N-PX 1 BRDB5F_0001370177_2018.txt BRDB5F_0001370177_2018 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER: 811-21934 NAME OF REGISTRANT: RiverNorth Funds ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 325 N Lasalle St. Suite 645 Chicago, IL 60654 NAME AND ADDRESS OF AGENT FOR SERVICE: Marc L. Collins 325 North LaSalle Street, Suite 645 Chicago, IL 60654 REGISTRANT'S TELEPHONE NUMBER: 312 832 1440 DATE OF FISCAL YEAR END: 09/30 DATE OF REPORTING PERIOD: 07/01/2017 - 06/30/2018 All proxies required to be voted proportionally were done so. Some matters had too few votes for (or against) a proposal to equal more than 1% RiverNorth -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMERGING MKTS Agenda Number: 934631056 -------------------------------------------------------------------------------------------------------------------------- Security: 617477104 Meeting Type: Annual Meeting Date: 03-Aug-2017 Ticker: EDD ISIN: US6174771047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR KATHLEEN A. DENNIS Mgmt Split 95% For 5% Withheld Split JOSEPH J. KEARNS Mgmt Split 95% For 5% Withheld Split MICHAEL E. NUGENT Mgmt Split 95% For 5% Withheld Split FERGUS REID Mgmt Split 95% For 5% Withheld Split PATRICIA MALESKI Mgmt Split 95% For 5% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMERGING MKTS Agenda Number: 934825831 -------------------------------------------------------------------------------------------------------------------------- Security: 617477104 Meeting Type: Annual Meeting Date: 21-Jun-2018 Ticker: EDD ISIN: US6174771047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Nancy C. Everett Mgmt No vote Michael F. Klein Mgmt No vote W. Allen Reed Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 934729899 -------------------------------------------------------------------------------------------------------------------------- Security: 003009107 Meeting Type: Annual Meeting Date: 29-Mar-2018 Ticker: FAX ISIN: US0030091070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of class III Director: Martin J. Mgmt Split 80% For 19% Against 1% AbstainSplit Gilbert -------------------------------------------------------------------------------------------------------------------------- ADAMS DIVERSIFIED EQUITY FUND, INC. Agenda Number: 934730537 -------------------------------------------------------------------------------------------------------------------------- Security: 006212104 Meeting Type: Annual Meeting Date: 19-Apr-2018 Ticker: ADX ISIN: US0062121043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Enrique R. Arzac Mgmt Split 88% For 12% Withheld Split Kenneth J. Dale Mgmt Split 89% For 11% Withheld Split Frederic A. Escherich Mgmt Split 89% For 11% Withheld Split Roger W. Gale Mgmt Split 88% For 12% Withheld Split Lauriann C. Kloppenburg Mgmt Split 89% For 11% Withheld Split Kathleen T. McGahran Mgmt Split 89% For 11% Withheld Split Craig R. Smith Mgmt Split 88% For 12% Withheld Split Mark E. Stoeckle Mgmt Split 89% For 11% Withheld Split 2. The selection of PricewaterhouseCoopers LLP Mgmt Split 98% For 1% Against 1% AbstainSplit as independent public auditors. -------------------------------------------------------------------------------------------------------------------------- ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD Agenda Number: 934734826 -------------------------------------------------------------------------------------------------------------------------- Security: 01879R106 Meeting Type: Annual Meeting Date: 28-Mar-2018 Ticker: AWF ISIN: US01879R1068 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Marshall C. Turner, Jr. Mgmt Split 97% For 3% Withheld Split Garry L. Moody Mgmt Split 97% For 3% Withheld Split Earl D. Weiner Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ALLIANCEBERNSTEIN NAT MUNI INCOME FD INC Agenda Number: 934734826 -------------------------------------------------------------------------------------------------------------------------- Security: 01864U106 Meeting Type: Annual Meeting Date: 28-Mar-2018 Ticker: AFB ISIN: US01864U1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Marshall C. Turner, Jr. Mgmt Split 92% For 8% Withheld Split Garry L. Moody Mgmt Split 92% For 8% Withheld Split Earl D. Weiner Mgmt Split 92% For 8% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI DIVERSIFIED INCOME & CONVERT Agenda Number: 934642275 -------------------------------------------------------------------------------------------------------------------------- Security: 01883J108 Meeting Type: Annual Meeting Date: 13-Jul-2017 Ticker: ACV ISIN: US01883J1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR A. DOUGLAS EU Mgmt Split 98% For 2% Withheld * F. FORD DRUMMOND Mgmt Split 98% For 2% Withheld * JAMES S. MACLEOD Mgmt Split 98% For 2% Withheld * -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI EQUITY & CONVERTIBLE INCOME Agenda Number: 934642251 -------------------------------------------------------------------------------------------------------------------------- Security: 018829101 Meeting Type: Annual Meeting Date: 13-Jul-2017 Ticker: NIE ISIN: US0188291019 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HANS W. KERTESS Mgmt Split 86% For 14% Withheld Split WILLIAM B. OGDEN, IV Mgmt Split 86% For 14% Withheld Split ALAN RAPPAPORT Mgmt Split 87% For 13% Withheld Split DAVEY S. SCOON Mgmt Split 86% For 14% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST Agenda Number: 934642263 -------------------------------------------------------------------------------------------------------------------------- Security: 01883A107 Meeting Type: Annual Meeting Date: 13-Jul-2017 Ticker: NFJ ISIN: US01883A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR F. FORD DRUMMOND Mgmt Split 97% For 3% Withheld * ALAN RAPPAPORT Mgmt Split 97% For 3% Withheld * DAVEY S. SCOON Mgmt Split 97% For 3% Withheld * -------------------------------------------------------------------------------------------------------------------------- ALPINE TOTAL DYNAMIC DIVIDEND FUND Agenda Number: 934719420 -------------------------------------------------------------------------------------------------------------------------- Security: 021060207 Meeting Type: Special Meeting Date: 14-Mar-2018 Ticker: AOD ISIN: US0210602076 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a new investment advisory Mgmt No vote agreement between the Fund and Aberdeen Asset Managers Limited. 2. DIRECTOR John Sievwright Mgmt No vote P. Gerald Malone Mgmt No vote Nancy Yao Maasbach Mgmt No vote Martin Gilbert Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- ANDINA ACQUISITION CORP II Agenda Number: 934690860 -------------------------------------------------------------------------------------------------------------------------- Security: G0441P104 Meeting Type: Special Meeting Date: 31-Oct-2017 Ticker: ANDA ISIN: KYG0441P1046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. EXTENSION OF CORPORATE LIFE: AMEND THE Mgmt For For COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE THAT THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION TO FEBRUARY 1, 2018 1A. ONLY IF YOU HOLD ORDINARY SHARES OF THE Mgmt Against COMPANY ISSUED IN THE COMPANY'S INITIAL PUBLIC OFFERING, OR PUBLIC SHARES, MAY YOU EXERCISE YOUR CONVERSION RIGHTS WITH RESPECT TO ALL OR A PORTION OF YOUR PUBLIC SHARES BY MARKING THE "FOR" BOX BELOW AND INDICATING HOW MANY PUBLIC ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- ANDINA ACQUISITION CORP II Agenda Number: 934720435 -------------------------------------------------------------------------------------------------------------------------- Security: G0441P104 Meeting Type: Special Meeting Date: 31-Jan-2018 Ticker: ANDA ISIN: KYG0441P1046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life. Amend the Mgmt For For Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination to April 1, 2018. 1a. TO CONVERT ORDINARY SHARES OF THE COMPANY Mgmt Against -------------------------------------------------------------------------------------------------------------------------- ANDINA ACQUISITION CORP II Agenda Number: 934730068 -------------------------------------------------------------------------------------------------------------------------- Security: G0441P104 Meeting Type: Special Meeting Date: 15-Mar-2018 Ticker: ANDA ISIN: KYG0441P1046 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. The merger of Andina with and into Andina Mgmt For For II Holdco Corp. ("Holdco"), with Holdco surviving and becoming a new public company. 1B. The subsequent merger of Andina II Merger Mgmt For For Sub Inc. with and into Lazy Days' R.V. Center, Inc. ("Lazydays"), with Lazydays surviving and becoming a direct wholly owned subsidiary of Holdco. 