N-PX 1 BRDB5F_0001370177_2020.txt BRDB5F_0001370177_2020 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY INVESTMENT COMPANY ACT FILE NUMBER: 811-21934 NAME OF REGISTRANT: RiverNorth Funds ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 325 N Lasalle St. Suite 645 Chicago, IL 60654 NAME AND ADDRESS OF AGENT FOR SERVICE: Marc L. Collins 325 North LaSalle Street, Suite 645 Chicago, IL 60654 REGISTRANT'S TELEPHONE NUMBER: 312 832 1440 DATE OF FISCAL YEAR END: 09/30 DATE OF REPORTING PERIOD: 07/01/2019 - 06/30/2020 All proxies required to be voted proportionally were done so. Some matters had too few votes for (or against) a proposal to equal more than 1% RiverNorth Funds -------------------------------------------------------------------------------------------------------------------------- GORDON POINTE ACQUISITION CORP Agenda Number: 935055524 -------------------------------------------------------------------------------------------------------------------------- Security: 382788107 Meeting Type: Special Meeting Date: 26-Jul-2019 Ticker: GPAQ ISIN: US3827881075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Proposal to amend the Mgmt For For Company's Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from July 30, 2019 to October 31, 2019, plus an option for the Company to further extend such date up to three times, each by an additional 30 days. 2. Trust Amendment: Proposal to amend the Mgmt For For Investment Management Trust Agreement, dated as of January 24, 2018, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from July 30, 2019 to October 31, 2019, plus an option for the Company to further extend such date up to three times, each by an additional 30 days. -------------------------------------------------------------------------------------------------------------------------- GORDON POINTE ACQUISITION CORP Agenda Number: 935120799 -------------------------------------------------------------------------------------------------------------------------- Security: 382788107 Meeting Type: Special Meeting Date: 24-Jan-2020 Ticker: GPAQ ISIN: US3827881075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Proposal to amend the Mgmt For For Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination from January 29, 2020 to February 29, 2020, plus an option for the Company to further extend such date for an additional 30 days. 2. Trust Amendment: Proposal to amend the Mgmt For For Investment Management Trust Agreement, dated as of January 24, 2018, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination from January 29, 2020 to February 29, 2020, plus an option for the Company to further extend such date for an additional 30 days. -------------------------------------------------------------------------------------------------------------------------- GORDON POINTE ACQUISITION CORP Agenda Number: 935135966 -------------------------------------------------------------------------------------------------------------------------- Security: 382788107 Meeting Type: Special Meeting Date: 25-Mar-2020 Ticker: GPAQ ISIN: US3827881075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Business Combination Proposal: To Mgmt For For approve an Agreement and Plan of Merger, (a) GPAQ Acquiror Merger Sub, Inc. ("Acquiror Merger Sub"), a wholly owned subsidiary of GPAQ Acquisition Holdings, Inc., a Delaware corporation and wholly-owned subsidiary of GPAQ ("Holdings"), will be merged with and into GPAQ, with GPAQ continuing as the surviving entity and a wholly-owned subsidiary of Holdings, and (b) GPAQ Company Merger Sub, LLC, a wholly-owned subsidiary of Holdings ("Company Merger sub") will be merged with and into HOF Village Newco, LLC 2. Changing the name of Holdings to "Hall of Mgmt For For Fame Resort & Entertainment Company". 3. Having a single class of common stock and Mgmt For For an authorized 100,000,000 shares of common stock. 4. Fixing the number of directors of Holdings Mgmt For For at eleven, subject to change by resolution adopted by the affirmative vote of at least a majority of the board of directors then in office. 5. Dividing the board of directors of Holdings Mgmt For For into three classes with staggered three-year terms. 6. Providing that the Court of Chancery of the Mgmt For For State of Delaware or, if such court does not have subject matter jurisdiction thereof, another state or federal court located within the State of Delaware, shall be the exclusive forum for certain actions and claims. 7. Removing various provisions applicable only Mgmt For For to special purpose acquisition corporations contained in GPAQ's current amended and restated certificate of incorporation (such as the obligation to dissolve and liquidate if a business combination is not consummated in a certain period of time). 8. Conditioned upon the approval of Proposals Mgmt For For No. 2 through 7, a proposal to approve the proposed Amended and Restated Certificate of Incorporation of Holdings as a whole, which includes the approval of all other changes in the proposed Amended and Restated Certificate of Incorporation as of the closing of the business combination. 9. The Incentive Plan Proposal -To approve and Mgmt For For adopt the GPAQ Acquisition Holdings, Inc. 2020 Omnibus Incentive Plan. -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMERGING MKTS Agenda Number: 935219522 -------------------------------------------------------------------------------------------------------------------------- Security: 617477104 Meeting Type: Annual Meeting Date: 25-Jun-2020 Ticker: EDD ISIN: US6174771047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Kathleen A. Dennis Mgmt Split 91% For 9% Withheld Split Joseph J. Kearns Mgmt Split 91% For 9% Withheld Split Michael E. Nugent Mgmt Split 91% For 9% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 935168143 -------------------------------------------------------------------------------------------------------------------------- Security: 003009107 Meeting Type: Special Meeting Date: 10-Jun-2020 Ticker: FAX ISIN: US0030091070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. To amend the fundamental policy regarding Mgmt Split 93% For 4% Against 3% AbstainSplit investment of up to 80% in Asian Debt securities so that the Fund would normally invest at least 80% of its net assets, plus the amount of any borrowings for investment purposes, in "Asia-Pacific debt". 