERN ASSET EMERGING MARKETS DEBT FUND INC. IN ACCORDANCE WITH THE MARYLAND GENERAL CORPORATION LAW. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 934486538 -------------------------------------------------------------------------------------------------------------------------- Security: 95766A101 Meeting Type: Special Meeting Date: 12-Dec-2016 Ticker: ESD ISIN: US95766A1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.A THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 91% For 6% Against 3% AbstainSplit ASKED TO APPROVE THE MERGER OF WESTERN ASSET EMERGING MARKETS INCOME FUND INC. WITH AND INTO THE FUND IN ACCORDANCE WITH THE MARYLAND GENERAL CORPORATION LAW. 1.B THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 91% For 6% Against 3% AbstainSplit ASKED TO APPROVE THE MERGER OF WESTERN ASSET WORLDWIDE INCOME FUND INC. WITH AND INTO THE FUND IN ACCORDANCE WITH THE MARYLAND GENERAL CORPORATION LAW. 2. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 91% For 6% Against 3% AbstainSplit ASKED TO APPROVE THE AMENDMENT OF THE FUND'S PRIMARY INVESTMENT OBJECTIVE TO HIGH CURRENT INCOME AND ITS SECONDARY INVESTMENT OBJECTIVE TO CAPITAL APPRECIATION. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 934574167 -------------------------------------------------------------------------------------------------------------------------- Security: 95766A101 Meeting Type: Annual Meeting Date: 28-Apr-2017 Ticker: EMD ISIN: US95766A1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT D.AGDERN Mgmt Split 97% For 3% Withheld Split EILEEN A. KAMERICK Mgmt Split 97% For 3% Withheld Split RIORDAN ROETT Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET MANAGED HIGH FUND Agenda Number: 934439438 -------------------------------------------------------------------------------------------------------------------------- Security: 95766L107 Meeting Type: Special Meeting Date: 12-Aug-2016 Ticker: MHY ISIN: US95766L1070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 89% For 7% Against 4% AbstainSplit ASKED TO APPROVE THE MERGER OF THE FUND WITH AND INTO WESTERN ASSET HIGH INCOME OPPORTUNITY FUND INC. IN ACCORDANCE WITH THE MARYLAND GENERAL CORPORATION LAW. 2A. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 88% For 8% Against 4% AbstainSplit ASKED TO APPROVE A FUNDAMENTAL INVESTMENT POLICY REGARDING SENIOR SECURITIES. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET WORLDWIDE INCOME FUND INC. Agenda Number: 934486540 -------------------------------------------------------------------------------------------------------------------------- Security: 957668106 Meeting Type: Special Meeting Date: 12-Dec-2016 Ticker: SBW ISIN: US9576681061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. THE STOCKHOLDERS OF THE FUND ARE BEING Mgmt Split 90% For 8% Against 2% AbstainSplit ASKED TO APPROVE THE MERGER OF THE FUND WITH AND INTO WESTERN ASSET EMERGING MARKETS DEBT FUND INC. IN ACCORDANCE WITH THE MARYLAND GENERAL CORPORATION LAW. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 934587102 -------------------------------------------------------------------------------------------------------------------------- Security: 95766R104 Meeting Type: Annual Meeting Date: 01-May-2017 Ticker: WIW ISIN: US95766R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS I TRUSTEE: MICHAEL LARSON Mgmt Split 79% For 21% Abstain 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 08/28/2017