1C. I HEREBY EXERCISE MY CONVERSION RIGHTS. Mgmt For 2A. Class A Director to serve until 2019: Mgmt For For Jordan Gnat 2B. Class B Director to serve until 2020: Bryan Mgmt For For Rich, Jr. 2C. Class B Director to serve until 2020: Jerry Mgmt For For Comstock 2D. Class B Director to serve until 2020: B. Mgmt For For Luke Weil 2E. Class C Director to serve until 2021: Mgmt For For William Murnane 2F. Class C Director to serve until 2021: Mgmt For For Christopher S. Shackelton 2G. Class C Director to serve until 2021: Jim Mgmt For For Fredlake 3A. To approve the following material Mgmt For For differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: The name of the new public entity will be "Lazydays Holdings, Inc." as opposed to "Andina Acquisition Corp. II". 3B. To approve the following material Mgmt For For differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco will have 100,000,000 authorized shares of common stock and 5,000,000 authorized shares of preferred stock, as opposed to Andina having 100,000,000 authorized ordinary shares and 1,000,000 authorized preferred share 3C. To approve the following material Mgmt For For differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco's corporate existence will be perpetual as opposed to Andina's corporate existence terminating if a business combination is not consummated by Andina within a specified period of time. 3D. To approve the following material Mgmt For For differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco's constitutional documents will not include the various provisions applicable only to special purpose acquisition corporations that Andina's amended and restated memorandum and articles of association contains 4. To approve the adoption of the Holdco 2018 Mgmt For For Long-Term Incentive Equity Plan. 5. To approve the sale of convertible Mgmt For For preferred stock, common stock, and warrants of Holdco for an aggregate purchase price of $94.8 million in private placements which will close simultaneously with the consummation of the mergers. 6. To adjourn the extraordinary general Mgmt For For meeting to a later date or dates, if necessary, if Andina is unable to consummate the mergers for any reason. -------------------------------------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION Agenda Number: 934771177 -------------------------------------------------------------------------------------------------------------------------- Security: 04010L103 Meeting Type: Annual Meeting Date: 14-May-2018 Ticker: ARCC ISIN: US04010L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Class II Director: Steve Mgmt Split 66% For 33% Against 1% AbstainSplit Bartlett 1b. Election of Class II Director: Robert L. Mgmt Split 56% For 43% Against 1% AbstainSplit Rosen 1c. Election of Class II Director: Bennett Mgmt Split 65% For 34% Against 1% AbstainSplit Rosenthal 2. To ratify the selection of KPMG LLP as the Mgmt Split 98% For 2% Against Split Company's independent registered public accounting firm for the year ending December 31, 2018. -------------------------------------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION Agenda Number: 934768358 -------------------------------------------------------------------------------------------------------------------------- Security: 04010L103 Meeting Type: Special Meeting Date: 14-May-2018 Ticker: ARCC ISIN: US04010L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 To authorize the Company, with the approval Mgmt Split 86% For 13% Against 1% AbstainSplit of its board of directors, to sell or otherwise issue shares of its common stock at a price below its then current net asset value per share subject to the limitations set forth in the proxy statement for the special meeting of stockholders. -------------------------------------------------------------------------------------------------------------------------- ARES DYNAMIC Agenda Number: 934807302 -------------------------------------------------------------------------------------------------------------------------- Security: 04014F102 Meeting Type: Annual Meeting Date: 12-Jun-2018 Ticker: ARDC ISIN: US04014F1021 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Seth J. Brufsky Mgmt Split 95% For 5% Withheld Split John J. Shaw Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BARINGTON/HILCO ACQUISITION CORP Agenda Number: 934660449 -------------------------------------------------------------------------------------------------------------------------- Security: 06759V101 Meeting Type: Special Meeting Date: 09-Aug-2017 Ticker: BHAC ISIN: US06759V1017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. APPROVAL OF AN AMENDMENT TO THE COMPANY'S Mgmt For For AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") FOR AN ADDITIONAL TWENTY (20) WEEKS, FROM AUGUST 11, 2017 (THE "CURRENT TERMINATION DATE") TO DECEMBER 31, 2017 (THE "EXTENDED TERMINATION DATE"). 2. APPROVAL OF AN AMENDMENT TO ALLOW THE Mgmt For For COMPANY'S BOARD OF DIRECTORS TO ADJOURN THE SPECIAL MEETING TO A LATER DATE OR DATES TO PERMIT FURTHER SOLICITATION OF PROXIES. THIS PROPOSAL WILL ONLY BE PRESENTED TO THE COMPANY'S STOCKHOLDERS IN THE EVENT, BASED ON THE TABULATED VOTES, THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING TO APPROVE PROPOSAL 1. 3. IF YOU INTEND TO EXERCISE YOUR REDEMPTION Mgmt For RIGHTS, PLEASE CHECK THIS 'FOR' BOX. CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE PROXY STATEMENT UNDER THE HEADING "SPECIAL MEETING OF BARINGTON/HILCO ACQUISITION CORP. STOCKHOLDERS - REDEMPTION RIGHTS." MARK "FOR"= YES; "AGAINST"= NO. 4. I HEREBY CERTIFY THAT I AM NOT ACTING IN Mgmt For CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D)(3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER STOCKHOLDER WITH RESPECT TO THE SHARES OF COMMON STOCK OF THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSALS. "FOR"= I CERTIFY THAT I AM NOT. "AGAINST"= I CERTIFY THAT I AM. -------------------------------------------------------------------------------------------------------------------------- BLACKROCK Agenda Number: 934647631 -------------------------------------------------------------------------------------------------------------------------- Security: 09258A107 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: BIT ISIN: US09258A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 99% For 1% Withheld Split R. GLENN HUBBARD Mgmt Split 99% For 1% Withheld Split W. CARL KESTER Mgmt Split 99% For 1% Withheld Split JOHN M. PERLOWSKI Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK CORPORATE HIGH YIELD FD VI INC Agenda Number: 934647655 -------------------------------------------------------------------------------------------------------------------------- Security: 09255P107 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: HYT ISIN: US09255P1075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 99% For 1% Withheld Split CYNTHIA L. EGAN Mgmt Split 99% For 1% Withheld Split CATHERINE A. LYNCH Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK CREDIT ALLOCATION INCOME TRUST Agenda Number: 934647631 -------------------------------------------------------------------------------------------------------------------------- Security: 092508100 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: BTZ ISIN: US0925081004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 91% For 9% Withheld Split R. GLENN HUBBARD Mgmt Split 90% For 10% Withheld Split W. CARL KESTER Mgmt Split 90% For 10% Withheld Split JOHN M. PERLOWSKI Mgmt Split 91% For 9% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 934647655 -------------------------------------------------------------------------------------------------------------------------- Security: 09255R202 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: DSU ISIN: US09255R2022 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 69% For 31% Withheld Split CYNTHIA L. EGAN Mgmt Split 69% For 31% Withheld Split CATHERINE A. LYNCH Mgmt Split 69% For 31% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK FUNDS Agenda Number: 934647631 -------------------------------------------------------------------------------------------------------------------------- Security: 09257A108 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: BCX ISIN: US09257A1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 98% For 2% Withheld Split R. GLENN HUBBARD Mgmt Split 98% For 2% Withheld Split W. CARL KESTER Mgmt Split 98% For 2% Withheld Split JOHN M. PERLOWSKI Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR Agenda Number: 934647631 -------------------------------------------------------------------------------------------------------------------------- Security: 092501105 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: BOE ISIN: US0925011050 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 97% For 3% Withheld Split R. GLENN HUBBARD Mgmt Split 97% For 3% Withheld Split W. CARL KESTER Mgmt Split 97% For 3% Withheld Split JOHN