1B. To eliminate the Fund's fundamental Mgmt Split 79% For 18% Against 3% AbstainSplit investment policy that the maximum country exposure to any one Asian Country (other than Korea) is limited to 20% of the Fund's total assets. 1C. To eliminate the Fund's fundamental Mgmt Split 91% For 6% Against 3% AbstainSplit investment policy that at least 20% of the Fund's total assets will be invested in "Australian debt securities". 1D. To eliminate the Fund's fundamental Mgmt Split 79% For 18% Against 3% AbstainSplit investment policy that the maximum country exposure for Korea is limited to 40% of the Fund's total assets. 1E. To eliminate the Fund's fundamental Mgmt Split 91% For 6% Against 3% AbstainSplit investment policy that the maximum country exposure for New Zealand is limited to 35% of the Fund's total assets. 1F. To eliminate the Fund's fundamental Mgmt Split 80% For 17% Against 3% AbstainSplit investment policy that the maximum currency exposure to any one Asian currency (other than Korea) is limited to 10% of total assets. 1G. To eliminate the Fund's fundamental Mgmt Split 90% For 7% Against 3% AbstainSplit investment policy that the maximum currency exposure for Korea is 25% of the Fund's total assets. 1H. To eliminate the Fund's fundamental Mgmt Split 91% For 6% Against 3% AbstainSplit investment policy that the maximum currency exposure for New Zealand is 35% of the Fund's total assets. 1I. To make the Fund's fundamental temporary Mgmt Split 92% For 5% Against 3% AbstainSplit defensive investment policy with respect to temporarily investing 100% of its assets in U.S. debt securities a non-fundamental policy but to include U.S. cash as well. 1J. To make the Fund's fundamental investment Mgmt Split 79% For 17% Against 4% AbstainSplit policy to invest up to 35% of its total assets in Asian debt securities rated below BBB- or Baa3 a non-fundamental policy - but with respect to Asia-Pacific debt securities instead of Asian debt securities. 1K. To make the Fund's fundamental investment Mgmt Split 92% For 5% Against 3% AbstainSplit policy with respect to entering into repurchase agreements a non-fundamental investment policy. 1L. To make the Fund's fundamental investment Mgmt Split 80% For 17% Against 3% AbstainSplit policy with respect to investing up to 10% of its total assets in securities rated below B- at the time of investment a non-fundamental investment policy. -------------------------------------------------------------------------------------------------------------------------- ABERDEEN ASIA-PACIFIC INCOME FUND, INC. Agenda Number: 935168131 -------------------------------------------------------------------------------------------------------------------------- Security: 003009A10 Meeting Type: Special Meeting Date: 10-Jun-2020 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class II Director to serve for Mgmt Split 90% For 7% Against 3% AbstainSplit a three-year term until the 2023 Annual Meeting of Shareholders: P. Gerald Malone 3A. Election of Class I Director For three-year Mgmt Split 90% For 8% Against 2% AbstainSplit term ending 2022: Neville J. Miles (To consider the continuation of the term of one Director under the Fund's Corporate Governance Policies) -------------------------------------------------------------------------------------------------------------------------- ABERDEEN FUNDS Agenda Number: 935074803 -------------------------------------------------------------------------------------------------------------------------- Security: 00326L100 Meeting Type: Annual Meeting Date: 09-Oct-2019 Ticker: AOD ISIN: US00326L1008 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class II Trustee to serve a Mgmt Split 75% For 25% Abstain Split term of three years until the 2022 Annual Meeting: P. Gerald Malone -------------------------------------------------------------------------------------------------------------------------- ABERDEEN FUNDS Agenda Number: 935126082 -------------------------------------------------------------------------------------------------------------------------- Security: 00301W105 Meeting Type: Annual Meeting Date: 04-Mar-2020 Ticker: AEF ISIN: US00301W1053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Election of Class III Director to serve for Mgmt Split 94% For 6% Against Split a term expiring in 2023: Steven N. Rappaport -------------------------------------------------------------------------------------------------------------------------- ABERDEEN FUNDS Agenda Number: 935157683 -------------------------------------------------------------------------------------------------------------------------- Security: 00302M106 Meeting Type: Annual Meeting Date: 06-May-2020 Ticker: AGD ISIN: US00302M1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class III Trustee to serve Mgmt Split 86% For 14% Abstain Split until the 2023 Annual Meeting of Shareholders: Nancy Yao Maasbach 1B. Election of Class III Trustee to serve Mgmt Split 95% For 5% Abstain Split until the 2023 Annual Meeting of Shareholders: Martin J. Gilbert -------------------------------------------------------------------------------------------------------------------------- ABERDEEN FUNDS Agenda Number: 935157683 -------------------------------------------------------------------------------------------------------------------------- Security: 00326L100 Meeting Type: Annual Meeting Date: 06-May-2020 Ticker: AOD ISIN: US00326L1008 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class III Trustee to serve Mgmt Split 77% For 23% Abstain Split until the 2023 Annual Meeting of Shareholders: Nancy Yao Maasbach 1B. Election of Class III Trustee to serve Mgmt Split 96% For 4% Abstain Split until the 2023 Annual Meeting of Shareholders: Martin J. Gilbert -------------------------------------------------------------------------------------------------------------------------- ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD Agenda Number: 935135067 -------------------------------------------------------------------------------------------------------------------------- Security: 01879R106 Meeting Type: Annual Meeting Date: 30-Mar-2020 Ticker: AWF ISIN: US01879R1068 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Robert M. Keith Mgmt Split 97% For 3% Withheld Split Carol C. McMullen Mgmt Split 93% For 7% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ALLIANCEBERNSTEIN NAT MUNI INCOME FD INC Agenda Number: 935135079 -------------------------------------------------------------------------------------------------------------------------- Security: 01864U106 Meeting Type: Annual Meeting Date: 30-Mar-2020 Ticker: AFB ISIN: US01864U1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Robert M. Keith Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI CONVERTIBLE & INCOME Agenda Number: 935051603 -------------------------------------------------------------------------------------------------------------------------- Security: 018828707 Meeting Type: Annual Meeting Date: 11-Jul-2019 Ticker: NCVPRA ISIN: US0188287074 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Trustee: Hans W. Kertess Mgmt Split 99% For 1% Abstain Split 1b. Election of Trustee: William B. Ogden, IV Mgmt Split 99% For 1% Abstain Split 1c. Election of Trustee: Sarah E. Cogan Mgmt Split 99% For 1% Abstain Split 1d. Election of Trustee: Thomas J. Fuccillo Mgmt Split 99% For 1% Abstain Split 1e. Election of Trustee: Erick R. Holt Mgmt Split 99% For 1% Abstain Split 1f. Election of Trustee: Alan Rappaport Mgmt Split 99% For 1% Abstain Split -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST Agenda Number: 935051653 -------------------------------------------------------------------------------------------------------------------------- Security: 01883A107 Meeting Type: Annual Meeting Date: 11-Jul-2019 Ticker: NFJ ISIN: US01883A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Trustee: Deborah A. DeCotis Mgmt Split 80% For 20% Abstain * 1b. Election of Trustee: Bradford K. Gallagher Mgmt Split 80% For 20% Abstain * 1c. Election of Trustee: James A. Jacobson Mgmt Split 80% For 20% Abstain * 1d. Election of Trustee: Erick R. Holt Mgmt Split 96% For 4% Abstain * 1e. Election of Trustee: Sarah E. Cogan Mgmt Split 96% For 4% Abstain * 1f. Election of Trustee: Thomas J Fuccillo Mgmt Split 96% For 4% Abstain * -------------------------------------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION Agenda Number: 935167999 -------------------------------------------------------------------------------------------------------------------------- Security: 04010L103 Meeting Type: Annual Meeting Date: 22-Jun-2020 Ticker: ARCC ISIN: US04010L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Michael J Arougheti Mgmt Split 67% For 31% Against 2% AbstainSplit 1B. Election of Director: Ann Torre Bates Mgmt Split 96% For 3% Against 1% AbstainSplit 1C. Election of Director: Steven B McKeever Mgmt Split 70% For 27% Against 3% AbstainSplit 2. To ratify the selection of KPMG LLP as the Mgmt Split 98% For 1% Against 1% AbstainSplit Company's independent registered public accounting firm for the year ending December 31, 2020. -------------------------------------------------------------------------------------------------------------------------- ARES DYNAMIC Agenda Number: 935169880 -------------------------------------------------------------------------------------------------------------------------- Security: 04014F102 Meeting Type: Annual Meeting Date: 21-May-2020 Ticker: ARDC ISIN: US04014F1021 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. The election of one Class I Director, to Mgmt Split 74% For 26% Abstain Split serve for a term expiring on the date on which the Annual Meeting of Stockholders is held in 2023 and until his successor is duly elected and qualifies: Bruce H. Spector -------------------------------------------------------------------------------------------------------------------------- BARINGS BDC, INC. Agenda Number: 935146046 -------------------------------------------------------------------------------------------------------------------------- Security: 06759L103 Meeting Type: Annual Meeting Date: 30-Apr-2020 Ticker: BBDC ISIN: US06759L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class II Director: Michael Mgmt Split 97% For 2% Against 1% AbstainSplit Freno 1B. Election of Class II Director: John A. Mgmt Split 64% For 35% Against 1% AbstainSplit Switzer 2. To authorize the Company, with subsequent Mgmt Split 84% For 15% Against 1% AbstainSplit approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). -------------------------------------------------------------------------------------------------------------------------- BIG ROCK PARTNERS ACQUISITION CORP Agenda Number: 935071073 -------------------------------------------------------------------------------------------------------------------------- Security: 089482103 Meeting Type: Special Meeting Date: 21-Aug-2019 Ticker: BRPA ISIN: US0894821034 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt For For Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to November 22, 2019. 2. Early Termination: Approve the Company's Mgmt For For early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. -------------------------------------------------------------------------------------------------------------------------- BIG ROCK PARTNERS ACQUISITION CORP Agenda Number: 935103351 -------------------------------------------------------------------------------------------------------------------------- Security: 089482103 Meeting Type: Special Meeting Date: 21-Nov-2019 Ticker: BRPA ISIN: US0894821034 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt For For Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to March 23, 2020. 2. Early Termination: Approve the Company's Mgmt For For early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. -------------------------------------------------------------------------------------------------------------------------- BIG ROCK PARTNERS ACQUISITION CORP Agenda Number: 935142428 -------------------------------------------------------------------------------------------------------------------------- Security: 089482103 Meeting Type: Special Meeting Date: 23-Mar-2020 Ticker: BRPA ISIN: US0894821034 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt For For Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to July 23, 2020. 