M. PERLOWSKI Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK LTD DURATION INCOME TR Agenda Number: 934647631 -------------------------------------------------------------------------------------------------------------------------- Security: 09249W101 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: BLW ISIN: US09249W1018 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 98% For 2% Withheld Split R. GLENN HUBBARD Mgmt Split 96% For 4% Withheld Split W. CARL KESTER Mgmt Split 96% For 4% Withheld Split JOHN M. PERLOWSKI Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNI INTER DURATION FD INC Agenda Number: 934648366 -------------------------------------------------------------------------------------------------------------------------- Security: 09253X102 Meeting Type: Annual Meeting Date: 25-Jul-2017 Ticker: MUI ISIN: US09253X1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MICHAEL J. CASTELLANO Mgmt Split 87% For 13% Withheld Split RICHARD E. CAVANAGH Mgmt Split 86% For 14% Withheld Split CYNTHIA L. EGAN Mgmt Split 87% For 13% Withheld Split JERROLD B. HARRIS Mgmt Split 86% For 14% Withheld Split R. GLENN HUBBARD Mgmt Split 86% For 14% Withheld Split CATHERINE A. LYNCH Mgmt Split 87% For 13% Withheld Split BARBARA G. NOVICK Mgmt Split 87% For 13% Withheld Split JOHN M. PERLOWSKI Mgmt Split 87% For 13% Withheld Split KAREN P. ROBARDS Mgmt Split 87% For 13% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKSTONE FUNDS Agenda Number: 934740982 -------------------------------------------------------------------------------------------------------------------------- Security: 09257D102 Meeting Type: Annual Meeting Date: 18-Apr-2018 Ticker: BGX ISIN: US09257D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2. DIRECTOR Gary S. Schpero Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKSTONE FUNDS Agenda Number: 934740970 -------------------------------------------------------------------------------------------------------------------------- Security: 09257R101 Meeting Type: Annual Meeting Date: 18-Apr-2018 Ticker: BGB ISIN: US09257R1014 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 3. DIRECTOR Gary S. Schpero Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BOULDER GROWTH & INCOME FUND, INC. Agenda Number: 934690113 -------------------------------------------------------------------------------------------------------------------------- Security: 101507101 Meeting Type: Annual Meeting Date: 15-Nov-2017 Ticker: BIF ISIN: US1015071012 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOEL W. LOONEY Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BROOKFIELD REAL ASSETS INCOME FUND Agenda Number: 934805245 -------------------------------------------------------------------------------------------------------------------------- Security: 112830104 Meeting Type: Annual Meeting Date: 17-May-2018 Ticker: RA ISIN: US1128301041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Election of the Class II Director: Heather Mgmt No vote S. Goldman (Independent Director) -------------------------------------------------------------------------------------------------------------------------- CBRE CLARION SECURITIES Agenda Number: 934680237 -------------------------------------------------------------------------------------------------------------------------- Security: 12504G100 Meeting Type: Annual Meeting Date: 16-Oct-2017 Ticker: IGR ISIN: US12504G1004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR T. RITSON FERGUSON Mgmt Split 97% For 3% Withheld Split FREDERICK S. HAMMER Mgmt Split 64% For 36% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CENTRAL FUND OF CANADA LIMITED Agenda Number: 934699806 -------------------------------------------------------------------------------------------------------------------------- Security: 153501101 Meeting Type: Special Meeting Date: 30-Nov-2017 Ticker: CEF ISIN: CA1535011011 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 Passing a special resolution (the Mgmt No vote "Arrangement Resolution") of Class A Shareholders, the full text of which is set forth as Appendix A-1 to the Circular, to approve an arrangement under section 193 of the Business Corporations Act (Alberta) involving Central Fund and its shareholders, The Central Group Alberta Ltd. and its shareholders, 2070140 Alberta Ltd., Sprott Inc. and Sprott Physical Gold and Silver Trust, on the terms and subject to the Plan of Arrangement attached as Appendix D to the Circular. -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL EQUITY FUND Agenda Number: 934646324 -------------------------------------------------------------------------------------------------------------------------- Security: 18914C100 Meeting Type: Annual Meeting Date: 03-Aug-2017 Ticker: GLQ ISIN: US18914C1009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 01 DIRECTOR EDMUND BURKE Mgmt No vote VINCENT VERSACI Mgmt No vote CLIFFORD WEBER Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 934642833 -------------------------------------------------------------------------------------------------------------------------- Security: 18914E106 Meeting Type: Annual Meeting Date: 03-Aug-2017 Ticker: GLO ISIN: US18914E1064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR PAUL KAZARIAN Mgmt No vote THOMAS H. MCGLADE Mgmt No vote PETER TCHIR Mgmt No vote 2. FOR THE BOARD TO CONSIDER AUTHORIZING Mgmt No vote DECLASSIFYING THE BOARD SO THAT ALL DIRECTORS ARE ELECTED ON AN ANNUAL BASIS STARTING AT THE NEXT ANNUAL MEETING OF SHAREHOLDERS. -------------------------------------------------------------------------------------------------------------------------- COHEN & STEERS REIT & PFD INCOME FUND Agenda Number: 934747176 -------------------------------------------------------------------------------------------------------------------------- Security: 19247X100 Meeting Type: Annual Meeting Date: 26-Apr-2018 Ticker: RNP ISIN: US19247X1000 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR George Grossman Mgmt Split 88% For 12% Withheld Split Jane F. Magpiong Mgmt Split 88% For 12% Withheld Split Robert H. Steers Mgmt Split 88% For 12% Withheld Split C. Edward Ward, Jr. Mgmt Split 88% For 12% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CORNERSTONE STRATEGIC VALUE FUND, INC. Agenda Number: 934735688 -------------------------------------------------------------------------------------------------------------------------- Security: 21924B302 Meeting Type: Annual Meeting Date: 17-Apr-2018 Ticker: CLM ISIN: US21924B3024 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Robert E. Dean Mgmt Split 97% For 3% Withheld Split Matthew W. Morris Mgmt Split 97% For 3% Withheld Split Scott B. Rogers Mgmt Split 97% For 3% Withheld Split 2. In their discretion, the proxies are Mgmt Split 55% For 42% Against 3% AbstainSplit authorized to consider and vote upon such other matters as may properly come before the said Meeting or any adjournment thereof. -------------------------------------------------------------------------------------------------------------------------- CORPORATE CAPITAL TRUST, INC. Agenda Number: 934723734 -------------------------------------------------------------------------------------------------------------------------- Security: 219880101 Meeting Type: Special Meeting Date: 26-Mar-2018 Ticker: CCT ISIN: US2198801019 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a new investment advisory Mgmt Split 89% For 6% Against 5% AbstainSplit agreement by and between the Company and KKR Credit Advisors (US) LLC ("KKR Credit") ("KKR Investment Co-Advisory Agreement") and a new investment advisory agreement by and between the Company and an affiliate of Franklin Square Holdings, L.P. ("FS Investments" and, such adviser, "FS Adviser") (the "FS Adviser Investment Co-Advisory Agreement" and, together with the KKR Investment Co-Advisory Agreement, the "Investment Co-Advisory Agreements"). 2. To approve a new investment advisory by and Mgmt Split 89% For 6% Against 5% AbstainSplit between the Company and FS/KKR Advisor, LLC, a newly-formed investment adviser jointly operated by KKR Credit and an affiliate of FS Investments (the "Joint Advisor") (the "Joint Advisor Investment Advisory Agreement"), pursuant to which the Joint Advisor will act as investment adviser to the Company. -------------------------------------------------------------------------------------------------------------------------- DEUTSCHE FUNDS Agenda Number: 934671466 -------------------------------------------------------------------------------------------------------------------------- Security: 25160E102 Meeting Type: Annual Meeting Date: 20-Sep-2017 Ticker: KMM ISIN: US25160E1029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN W. BALLANTINE Mgmt No vote DAWN-MARIE DRISCOLL Mgmt No vote KENNETH C. FROEWISS Mgmt No vote REBECCA W. RIMEL Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- DEUTSCHE HIGH INC OPPORTUNITIES FUND INC Agenda Number: 934671783 -------------------------------------------------------------------------------------------------------------------------- Security: 25158Y102 Meeting Type: Annual Meeting Date: 20-Sep-2017 Ticker: DHG ISIN: US25158Y1029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR JOHN W. BALLANTINE Mgmt No vote DAWN-MARIE DRISCOLL Mgmt No vote KENNETH C. FROEWISS Mgmt No vote REBECCA W. RIMEL Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 934708718 -------------------------------------------------------------------------------------------------------------------------- Security: 27828H105 Meeting Type: Annual Meeting Date: 18-Jan-2018 Ticker: EVV ISIN: US27828H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR HELEN FRAME PETERS Mgmt Split 98% For 2% Withheld Split SUSAN J. SUTHERLAND Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE SENIOR INCOME TRUST Agenda Number: 934672420 -------------------------------------------------------------------------------------------------------------------------- Security: 27826S103 Meeting Type: Annual Meeting Date: 19-Oct-2017 Ticker: EVF ISIN: US27826S1033 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR THOMAS E. FAUST JR. Mgmt Split 99% For 1% Withheld Split CYNTHIA E. FROST Mgmt Split 99% For 1% Withheld Split SUSAN J. SUTHERLAND Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE SHORT DURATION DIV INCOME FD Agenda Number: 934716296 -------------------------------------------------------------------------------------------------------------------------- Security: 27828V104 Meeting Type: Annual Meeting Date: 15-Feb-2018 Ticker: EVG ISIN: US27828V1044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR THOMAS E. FAUST JR. Mgmt Split 99% For 1% Withheld Split CYNTHIA E. FROST Mgmt Split 99% For 1% Withheld Split SCOTT E. WENNERHOLM Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- FS INVESTMENT CORPORATION Agenda Number: 934723291 -------------------------------------------------------------------------------------------------------------------------- Security: 302635107 Meeting Type: Special Meeting Date: 26-Mar-2018 Ticker: FSIC ISIN: US3026351078 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a new investment advisory Mgmt Split 93% For 2% Against 5% AbstainSplit agreement, by and between the Company and FB Income Advisor, LLC ("FB Income Advisor") (the "FB Income Advisor Investment Co-Advisory Agreement"), and a new investment advisory agreement, by and between the Company and KKR Credit Advisors (US) LLC ("KKR Credit") (the "KKR Investment Co-Advisory Agreement" and, together with the FB Income Advisor Investment Co-Advisory Agreement, the "Investment Co-Advisory Agreements"). 2. To approve a new investment advisory Mgmt Split 93% For 3% Against 4% AbstainSplit agreement, by and between the Company and FS/KKR Advisor, LLC, a newly-formed investment adviser jointly operated by an affiliate of Franklin Square Holdings, L.P. and KKR Credit (the "Joint Advisor") (the "Joint Advisor Investment Advisory Agreement"), pursuant to which the Joint Advisor will act as investment adviser to the Company. -------------------------------------------------------------------------------------------------------------------------- GDL FD Agenda Number: 934760376 -------------------------------------------------------------------------------------------------------------------------- Security: 361570302 Meeting Type: Annual Meeting Date: 14-May-2018 Ticker: GDLPRB ISIN: US3615703028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Leslie F. Foley Mgmt Split 97% For 3% Withheld Split Mario J. Gabelli Mgmt Split 95% For 5% Withheld Split Michael J. Melarkey Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934730979 -------------------------------------------------------------------------------------------------------------------------- Security: 368802104 Meeting Type: Annual Meeting Date: 18-Apr-2018 Ticker: GAM ISIN: US3688021043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Mr. Berens Mgmt Split 84% For 16% Withheld Split Mr. Cullman Mgmt Split 84% For 16% Withheld Split Mr. Davidson Mgmt Split 83% For 17% Withheld Split Ms. Del Villar Mgmt Split 84% For 16% Withheld Split Mr. Gordan Mgmt Split 83% For 17% Withheld Split Ms. Gotbaum Mgmt Split 84% For 16% Withheld Split Mr. Knafel Mgmt Split 84% For 16% Withheld Split Ms. Lynch Mgmt Split 84% For 16% Withheld Split Mr. Priest Mgmt Split 85% For 15% Withheld Split Mr. Schirmer Mgmt Split 84% For 16% Withheld Split 2. Ratification of the selection of Ernst & Mgmt Split 91% For 9% Against Split Young LLP as auditors. -------------------------------------------------------------------------------------------------------------------------- GENERAL AMERICAN INVESTORS COMPANY, INC. Agenda Number: 934730981 -------------------------------------------------------------------------------------------------------------------------- Security: 368802401 Meeting Type: Annual Meeting Date: 18-Apr-2018 Ticker: GAMPRB ISIN: US3688024013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Mr. Altschul Mgmt Split 99% For 1% Withheld Split Mr. Berens Mgmt Split 98% For 2% Withheld Split Mr. Cullman Mgmt Split 98% For 2% Withheld Split Mr. Davidson Mgmt Split 99% For 1% Withheld Split Ms. Del Villar Mgmt Split 99% For 1% Withheld Split Mr. Gordan Mgmt Split 95% For 5% Withheld Split Ms. Gotbaum Mgmt Split 99% For 1% Withheld Split Mr. Knafel Mgmt Split 99% For 1% Withheld Split Ms. Lynch Mgmt Split 99% For 1% Withheld Split Mr. Priest Mgmt Split 99% For 1% Withheld Split Mr. Schirmer Mgmt Split 99% For 1% Withheld Split Mr. Troubh Mgmt Split 98% For 2% Withheld Split 2. Ratification of the selection of Ernst & Mgmt Split 99% For 1% Abstain Split Young LLP as auditors. -------------------------------------------------------------------------------------------------------------------------- GLADSTONE INVESTMENT CORPORATION Agenda Number: 934651705 -------------------------------------------------------------------------------------------------------------------------- Security: 376546404 Meeting Type: Annual Meeting Date: 24-Aug-2017 Ticker: GAINN ISIN: US3765464041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ANTHONY W. PARKER Mgmt Split 94% For 6% Withheld Split MICHELA A. ENGLISH Mgmt Split 95% For 5% Withheld Split 2. TO APPROVE A PROPOSAL TO AUTHORIZE THE Mgmt Split 81% For 15% Against 4% AbstainSplit COMPANY, WITH THE SUBSEQUENT APPROVAL OF ITS BOARD OF DIRECTORS, TO ISSUE AND SELL SHARES OF THE COMPANY'S COMMON STOCK (DURING THE 12 MONTHS FOLLOWING SUCH STOCKHOLDER APPROVAL) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- GLADSTONE INVESTMENT CORPORATION Agenda Number: 934651705 -------------------------------------------------------------------------------------------------------------------------- Security: 376546503 Meeting Type: Annual Meeting Date: 24-Aug-2017 Ticker: GAINM ISIN: US3765465030 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ANTHONY W. PARKER Mgmt Split 30% For 70% Withheld Split MICHELA A. ENGLISH Mgmt Split 30% For 70% Withheld Split 2. TO APPROVE A PROPOSAL TO AUTHORIZE THE Mgmt Split 26% For 73% Against 1% AbstainSplit COMPANY, WITH THE SUBSEQUENT APPROVAL OF ITS BOARD OF DIRECTORS, TO ISSUE AND SELL SHARES OF THE COMPANY'S COMMON STOCK (DURING THE 12 MONTHS FOLLOWING SUCH STOCKHOLDER APPROVAL) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 934674791 -------------------------------------------------------------------------------------------------------------------------- Security: 007639107 Meeting Type: Annual Meeting Date: 27-Sep-2017 Ticker: AGC ISIN: US0076391079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. Mgmt No vote BLACK 1B. ELECTION OF CLASS II TRUSTEE: MR. MICHAEL Mgmt No vote A. SMART -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 934674804 -------------------------------------------------------------------------------------------------------------------------- Security: 00764C109 Meeting Type: Annual Meeting Date: 27-Sep-2017 Ticker: AVK ISIN: US00764C1099 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. Mgmt No vote BLACK 1B. ELECTION OF CLASS II TRUSTEE: MR. MICHAEL Mgmt No vote A. SMART -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 934674816 -------------------------------------------------------------------------------------------------------------------------- Security: 00765E104 Meeting Type: Annual Meeting Date: 27-Sep-2017 Ticker: LCM ISIN: US00765E1047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. ELECTION OF CLASS I TRUSTEE: MR. DANIEL L. Mgmt No vote BLACK 1B. ELECTION OF CLASS I TRUSTEE: MR. MICHAEL A. Mgmt No vote SMART -------------------------------------------------------------------------------------------------------------------------- HIGHLAND