2. Early Termination: Approve the Company's Mgmt For For early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. -------------------------------------------------------------------------------------------------------------------------- BLACK RIDGE ACQUISITION CORP. Agenda Number: 935058316 -------------------------------------------------------------------------------------------------------------------------- Security: 09216T107 Meeting Type: Special Meeting Date: 09-Jul-2019 Ticker: BRAC ISIN: US09216T1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt No vote Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to August 10, 2019. -------------------------------------------------------------------------------------------------------------------------- BLACK RIDGE ACQUISITION CORP. Agenda Number: 935053455 -------------------------------------------------------------------------------------------------------------------------- Security: 09216T107 Meeting Type: Special Meeting Date: 09-Aug-2019 Ticker: BRAC ISIN: US09216T1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To consider and vote upon a proposal to Mgmt Split 80% For 19% Against 1% AbstainSplit approve and adopt the Agreement and Plan of Reorganization, dated as of December 19, 2018, and to approve the transactions contemplated thereby. 2a. To approve amendments to the amended and Mgmt Split 84% For 15% Against 1% AbstainSplit restated certificate of incorporation of BRAC, effective following the business combination, to: change the name of BRAC from "Black Ridge Acquisition Corp." to "Allied Esports Entertainment, Inc." 2b. To approve amendments to the amended and Mgmt Split 84% For 15% Against 1% AbstainSplit restated certificate of incorporation of BRAC, effective following the business combination, to: increase the number of authorized shares of BRAC Common Stock. 2c. To approve amendments to the amended and Mgmt Split 80% For 15% Against 5% AbstainSplit restated certificate of incorporation of BRAC, effective following the business combination, to: remove provisions that will no longer be applicable to BRAC after the business combination. 3a. To Elect the following Class A Director to Mgmt Split 90% For 8% Against 2% AbstainSplit serve until 2020 annual meeting: Ken DeCubellis 3b. To Elect the following Class A Director to Mgmt Split 84% For 14% Against 2% AbstainSplit serve until 2020 annual meeting: Lyle Berman 3c. To Elect the following Class A Director to Mgmt Split 90% For 8% Against 2% AbstainSplit serve until 2020 annual meeting: Benjamin Oehler 3d. To Elect the following Class B Director to Mgmt Split 84% For 14% Against 2% AbstainSplit serve until 2021 annual meeting: Dr. Kan Hee Anthony Tyen 3e. To Elect the following Class B Director to Mgmt Split 84% For 14% Against 2% AbstainSplit serve until 2021 annual meeting: Ho min Kim 3f. To Elect the following Class B Director to Mgmt Split 90% For 8% Against 2% AbstainSplit serve until 2021 annual meeting: Bradley Berman 3g. To Elect the following Class B Director to Mgmt Split 90% For 8% Against 2% AbstainSplit serve until 2021 annual meeting: Joseph Lahti 3h. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit serve until 2022 annual meeting: Frank Ng 3i. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit serve until 2022 annual meeting: Eric Yang 3j. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit serve until 2022 annual meeting: Adam Pliska 3k. To Elect the following Class C Director to Mgmt Split 84% For 14% Against 2% AbstainSplit serve until 2022 annual meeting: Maya Rogers 4. To approve an equity incentive plan to be Mgmt Split 80% For 14% Against 6% AbstainSplit effective upon consummation of the business combination. 5. To adjourn the annual meeting to a later Mgmt Split 78% For 16% Against 6% AbstainSplit date or dates if determined by the officer presiding over the meeting. -------------------------------------------------------------------------------------------------------------------------- BLACKROCK CORPORATE HIGH YIELD FD VI INC Agenda Number: 935052605 -------------------------------------------------------------------------------------------------------------------------- Security: 09255P107 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: HYT ISIN: US09255P1075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt Split 82% For 18% Withheld Split Frank J. Fabozzi Mgmt Split 75% For 25% Withheld Split Robert Fairbairn Mgmt Split 96% For 4% Withheld Split Henry Gabbay Mgmt Split 89% For 11% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK CREDIT ALLOCATION INCOME TRUST Agenda Number: 935047818 -------------------------------------------------------------------------------------------------------------------------- Security: 092508100 Meeting Type: Annual Meeting Date: 08-Jul-2019 Ticker: BTZ ISIN: US0925081004 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt No vote Cynthia L. Egan Mgmt No vote Robert Fairbairn Mgmt No vote Henry Gabbay Mgmt No vote 2. If properly presented at the meeting, a Shr No vote shareholder proposal to declassify the Board of Trustees, so that all Trustees are elected on an annual basis. -------------------------------------------------------------------------------------------------------------------------- BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 935052605 -------------------------------------------------------------------------------------------------------------------------- Security: 09255R202 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: DSU ISIN: US09255R2022 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt Split 41% For 59% Withheld Split Frank J. Fabozzi Mgmt Split 41% For 59% Withheld Split Robert Fairbairn Mgmt Split 41% For 59% Withheld Split Henry Gabbay Mgmt Split 82% For 18% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK FLOATING RATE INCOME TRUST Agenda Number: 935052592 -------------------------------------------------------------------------------------------------------------------------- Security: 091941104 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: BGT ISIN: US0919411043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt Split 86% For 14% Withheld Split Cynthia L. Egan Mgmt Split 88% For 12% Withheld Split Robert Fairbairn Mgmt Split 88% For 12% Withheld Split Henry Gabbay Mgmt Split 88% For 12% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK FLTING RT INCOME STRA FD INC Agenda Number: 935052605 -------------------------------------------------------------------------------------------------------------------------- Security: 09255X100 