FUNDS Agenda Number: 934841075 -------------------------------------------------------------------------------------------------------------------------- Security: 43010E404 Meeting Type: Annual Meeting Date: 22-Jun-2018 Ticker: HFRO ISIN: US43010E4044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John Honis Mgmt No vote Dustin Norris Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 934664079 -------------------------------------------------------------------------------------------------------------------------- Security: 46131F101 Meeting Type: Annual Meeting Date: 08-Sep-2017 Ticker: VLT ISIN: US46131F1012 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR DAVID C. ARCH Mgmt Split 97% For 3% Withheld Split TERESA M. RESSEL Mgmt Split 97% For 3% Withheld Split LARRY SOLL Mgmt Split 97% For 3% Withheld Split PHILIP A. TAYLOR Mgmt Split 97% For 3% Withheld Split CHRISTOPHER L. WILSON Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 934664067 -------------------------------------------------------------------------------------------------------------------------- Security: 46131H107 Meeting Type: Annual Meeting Date: 08-Sep-2017 Ticker: VVR ISIN: US46131H1077 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR TERESA M. RESSEL Mgmt Split 98% For 2% Withheld Split LARRY SOLL Mgmt Split 98% For 2% Withheld Split PHILIP A. TAYLOR Mgmt Split 98% For 2% Withheld Split CHRISTOPHER L. WILSON Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 934664067 -------------------------------------------------------------------------------------------------------------------------- Security: 46132R104 Meeting Type: Annual Meeting Date: 08-Sep-2017 Ticker: VTA ISIN: US46132R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR TERESA M. RESSEL Mgmt Split 99% For 1% Withheld Split LARRY SOLL Mgmt Split 99% For 1% Withheld Split PHILIP A. TAYLOR Mgmt Split 99% For 1% Withheld Split CHRISTOPHER L. WILSON Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934844312 -------------------------------------------------------------------------------------------------------------------------- Security: 486606106 Meeting Type: Annual Meeting Date: 28-Jun-2018 Ticker: KYN ISIN: US4866061066 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. THE ELECTION OF ALBERT L. RICHEY AS Mgmt Split 98% For 1% Against 1% AbstainSplit DIRECTOR FOR A TERM OF ONE YEAR AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1b. THE ELECTION OF WILLIAM R. CORDES AS Mgmt Split 98% For 1% Against 1% AbstainSplit DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1c. THE ELECTION OF BARRY R. PEARL AS DIRECTOR Mgmt Split 97% For 2% Against 1% AbstainSplit FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1d. THE ELECTION OF KEVIN S. MCCARTHY AS Mgmt Split 97% For 2% Against 1% AbstainSplit DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1e. THE ELECTION OF WILLIAM L. THACKER AS Mgmt Split 97% For 2% Against 1% AbstainSplit DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 98% For 1% Against 1% AbstainSplit PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2018. -------------------------------------------------------------------------------------------------------------------------- KAYNE ANDERSON MLP INVESTMENT CO Agenda Number: 934844300 -------------------------------------------------------------------------------------------------------------------------- Security: 486606601 Meeting Type: Annual Meeting Date: 28-Jun-2018 Ticker: KYNPRF ISIN: US4866066016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. THE ELECTION OF ALBERT L. RICHEY AS Mgmt Split 88% For 4% Against 8% AbstainSplit DIRECTOR FOR A TERM OF ONE YEAR AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1b. THE ELECTION OF JAMES C. BAKER AS DIRECTOR Mgmt Split 88% For 3% Against 9% AbstainSplit FOR A TERM OF ONE YEAR AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1c. THE ELECTION OF WILLIAM R. CORDES AS Mgmt Split 88% For 4% Against 8% AbstainSplit DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1d. THE ELECTION OF BARRY R. PEARL AS DIRECTOR Mgmt Split 84% For 8% Against 8% AbstainSplit FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1e. THE ELECTION OF KEVIN S. MCCARTHY AS Mgmt Split 84% For 8% Against 8% AbstainSplit DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1f. THE ELECTION OF WILLIAM L. THACKER AS Mgmt Split 83% For 9% Against 8% AbstainSplit DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 1g. THE ELECTION OF WILLIAM H. SHEA, JR. AS Mgmt Split 88% For 3% Against 9% AbstainSplit DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. 2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 91% For 1% Against 8% AbstainSplit PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2018. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934674296 -------------------------------------------------------------------------------------------------------------------------- Security: 95768B107 Meeting Type: Annual Meeting Date: 29-Sep-2017 Ticker: HYI ISIN: US95768B1070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT D. AGDERN Mgmt No vote EILEEN A. KAMERICK Mgmt No vote RIORDAN ROETT Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934674309 -------------------------------------------------------------------------------------------------------------------------- Security: 95766B109 Meeting Type: Annual Meeting Date: 29-Sep-2017 Ticker: EHI ISIN: US95766B1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR CAROL L. COLMAN Mgmt No vote DANIEL P. CRONIN Mgmt No vote PAOLO M. CUCCHI Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934716385 -------------------------------------------------------------------------------------------------------------------------- Security: 95766K109 Meeting Type: Annual Meeting Date: 26-Jan-2018 Ticker: HIO ISIN: US95766K1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Paolo M. Cucchi Mgmt Split 95% For 5% Withheld Split Eileen A. Kamerick Mgmt Split 97% For 3% Withheld Split Jane Trust Mgmt Split 95% For 5% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 934723506 -------------------------------------------------------------------------------------------------------------------------- Security: 10537L104 Meeting Type: Annual Meeting Date: 23-Feb-2018 Ticker: BWG ISIN: US10537L1044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Robert D. Agdern Mgmt Split 98% For 2% Withheld Split Eileen Kamerick Mgmt Split 98% For 2% Withheld Split Riordan Roett Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LEGG MASON PARTNERS CAPITAL AND INCOME Agenda Number: 934738747 -------------------------------------------------------------------------------------------------------------------------- Security: 50208A102 Meeting Type: Annual Meeting Date: 06-Apr-2018 Ticker: SCD ISIN: US50208A1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Carol L. Colman Mgmt Split 96% For 4% Withheld Split Daniel P. Cronin Mgmt Split 96% For 4% Withheld Split Paolo M. Cucchi Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LIBERTY ALL-STAR EQUITY FUND Agenda Number: 934658355 -------------------------------------------------------------------------------------------------------------------------- Security: 530158104 Meeting Type: Annual Meeting Date: 24-Aug-2017 Ticker: USA ISIN: US5301581048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR THOMAS W. BROCK Mgmt Split 79% For 21% Withheld Split GEORGE GASPARI Mgmt Split 79% For 21% Withheld Split 3. IF PROPERLY PRESENTED AT THE MEETING, TO Shr Split 32% For 66% Against 2% AbstainSplit CONSIDER AND VOTE UPON THE SHAREHOLDER PROPOSAL PRESENTED UNDER THE HEADING " SHAREHOLDER PROPOSAL" IN THE ACCOMPANYING PROXY STATEMENT. -------------------------------------------------------------------------------------------------------------------------- LIBERTY ALL-STAR EQUITY FUND Agenda Number: 934799620 -------------------------------------------------------------------------------------------------------------------------- Security: 530158104 Meeting Type: Special Meeting Date: 31-May-2018 Ticker: USA ISIN: US5301581048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve new fund management agreements Mgmt Split 94% For 3% Against 3% AbstainSplit between each Fund and ALPS Advisors. 2c. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: Sustainable Growth Advisers, LP 2d. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: Aristotle Capital Management, LLC 2e. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit agreements: Macquarie Investment Management 2f. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: Pzena Investment Management, LLC 2g. To approve new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit agreements among each Fund, ALPS Advisors and each of the current portfolio managers of the Funds, as follows: TCW Investment Management Company 3. To approve a new portfolio management Mgmt Split 94% For 3% Against 3% AbstainSplit agreement among each Fund, ALPS Advisors and Sustainable Growth Advisers, LP, a current portfolio manager of the Funds. -------------------------------------------------------------------------------------------------------------------------- MFS CHARTER INCOME TRUST Agenda Number: 934671492 -------------------------------------------------------------------------------------------------------------------------- Security: 552727109 Meeting Type: Annual Meeting Date: 05-Oct-2017 Ticker: MCR ISIN: US5527271093 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR STEVEN E. BULLER Mgmt Split 98% For 2% Withheld Split MICHAEL HEGARTY Mgmt Split 98% For 2% Withheld Split JOHN P. KAVANAUGH Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MFS MULTIMARKET INCOME TRUST Agenda Number: 934671492 -------------------------------------------------------------------------------------------------------------------------- Security: 552737108 Meeting Type: Annual Meeting Date: 05-Oct-2017 Ticker: MMT ISIN: US5527371083 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR STEVEN E. BULLER Mgmt Split 98% For 2% Withheld Split MICHAEL HEGARTY Mgmt Split 98% For 2% Withheld Split JOHN P. KAVANAUGH Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMER MKTS DEBT FUND, INC. Agenda Number: 934631056 -------------------------------------------------------------------------------------------------------------------------- Security: 61744H105 Meeting Type: Annual Meeting Date: 03-Aug-2017 Ticker: MSD ISIN: US61744H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR KATHLEEN A. DENNIS Mgmt Split 94% For 6% Withheld Split JOSEPH J. KEARNS Mgmt Split 94% For 6% Withheld Split MICHAEL E. NUGENT Mgmt Split 93% For 7% Withheld Split FERGUS REID Mgmt Split 93% For 7% Withheld Split PATRICIA MALESKI Mgmt Split 94% For 6% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMER MKTS DEBT FUND, INC. Agenda Number: 934825831 -------------------------------------------------------------------------------------------------------------------------- Security: 61744H105 Meeting Type: Annual Meeting Date: 21-Jun-2018 Ticker: MSD ISIN: US61744H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Nancy C. Everett Mgmt No vote Michael F. Klein Mgmt No vote W. Allen Reed Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY TRUSTS Agenda Number: 934631070 -------------------------------------------------------------------------------------------------------------------------- Security: 61745P874 Meeting Type: Annual Meeting Date: 03-Aug-2017 Ticker: ICB ISIN: US61745P8749 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR FRANK L. BOWMAN Mgmt Split 53% For 47% Withheld Split NANCY C. EVERETT Mgmt Split 53% For 47% Withheld Split JAKKI L. HAUSSLER Mgmt Split 53% For 47% Withheld Split PATRICIA MALESKI Mgmt Split 53% For 47% Withheld Split -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY TRUSTS Agenda Number: 934746504 -------------------------------------------------------------------------------------------------------------------------- Security: 61745P874 Meeting Type: Special Meeting Date: 20-Apr-2018 Ticker: ICB ISIN: US61745P8749 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To consider and vote upon a proposal to Mgmt Split 98% For 1% Against 1% AbstainSplit approve the actions and transactions described in that certain Agreement and Plan of Reorganization, dated January 22, 2018, between Morgan Stanley Income Securities Inc. (the "Acquired Fund") and Morgan Stanley Institutional Fund Trust, on behalf of the Corporate Bond Portfolio (the "Acquiring Fund") (the "Reorganization"). -------------------------------------------------------------------------------------------------------------------------- NEUBERGER BERMAN HI/YLD STRATEGY Agenda Number: 934668495 -------------------------------------------------------------------------------------------------------------------------- Security: 64128C106 Meeting Type: Annual Meeting Date: 07-Sep-2017 Ticker: NHS ISIN: US64128C1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MARTHA C. GOSS Mgmt Split 97% For 3% Withheld Split JAMES G. STAVRIDIS Mgmt Split 97% For 3% Withheld Split CANDACE L. STRAIGHT Mgmt Split 97% For 3% Withheld Split JOSEPH V. AMATO Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NEXPOINT FUNDS Agenda Number: 934841099 -------------------------------------------------------------------------------------------------------------------------- Security: 65340G205 Meeting Type: Annual Meeting Date: 22-Jun-2018 Ticker: NHF ISIN: US65340G2057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John Honis Mgmt No vote Dustin Norris Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- NUVEEN DIVIDEND ADVANTAGE MUNI FD Agenda Number: 934654737 -------------------------------------------------------------------------------------------------------------------------- Security: 67066V101 Meeting Type: Annual Meeting Date: 02-Aug-2017 Ticker: NAD ISIN: US67066V1017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR DAVID J. KUNDERT Mgmt Split 95% For 5% Withheld Split JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split ROBERT L. YOUNG Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN FUNDS Agenda Number: 934734511 -------------------------------------------------------------------------------------------------------------------------- Security: 670677103 Meeting Type: Annual Meeting Date: 11-Apr-2018 Ticker: NIQ ISIN: US6706771036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR Margo L. Cook Mgmt Split 98% For 2% Withheld Split Jack B. Evans Mgmt Split 97% For 3% Withheld Split Albin F. Moschner Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN FUNDS Agenda Number: 934734523 -------------------------------------------------------------------------------------------------------------------------- Security: 670735109 Meeting Type: Annual Meeting Date: 11-Apr-2018 Ticker: JLS ISIN: US6707351093 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Margo L. Cook Mgmt Split 99% For 1% Withheld Split Jack B. Evans Mgmt Split 99% For 1% Withheld Split Albin F. Moschner Mgmt Split 99% For 1% Withheld Split William J. Schneider Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN FUNDS Agenda Number: 934734523 -------------------------------------------------------------------------------------------------------------------------- Security: 67074R100 Meeting Type: Annual Meeting Date: 11-Apr-2018 Ticker: JMT ISIN: US67074R1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Margo L. Cook Mgmt Split 98% For 2% Withheld Split Jack B. Evans Mgmt Split 98% For 2% Withheld Split Albin F. Moschner Mgmt Split 98% For 2% Withheld Split William J. Schneider Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN GLOBAL HIGH INCOME FUND Agenda Number: 934734523 -------------------------------------------------------------------------------------------------------------------------- Security: 67075G103 Meeting Type: Annual Meeting Date: 11-Apr-2018 Ticker: JGH ISIN: US67075G1031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Margo L. Cook Mgmt Split 97% For 3% Withheld Split Jack B. Evans Mgmt Split 97% For 3% Withheld Split Albin F. Moschner Mgmt Split 97% For 3% Withheld Split William J. Schneider Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN INS TAX-FREE ADV MUNI FUND Agenda Number: 934654737 -------------------------------------------------------------------------------------------------------------------------- Security: 670657105 Meeting Type: Annual Meeting Date: 02-Aug-2017 Ticker: NEA ISIN: US6706571055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR DAVID J. KUNDERT Mgmt Split 94% For 6% Withheld Split JOHN K. NELSON Mgmt Split 95% For 5% Withheld Split TERENCE J. TOTH Mgmt Split 95% For 5% Withheld Split ROBERT L. YOUNG Mgmt Split 95% For 5% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN INSURED DIVIDEND ADV MUNI FUND Agenda Number: 934654737 -------------------------------------------------------------------------------------------------------------------------- Security: 67071L106 Meeting Type: Annual Meeting Date: 02-Aug-2017 Ticker: NVG ISIN: US67071L1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR DAVID J. KUNDERT Mgmt Split 96% For 4% Withheld Split JOHN K. NELSON Mgmt Split 96% For 4% Withheld Split TERENCE J. TOTH Mgmt Split 96% For 4% Withheld Split ROBERT L. YOUNG Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 934734523 -------------------------------------------------------------------------------------------------------------------------- Security: 67073D102 Meeting Type: Annual Meeting Date: 11-Apr-2018 Ticker: JQC ISIN: US67073D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Margo L. Cook Mgmt Split 97% For 3% Withheld Split Jack B. Evans Mgmt Split 96% For 