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: FRA ISIN: US09255X1000 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt Split 76% For 24% Withheld Split Frank J. Fabozzi Mgmt Split 76% For 24% Withheld Split Robert Fairbairn Mgmt Split 80% For 20% Withheld Split Henry Gabbay Mgmt Split 80% For 20% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK INSURED MUNICIPAL INCOME TRUST Agenda Number: 935052592 -------------------------------------------------------------------------------------------------------------------------- Security: 092479104 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: BYM ISIN: US0924791041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt Split 78% For 22% Withheld Split Cynthia L. Egan Mgmt Split 78% For 22% Withheld Split Robert Fairbairn Mgmt Split 78% For 22% Withheld Split Henry Gabbay Mgmt Split 78% For 22% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK LTD DURATION INCOME TR Agenda Number: 935052592 -------------------------------------------------------------------------------------------------------------------------- Security: 09249W101 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: BLW ISIN: US09249W1018 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt Split 93% For 7% Withheld Split Cynthia L. Egan Mgmt Split 98% For 2% Withheld Split Robert Fairbairn Mgmt Split 98% For 2% Withheld Split Henry Gabbay Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MULTI SECTOR INCOME TRUST Agenda Number: 935052592 -------------------------------------------------------------------------------------------------------------------------- Security: 09258A107 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: BIT ISIN: US09258A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Cavanagh Mgmt Split 92% For 8% Withheld Split Cynthia L. Egan Mgmt Split 92% For 8% Withheld Split Robert Fairbairn Mgmt Split 99% For 1% Withheld Split Henry Gabbay Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIHOLDINGS CA INSD FD INC Agenda Number: 935052554 -------------------------------------------------------------------------------------------------------------------------- Security: 09254L107 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: MUC ISIN: US09254L1070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Castellano Mgmt Split 83% For 17% Withheld Split Richard E. Cavanagh Mgmt Split 82% For 18% Withheld Split Cynthia L. Egan Mgmt Split 84% For 16% Withheld Split Robert Fairbairn Mgmt Split 83% For 17% Withheld Split Henry Gabbay Mgmt Split 83% For 17% Withheld Split R. Glenn Hubbard Mgmt Split 83% For 17% Withheld Split Catherine A. Lynch Mgmt Split 84% For 16% Withheld Split John M. Perlowski Mgmt Split 83% For 17% Withheld Split Karen P. Robards Mgmt Split 83% For 17% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIYIELD CALIFORNIA INSU FUND Agenda Number: 935052554 -------------------------------------------------------------------------------------------------------------------------- Security: 09254N103 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: MCA ISIN: US09254N1037 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Castellano Mgmt Split 79% For 21% Withheld Split Richard E. Cavanagh Mgmt Split 79% For 21% Withheld Split Cynthia L. Egan Mgmt Split 79% For 21% Withheld Split Robert Fairbairn Mgmt Split 79% For 21% Withheld Split Henry Gabbay Mgmt Split 79% For 21% Withheld Split R. Glenn Hubbard Mgmt Split 79% For 21% Withheld Split Catherine A. Lynch Mgmt Split 79% For 21% Withheld Split John M. Perlowski Mgmt Split 79% For 21% Withheld Split Karen P. Robards Mgmt Split 79% For 21% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIYIELD INSURED FUND Agenda Number: 935052554 -------------------------------------------------------------------------------------------------------------------------- Security: 09254E103 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: MYI ISIN: US09254E1038 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Castellano Mgmt Split 66% For 34% Withheld Split Richard E. Cavanagh Mgmt Split 72% For 28% Withheld Split Cynthia L. Egan Mgmt Split 73% For 27% Withheld Split Robert Fairbairn Mgmt Split 72% For 28% Withheld Split Henry Gabbay Mgmt Split 72% For 28% Withheld Split R. Glenn Hubbard Mgmt Split 72% For 28% Withheld Split Catherine A. Lynch Mgmt Split 67% For 33% Withheld Split John M. Perlowski Mgmt Split 72% For 28% Withheld Split Karen P. Robards Mgmt Split 67% For 33% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK MUNIYIELD NY INSURED FUND Agenda Number: 935052554 -------------------------------------------------------------------------------------------------------------------------- Security: 09255E102 Meeting Type: Annual Meeting Date: 29-Jul-2019 Ticker: MYN ISIN: US09255E1029 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Castellano Mgmt Split 71% For 29% Withheld Split Richard E. Cavanagh Mgmt Split 71% For 29% Withheld Split Cynthia L. Egan Mgmt Split 72% For 28% Withheld Split Robert Fairbairn Mgmt Split 72% For 28% Withheld Split Henry Gabbay Mgmt Split 72% For 28% Withheld Split R. Glenn Hubbard Mgmt Split 71% For 29% Withheld Split Catherine A. Lynch Mgmt Split 72% For 28% Withheld Split John M. Perlowski Mgmt Split 73% For 27% Withheld Split Karen P. Robards Mgmt Split 72% For 28% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CALAMOS INVESTMENTS Agenda Number: 935223836 -------------------------------------------------------------------------------------------------------------------------- Security: 12812C106 Meeting Type: Annual Meeting Date: 29-Jun-2020 Ticker: CPZ ISIN: US12812C1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR John P. Calamos, Sr. Mgmt Split 99% For 1% Withheld Split Christopher M. Toub Mgmt Split 99% For 1% Withheld Split Karen L. Stuckey Mgmt Split 99% For 1% Withheld Split William R. Rybak Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 935049228 -------------------------------------------------------------------------------------------------------------------------- Security: 18914E106 Meeting Type: Annual Meeting Date: 16-Jul-2019 Ticker: GLO ISIN: US18914E1064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 3. DIRECTOR Adam D. Crescenzi Mgmt Split 93% For 7% Withheld Split Jerry G. Rutledge Mgmt Split 93% For 7% Withheld Split -------------------------------------------------------------------------------------------------------------------------- COHEN & STEERS QUALITY INC RLTY, FD INC. Agenda Number: 935144458 -------------------------------------------------------------------------------------------------------------------------- Security: 19247L106 Meeting Type: Annual Meeting Date: 14-May-2020 Ticker: RQI ISIN: US19247L1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael G. Clark Mgmt Split 92% For 8% Withheld Split Dean A. Junkans Mgmt Split 92% For 8% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE FLOATING-RATE INCOME TRUST Agenda Number: 935126690 -------------------------------------------------------------------------------------------------------------------------- Security: 278279104 Meeting Type: Annual Meeting Date: 19-Mar-2020 Ticker: EFT ISIN: US2782791048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Thomas E. Faust Jr. Mgmt Split 79% For 21% Withheld Split Cynthia E. Frost Mgmt Split 79% For 21% Withheld Split Scott E. Wennerholm Mgmt Split 79% For 21% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 935112211 -------------------------------------------------------------------------------------------------------------------------- Security: 27828H105 Meeting Type: Annual Meeting Date: 16-Jan-2020 Ticker: EVV ISIN: US27828H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR Thomas E. Faust Jr. Mgmt Split 78% For 22% Withheld Split Mark R. Fetting Mgmt Split 78% For 22% Withheld Split Keith Quinton Mgmt Split 78% For 22% Withheld Split 2. A non-binding shareholder proposal that the Shr Split 46% For 51% Against 3% AbstainSplit Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis. -------------------------------------------------------------------------------------------------------------------------- EATON VANCE SENIOR FLOATING-RATE TRUST Agenda Number: 935056956 -------------------------------------------------------------------------------------------------------------------------- Security: 27828Q105 Meeting Type: Annual Meeting Date: 15-Aug-2019 Ticker: EFR ISIN: US27828Q1058 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Cynthia E. Frost Mgmt Split 97% For 3% Withheld Split Valerie A. Mosley Mgmt Split 96% For 4% Withheld Split Scott E. Wennerholm Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE SENIOR INCOME TRUST Agenda Number: 935074031 -------------------------------------------------------------------------------------------------------------------------- Security: 27826S103 Meeting Type: Annual Meeting Date: 17-Oct-2019 Ticker: EVF ISIN: US27826S1033 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR George J. Gorman Mgmt Split 75% For 25% Withheld Split Marcus L. Smith Mgmt Split 75% For 25% Withheld Split -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST ADVISORS Agenda Number: 935068949 -------------------------------------------------------------------------------------------------------------------------- Security: 33740K101 Meeting Type: Annual Meeting Date: 09-Sep-2019 Ticker: FIV ISIN: US33740K1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Election of Class II Trustee: Niel B. Mgmt Split 98% For 2% Abstain Split Nielson -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST ADVISORS Agenda Number: 935122894 -------------------------------------------------------------------------------------------------------------------------- Security: 33738E109 Meeting Type: Annual Meeting Date: 09-Mar-2020 Ticker: FSD ISIN: US33738E1091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1 DIRECTOR Robert F. Keith Mgmt Split 77% For 23% Withheld Split 2 If properly presented at the Meeting, a Shr Split 22% For 76% Against 2% AbstainSplit shareholder proposal to terminate all investment advisory and management agreements pertaining to the Fund. -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST INTERMEDIATE Agenda Number: 935145599 -------------------------------------------------------------------------------------------------------------------------- Security: 33718W103 Meeting Type: Annual Meeting Date: 22-Apr-2020 Ticker: FPF ISIN: US33718W1036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR ROBERT F. KEITH Mgmt Split 88% For 12% Withheld Split -------------------------------------------------------------------------------------------------------------------------- FS KKR CAPITAL CORP. Agenda Number: 935016661 -------------------------------------------------------------------------------------------------------------------------- Security: 302635107 Meeting Type: Annual Meeting Date: 16-Jul-2019 Ticker: FSK ISIN: US3026351078 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Barbara Adams Mgmt Split 96% For 4% Withheld Split Frederick Arnold Mgmt Split 95% For 5% Withheld Split Michael C. Forman Mgmt Split 95% For 5% Withheld Split Jerel A. Hopkins Mgmt Split 95% For 5% Withheld Split 2. To approve the application of the reduced Mgmt Split 75% For 21% Against 4% AbstainSplit asset coverage requirements in Section 61(a)(2) of the Investment Company Act of 1940, as amended, to the Company, which would permit the Company to increase the maximum amount of leverage that it is permitted to incur by reducing the asset coverage requirement applicable to the Company from 200% to 150%. 3. To approve the proposal to allow the Mgmt Split 70% For 25% Against 5% AbstainSplit Company in future offerings to sell its shares below net asset value per share in order to provide flexibility for future sales. -------------------------------------------------------------------------------------------------------------------------- GLADSTONE INVESTMENT CORPORATION Agenda Number: 935052516 -------------------------------------------------------------------------------------------------------------------------- Security: 376546503 Meeting Type: Annual Meeting Date: 15-Aug-2019 Ticker: GAINM ISIN: US3765465030 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Paul Adelgren Mgmt Split 39% For 61% Withheld Split David Gladstone Mgmt Split 39% For 61% Withheld Split John Outland Mgmt Split 39% For 61% Withheld Split 2. To approve a proposal to authorize the Mgmt Split 92% For 7% Against 1% AbstainSplit Company, with subsequent approval of its board of directors, to issue & sell shares of the Company's common stock (during the 12 months following such stockholder approval) at a price below its then current net asset value per share, subject to certain limitations set forth in Proxy Statement (including, without limitation, that the number of shares issued & sold pursuant to such stockholder approval does not exceed 25% of Company's then outstanding common stock immediately prior to each such sale) -------------------------------------------------------------------------------------------------------------------------- GORDON POINTE ACQUISITION CORP Agenda Number: 935145082 -------------------------------------------------------------------------------------------------------------------------- Security: 382788107 Meeting Type: Special Meeting Date: 30-Mar-2020 Ticker: GPAQ ISIN: US3827881075 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Proposal to amend the Mgmt For For Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination for forty-five (45) days from March 30, 2020 to May 14, 2020. 