4% Withheld Split Albin F. Moschner Mgmt Split 97% For 3% Withheld Split William J. Schneider Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN PREFERRED AND CONVERTIBLE INCOME Agenda Number: 934734523 -------------------------------------------------------------------------------------------------------------------------- Security: 67073B106 Meeting Type: Annual Meeting Date: 11-Apr-2018 Ticker: JPC ISIN: US67073B1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Margo L. Cook Mgmt Split 97% For 3% Withheld Split Jack B. Evans Mgmt Split 96% For 4% Withheld Split Albin F. Moschner Mgmt Split 97% For 3% Withheld Split William J. Schneider Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PACIFIC SPECIAL ACQUISITION CORP. Agenda Number: 934661249 -------------------------------------------------------------------------------------------------------------------------- Security: G68588105 Meeting Type: Special Meeting Date: 10-Aug-2017 Ticker: PAAC ISIN: VGG685881051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. THE BUSINESS COMBINATION PROPOSAL - TO Mgmt For For CONSIDER AND VOTE UPON A PROPOSAL (I) TO APPROVE AND ADOPT THE MERGER AGREEMENT, DATED AS OF DECEMBER 27, 2016, AS AMENDED ON MAY 10, 2017 AND JUNE 29, 2017, AND AS IT MAY BE FURTHER AMENDED, BY AND AMONG PACIFIC, MERGER SUB, OUR SPONSOR AS THE PURCHASER REPRESENTATIVE, BORQS, SELLER REPRESENTATIVE, AND THE TRANSACTIONS CONTEMPLATED THEREBY (THE "BUSINESS COMBINATION"). 1A. INTENTION TO EXERCISE REDEMPTION RIGHTS: IF Mgmt For YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE CHECK THE "FOR" BOX CHECKING THIS BOX, HOWEVER, IS NOT SUFFICIENT TO EXERCISE YOUR REDEMPTION RIGHTS. YOU MUST COMPLY WITH THE PROCEDURES SET FORTH IN THE DEFINITIVE PROXY STATEMENT UNDER THE HEADING "MEETING OF PACIFIC SHAREHOLDERS - REDEMPTION RIGHTS." ("FOR"= YES; "AGAINST"= NO.) 1B. SHAREHOLDER CERTIFICATION: I HEREBY CERTIFY Mgmt For THAT I AM NOT ACTING IN CONCERT, OR AS A "GROUP" (AS DEFINED IN SECTION 13(D) (3) OF THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED), WITH ANY OTHER SHAREHOLDER WITH RESPECT TO THE ORDINARY SHARES OF THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN THE COMPANY AND BORQS. ("FOR"= I CERTIFY THAT I AM NOT. "AGAINST"= I CERTIFY THAT I AM.) 2. THE CHARTER AMENDMENT PROPOSAL - TO APPROVE Mgmt For For AND ADOPT, SUBJECT TO AND CONDITIONAL ON (BUT WITH IMMEDIATE EFFECT THEREFROM) THE CONSUMMATION OF THE BUSINESS COMBINATION, AN AMENDMENT AND RESTATEMENT OF PACIFIC'S CHARTER (MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE COMPANY) CURRENTLY REGISTERED BY THE REGISTRAR OF CORPORATE AFFAIRS IN THE BRITISH VIRGIN ISLANDS, AS SET OUT IN THE DRAFT AMENDED AND RESTATED VERSION OF OUR CHARTER APPENDED TO THE PROXY STATEMENT AS ANNEX B ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). 3. THE INCENTIVE PLAN PROPOSAL - TO CONSIDER Mgmt For For AND VOTE UPON A PROPOSAL TO APPROVE AND ADOPT THE BORQS TECHNOLOGIES, INC. 2017 EQUITY INCENTIVE PLAN. 4. THE NASDAQ PROPOSAL - TO APPROVE, FOR Mgmt For For PURPOSES OF COMPLYING WITH APPLICABLE NASDAQ LISTING RULES, THE ISSUANCE OF MORE THAN 20% OF THE COMPANY'S ISSUED AND OUTSTANDING ORDINARY SHARES. 5. THE ADJOURNMENT PROPOSAL - TO CONSIDER AND Mgmt For For VOTE UPON A PROPOSAL TO APPROVE THE ADJOURNMENT OF THE MEETING OF SHAREHOLDERS BY THE CHAIRMAN THEREOF TO A LATER DATE, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE MEETING, THERE ARE NOT SUFFICIENT VOTES TO APPROVE PROPOSALS 1, 2, 3 AND 4. -------------------------------------------------------------------------------------------------------------------------- PIMCO Agenda Number: 934750363 -------------------------------------------------------------------------------------------------------------------------- Security: 72202D106 Meeting Type: Annual Meeting Date: 27-Apr-2018 Ticker: PCI ISIN: US72202D1063 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Craig A. Dawson Mgmt Split 98% For 2% Withheld Split Bradford K. Gallagher Mgmt Split 98% For 2% Withheld Split James A. Jacobson Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 934717755 -------------------------------------------------------------------------------------------------------------------------- Security: 74442F107 Meeting Type: Annual Meeting Date: 09-Mar-2018 Ticker: ISD ISIN: US74442F1075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR SCOTT E. BENJAMIN Mgmt Split 98% For 2% Withheld Split LINDA W. BYNOE Mgmt Split 97% For 3% Withheld Split LAURIE SIMON HODRICK Mgmt Split 98% For 2% Withheld Split MICHAEL S. HYLAND, CFA Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PRUDENTIAL INVESTMENTS CLOSED END FUNDS Agenda Number: 934717767 -------------------------------------------------------------------------------------------------------------------------- Security: 74433A109 Meeting Type: Annual Meeting Date: 09-Mar-2018 Ticker: GHY ISIN: US74433A1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR SCOTT E. BENJAMIN Mgmt Split 98% For 2% Withheld Split LINDA W. BYNOE Mgmt Split 98% For 2% Withheld Split LAURIE SIMON HODRICK Mgmt Split 98% For 2% Withheld Split MICHAEL S. HYLAND, CFA Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ROYCE MICRO-CAP TRUST, INC. Agenda Number: 934667962 -------------------------------------------------------------------------------------------------------------------------- Security: 780915104 Meeting Type: Annual Meeting Date: 28-Sep-2017 Ticker: RMT ISIN: US7809151043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR STEPHEN L. ISAACS Mgmt Split 98% For 2% Withheld Split CHRISTOPHER D. CLARK Mgmt Split 99% For 1% Withheld Split CHRISTOPHER C. GRISANTI Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ROYCE VALUE TRUST, INC. Agenda Number: 934667974 -------------------------------------------------------------------------------------------------------------------------- Security: 780910105 Meeting Type: Annual Meeting Date: 28-Sep-2017 Ticker: RVT ISIN: US7809101055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR STEPHEN L. ISAACS Mgmt Split 97% For 3% Withheld Split CHRISTOPHER D. CLARK Mgmt Split 98% For 2% Withheld Split CHRISTOPHER C. GRISANTI Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- SPROTT FUNDS Agenda Number: 934669283 -------------------------------------------------------------------------------------------------------------------------- Security: 85208J109 Meeting Type: Annual Meeting Date: 20-Sep-2017 Ticker: FUND ISIN: US85208J1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR BARBARA CONNOLLY KEADY Mgmt Split 98% For 2% Withheld Split PEYTON TANSILL MULDOON Mgmt Split 98% For 2% Withheld Split 2. TO RATIFY THE APPOINTMENT OF TAIT WELLER & Mgmt Split 98% For 2% Against Split BAKER AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. -------------------------------------------------------------------------------------------------------------------------- TEMPLETON EMERGING MKTS INCOME FUND Agenda Number: 934785924 -------------------------------------------------------------------------------------------------------------------------- Security: 880192109 Meeting Type: Annual Meeting Date: 29-Jun-2018 Ticker: TEI ISIN: US8801921094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Ann Torre Bates Mgmt Split 71% For 29% Withheld Split David W. Niemiec Mgmt Split 71% For 29% Withheld Split Larry D. Thompson Mgmt Split 71% For 29% Withheld Split Robert E. Wade Mgmt Split 71% For 29% Withheld Split 2. To approve the elimination of the Mgmt Split 67% For 32% Against 1% AbstainSplit fundamental investment policy requiring the Fund to invest at least 65% of its total assets in U.S. dollar-denominated securities 3. To approve an amended fundamental Mgmt Split 66% For 32% Against 2% AbstainSplit investment restriction regarding investments in commodities 4. The ratification of the selection of Mgmt Split 96% For 3% Against 1% AbstainSplit PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2018 -------------------------------------------------------------------------------------------------------------------------- TEMPLETON GLOBAL INCOME FUND Agenda Number: 934785936 -------------------------------------------------------------------------------------------------------------------------- Security: 880198106 Meeting Type: Annual Meeting Date: 13-Jun-2018 Ticker: GIM ISIN: US8801981064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Harris J. Ashton Mgmt Split 94% For 6% Withheld Split Ann Torre Bates Mgmt Split 95% For 5% Withheld Split David W. Niemiec Mgmt Split 95% For 5% Withheld Split Robert E. Wade Mgmt Split 95% For 5% Withheld Split 2. To approve an amended fundamental Mgmt Split 91% For 7% Against 2% AbstainSplit investment restriction regarding investments in commodities 3. The ratification of the selection of Mgmt Split 98% For 1% Against 1% AbstainSplit PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2018 -------------------------------------------------------------------------------------------------------------------------- THE GABELLI EQUITY TRUST INC. Agenda Number: 934764867 -------------------------------------------------------------------------------------------------------------------------- Security: 362397101 Meeting Type: Annual Meeting Date: 14-May-2018 Ticker: GAB ISIN: US3623971013 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Ferrantino Mgmt Split 88% For 12% Withheld Split -------------------------------------------------------------------------------------------------------------------------- TRI-CONTINENTAL CORPORATION Agenda Number: 934740451 -------------------------------------------------------------------------------------------------------------------------- Security: 895436103 Meeting Type: Annual Meeting Date: 16-Apr-2018 Ticker: TY ISIN: US8954361031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR George S. Batejan Mgmt Split 86% For 14% Withheld Split Kathleen Blatz Mgmt Split 86% For 14% Withheld Split Edward J. Boudreau, Jr. Mgmt Split 86% For 14% Withheld Split Pamela G. Carlton Mgmt Split 86% For 14% Withheld Split 2. To ratify the selection of Mgmt Split 87% For 12% Against 1% AbstainSplit PricewaterhouseCoopers LLP as the Corporation's independent registered public accounting firm. -------------------------------------------------------------------------------------------------------------------------- VANGUARD INTERNATIONAL EQ. INDEX FD, INC Agenda Number: 934671202 -------------------------------------------------------------------------------------------------------------------------- Security: 922042858 Meeting Type: Special Meeting Date: 15-Nov-2017 Ticker: VWO ISIN: US9220428588 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MORTIMER J. BUCKLEY Mgmt Split 97% For 3% Withheld Split EMERSON U. FULLWOOD Mgmt Split 97% For 3% Withheld Split AMY GUTMANN Mgmt Split 97% For 3% Withheld Split JOANN HEFFERNAN HEISEN Mgmt Split 97% For 3% Withheld Split F. JOSEPH LOUGHREY Mgmt Split 97% For 3% Withheld Split MARK LOUGHRIDGE Mgmt Split 97% For 3% Withheld Split SCOTT C. MALPASS Mgmt Split 97% For 3% Withheld Split F. WILLIAM MCNABB III Mgmt Split 97% For 3% Withheld Split DEANNA MULLIGAN Mgmt Split 97% For 3% Withheld Split ANDRE F. PEROLD Mgmt Split 97% For 3% Withheld Split SARAH BLOOM RASKIN Mgmt Split 97% For 3% Withheld Split PETER F. VOLANAKIS Mgmt Split 97% For 3% Withheld Split 2. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt Split 98% For 1% Against 1% AbstainSplit WITH THIRD-PARTY INVESTMENT ADVISORS. 3. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt Split 98% For 1% Against 1% AbstainSplit WITH WHOLLY-OWNED SUBSIDIARIES OF VANGUARD. 7. A SHAREHOLDER PROPOSAL TO "INSTITUTE Shr Split 6% For 90% Against 4% AbstainSplit TRANSPARENT PROCEDURES TO AVOID HOLDING INVESTMENTS IN COMPANIES THAT, IN MANAGEMENT'S JUDGMENT, SUBSTANTIALLY CONTRIBUTE TO GENOCIDE OR CRIMES AGAINST HUMANITY, THE MOST EGREGIOUS VIOLATIONS OF HUMAN RIGHTS. SUCH PROCEDURES MAY INCLUDE TIME-LIMITED ENGAGEMENT WITH PROBLEM COMPANIES IF MANAGEMENT BELIEVES THAT THEIR BEHAVIOR CAN BE CHANGED." -------------------------------------------------------------------------------------------------------------------------- VANGUARD TAX-MANAGED FUND Agenda Number: 934671202 -------------------------------------------------------------------------------------------------------------------------- Security: 921943858 Meeting Type: Special Meeting Date: 15-Nov-2017 Ticker: VEA ISIN: US9219438580 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MORTIMER J. BUCKLEY Mgmt No vote EMERSON U. FULLWOOD Mgmt No vote AMY GUTMANN Mgmt No vote JOANN HEFFERNAN HEISEN Mgmt No vote F. JOSEPH LOUGHREY Mgmt No vote MARK LOUGHRIDGE Mgmt No vote SCOTT C. MALPASS Mgmt No vote F. WILLIAM MCNABB III Mgmt No vote DEANNA MULLIGAN Mgmt No vote ANDRE F. PEROLD Mgmt No vote SARAH BLOOM RASKIN Mgmt No vote PETER F. VOLANAKIS Mgmt No vote 2. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt No vote WITH THIRD-PARTY INVESTMENT ADVISORS. 3. APPROVE A MANAGER OF MANAGERS ARRANGEMENT Mgmt No vote WITH WHOLLY-OWNED SUBSIDIARIES OF VANGUARD. 7. A SHAREHOLDER PROPOSAL TO "INSTITUTE Shr No vote TRANSPARENT PROCEDURES TO AVOID HOLDING INVESTMENTS IN COMPANIES THAT, IN MANAGEMENT'S JUDGMENT, SUBSTANTIALLY CONTRIBUTE TO GENOCIDE OR CRIMES AGAINST HUMANITY, THE MOST EGREGIOUS VIOLATIONS OF HUMAN RIGHTS. SUCH PROCEDURES MAY INCLUDE TIME-LIMITED ENGAGEMENT WITH PROBLEM COMPANIES IF MANAGEMENT BELIEVES THAT THEIR BEHAVIOR CAN BE CHANGED." -------------------------------------------------------------------------------------------------------------------------- VIRTUS MUTUAL FUNDS Agenda Number: 934795331 -------------------------------------------------------------------------------------------------------------------------- Security: 92837G100 Meeting Type: Annual Meeting Date: 22-May-2018 Ticker: ZF ISIN: US92837G1004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1e. DIRECTOR James M. Oates Mgmt Split 95% For 5% Withheld Split James B. Rogers, Jr. Mgmt Split 90% For 10% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA GLOBAL EQUITY DIV & PREM OPPORT FD Agenda Number: 934624429 -------------------------------------------------------------------------------------------------------------------------- Security: 92912T100 Meeting Type: Annual Meeting Date: 06-Jul-2017 Ticker: IGD ISIN: US92912T1007 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR MARTIN J. GAVIN Mgmt Split 95% For 5% Withheld Split PATRICK W. KENNY Mgmt Split 71% For 29% Withheld Split SHAUN P. MATHEWS Mgmt Split 71% For 29% Withheld Split ROGER B. VINCENT Mgmt Split 95% For 5% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WELLS FARGO ADV MULTI SECTOR INC FUND Agenda Number: 934717666 -------------------------------------------------------------------------------------------------------------------------- Security: 94987D101 Meeting Type: Annual Meeting Date: 05-Feb-2018 Ticker: ERC ISIN: US94987D1019 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR William R. Ebsworth Mgmt Split 96% For 4% Withheld Split Jane A. Freeman Mgmt Split 96% For 4% Withheld Split Judith M. Johnson Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WELLS FARGO ADVANTAGE FUNDS Agenda Number: 934656705 -------------------------------------------------------------------------------------------------------------------------- Security: 94987B105 Meeting Type: Annual Meeting Date: 07-Aug-2017 Ticker: EAD ISIN: US94987B1052 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ISAIAH HARRIS, JR. Mgmt Split 96% For 4% Withheld Split DAVID F. LARCKER Mgmt Split 96% For 4% Withheld Split OLIVIA S. MITCHELL Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET CLAYMORE FUNDS Agenda Number: 934797210 -------------------------------------------------------------------------------------------------------------------------- Security: 95766Q106 Meeting Type: Annual Meeting Date: 30-May-2018 Ticker: WIA ISIN: US95766Q1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Ronald E. Toupin, Jr. Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 934769045 -------------------------------------------------------------------------------------------------------------------------- Security: 95766A101 Meeting Type: Annual Meeting Date: 27-Apr-2018 Ticker: EMD ISIN: US95766A1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Carol L. Colman Mgmt Split 83% For 17% Withheld Split Daniel P. Cronin Mgmt Split 83% For 17% Withheld Split Paolo M. Cucchi Mgmt Split 83% For 17% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 934788615 -------------------------------------------------------------------------------------------------------------------------- Security: 95766R104 Meeting Type: Annual Meeting Date: 30-May-2018 Ticker: WIW ISIN: US95766R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Trustee: Ronald A. Nyberg Mgmt Split 94% For 6% Abstain Split 2a. a new investment advisory agreement between Mgmt Split 98% For 2% Against Split the Fund and Western Asset Management Company ("Western Asset") 2b. a new sub-advisory agreement between Mgmt Split 97% For 2% Against 1% AbstainSplit Western Asset and Western Asset Management Company Limited with respect to the Fund 2c. a new sub-advisory agreement between Mgmt Split 97% For 2% Against 1% AbstainSplit Western Asset and Western Asset Management Company Ltd with respect to the Fund 2d. a new sub-advisory agreement between Mgmt Split 97% For 2% Against 1% AbstainSplit Western Asset and Western Asset Management Company Pte. Ltd. with respect to the Fund * Management position unknown SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) RiverNorth Funds By (Signature) /s/ Patrick W. Galley Name Patrick W. Galley Title President Date 08/30/2018