2. Trust Amendment: Proposal to amend the Mgmt For For Investment Management Trust Agreement, dated as of January 24, 2018, as amended, between the Company and Continental Stock Transfer & Trust Company ("Continental"), to extend the date on which Continental must liquidate the Trust Account established in connection with the Company's initial public offering if the Company has not completed a business combination for forty-five (45) days from March 30, 2020 to May 14, 2020. -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 935073990 -------------------------------------------------------------------------------------------------------------------------- Security: 00764C109 Meeting Type: Annual Meeting Date: 25-Sep-2019 Ticker: AVK ISIN: US00764C1099 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a. Election of Trustee: Mr. Randall C. Barnes Mgmt Split 65% For 33% Against 2% AbstainSplit 1b. Election of Trustee: Mr. Derek Medina Mgmt Split 65% For 33% Against 2% AbstainSplit 1c. Election of Trustee: Mr. Gerald L. Seizert Mgmt Split 65% For 33% Against 2% AbstainSplit -------------------------------------------------------------------------------------------------------------------------- HEALTH SCIENCES ACQUISITIONS CORPORATION Agenda Number: 935113388 -------------------------------------------------------------------------------------------------------------------------- Security: 42227C102 Meeting Type: Special Meeting Date: 16-Dec-2019 Ticker: HSAC ISIN: US42227C1027 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Adopt the Share Exchange Agreement, dated Mgmt For For as of September 29, 2019 ("Share Exchange Agreement"), by and among Health Sciences Acquisitions Corporation ("HSAC"), Immunovant Sciences Ltd., a Bermuda exempted limited company ("Immunovant"), stockholders of Immunovant ("Sellers") and Roivant Sciences Ltd., a Bermuda exempted limited company, as representative of the Sellers, and thereby approve the transactions contemplated under the Share Exchange Agreement ("Business Combination"). This proposal is referred to as the "Business Combination Proposal". 2A. To approve, subject to and with immediate Mgmt For For effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: change name of the combined company after the Business Combination (the "Combined Company") to "Immunovant, Inc." from "Health Sciences Acquisition Corporation". 2B. To approve, subject to and with immediate Mgmt For For effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: the authorized number of shares of common stock from 30,000,000 shares to 500,000,000 shares. 2C. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to authorize the issuance of up to 10,000,000 shares of "blank check" preferred stock, the rights, preferences and privileges of which may be designated from time to time by the Combined Company's board of directors to increase the number of outstanding shares and discourage a takeover attempt. 2D. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to authorize the issuance of up to 10,000 shares of Series A Preferred Stock ("Series A Preferred Stock") and designate the rights, preferences and privileges of the Series A Preferred Stock, including that the holder(s) of a majority of the outstanding shares of Series A Preferred Stock will be entitled to elect: (1) four directors (the "Series A Preferred Directors"), (2) three Series A Preferred Directors and (3) two Series A Preferred Directors. 2E. To approve, subject to and with immediate Mgmt For For effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: provide that the number of directors constituting the board of directors of the Combined Company will be fixed at no less than seven. 2F. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to provide that directors may be removed with or without cause by the affirmative vote of the holders of at least 66 2/3% of the voting power of all then-outstanding shares of the Combined Company's capital stock entitled to vote generally at an election of directors; provided that the Series A Preferred Directors may be removed without cause only by the holder(s) of Series A Preferred Stock. 2G. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to declassify the Combined Company's board of directors and provide that each director will serve for a one-year term, until his or her successor is duly elected and qualified or until his or her earlier death, resignation or removal. 2H. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to provide that, as long as the Combined Company is a "controlled company," the chairperson of the broad of directors of the Combined Company will be entitled to a casting vote and be entitled to two votes on any matter or resolution presented to the full board of directors or any committee on which he or she then serves for which a majority vote cannot be obtained. 2I. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to provide that from and after such time as the Combined Company is no longer a "controlled company," no action shall be taken by the stockholders of the Combined Company except at an annual or special meeting of stockholders called in accordance with the Combined Company's bylaws, and no action shall be taken by the stockholders by written consent or electronic transmission. 2J. To approve, subject to and with immediate Mgmt For For effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: provide that the Combined Company opts out of Section 203 of the Delaware General Corporation Law. 2K. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to provide that, from and after such time as the Combined Company is no longer a "controlled company," as such term is defined under the rules of the exchange on which the Combined Company's securities are listed, any amendment to the Combined Company's bylaws will require the approval of the holders of at least 66 2/3% of the Combined Company's then-outstanding shares of capital stock entitled to vote generally at an election of directors. 2L. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to provide that, from and after such time as the Combined Company is no longer a "controlled company," any amendment to certain provisions of the Amended Charter will require the approval of the holders of at least 66 2/3% of the Combined Company's then-outstanding shares of capital stock entitled to vote generally at an election of directors. 2M. To approve, subject to and with immediate Mgmt For For effect upon the consummation of the Business Combination, the following proposals to amend HSAC's current Amended and Restated Certificate of Incorporation as set forth in the proposed Second Amended and Restated Certificate of Incorporation of HSAC (the "Amended Charter") to: remove various provisions related to its operations as a blank check company prior to the consummation of an initial business combination. 2N. To approve to amend HSAC's current Amended Mgmt For For and Restated Certificate of Incorporation to provide that the federal district courts of the United States of America will be the exclusive forum for resolving any complaint asserting a cause of action arising under the Securities Act of 1933, as amended. 3. To approve the issuance of more than 20% of Mgmt For For the issued and outstanding shares of HSAC's common stock pursuant to the terms of the Share Exchange Agreement, resulting in a change of control, as required by Nasdaq Listing Rules 5635(a), (b) and (d). This proposal is referred to as the "Nasdaq Proposal" or "Proposal No. 3." 4. To approve the 2019 HSAC Equity Incentive Mgmt For For Plan. This proposal is referred to as the "Equity Incentive Plan Proposal" or "Proposal No. 4". 5. To approve the adjournment of the special Mgmt For For meeting for the purpose of soliciting additional proxies in favor of the adoption of the Share Exchange Agreement in the event HSAC does not receive the requisite shareholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal" or "Proposal No. 5." -------------------------------------------------------------------------------------------------------------------------- HIGHLAND FUNDS Agenda Number: 935209177 -------------------------------------------------------------------------------------------------------------------------- Security: 43010E404 Meeting Type: Annual Meeting Date: 12-Jun-2020 Ticker: HFRO ISIN: US43010E4044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Dr. Bob Froehlich Mgmt Split 85% For 15% Withheld Split -------------------------------------------------------------------------------------------------------------------------- HIGHLAND FUNDS Agenda Number: 935212580 -------------------------------------------------------------------------------------------------------------------------- Security: 43010T104 Meeting Type: Annual Meeting Date: 12-Jun-2020 Ticker: HGLB ISIN: US43010T1043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Dr. Bob Froehlich Mgmt Split 81% For 19% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 935061921 -------------------------------------------------------------------------------------------------------------------------- Security: 46138E727 Meeting Type: Special Meeting Date: 19-Aug-2019 Ticker: PXH ISIN: US46138E7278 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Ronn R. Bagge Mgmt Split 99% For 1% Withheld Split Todd J. Barre Mgmt For For Kevin M. Carome Mgmt For For E. P. Giambastiani, Jr. Mgmt For For Victoria J. Herget Mgmt For For Marc M. kole Mgmt Split 98% For 2% Withheld Split Yung Bong Lim Mgmt For For Joanne Pace Mgmt For For Gary R. Wicker Mgmt Split 99% For 1% Withheld Split Donald H. Wilson Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 935061921 -------------------------------------------------------------------------------------------------------------------------- Security: 46137V613 Meeting Type: Special Meeting Date: 19-Aug-2019 Ticker: PRF ISIN: US46137V6130 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Ronn R. Bagge Mgmt Split 99% For 1% Withheld Split Todd J. Barre Mgmt For For Kevin M. Carome Mgmt For For E. P. Giambastiani, Jr. Mgmt For For Victoria J. Herget Mgmt For For Marc M. kole Mgmt Split 99% For 1% Withheld Split Yung Bong Lim Mgmt For For Joanne Pace Mgmt For For Gary R. Wicker Mgmt For For Donald H. Wilson Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 935062151 -------------------------------------------------------------------------------------------------------------------------- Security: 46132R104 Meeting Type: Annual Meeting Date: 23-Aug-2019 Ticker: VTA ISIN: US46132R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a DIRECTOR Cynthia Hostetler Mgmt Split 97% For 3% Withheld Split Eli Jones Mgmt Split 98% For 2% Withheld Split Ann Barnett Stern Mgmt Split 98% For 2% Withheld Split Raymond Stickel, Jr. Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 935062151 -------------------------------------------------------------------------------------------------------------------------- Security: 46131H107 Meeting Type: Annual Meeting Date: 23-Aug-2019 Ticker: VVR ISIN: US46131H1077 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a DIRECTOR Cynthia Hostetler Mgmt Split 98% For 2% Withheld Split Eli Jones Mgmt Split 98% For 2% Withheld Split Ann Barnett Stern Mgmt Split 98% For 2% Withheld Split Raymond Stickel, Jr. Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- KAYNE ANDERSON MLP/MIDSTREAM INV CO Agenda Number: 935138114 -------------------------------------------------------------------------------------------------------------------------- Security: 486606106 Meeting Type: Annual Meeting Date: 07-May-2020 Ticker: KYN ISIN: US4866061066 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: WILLIAM R. CORDES Mgmt Split 97% For 2% Against 1% AbstainSplit 1B. Election of Director: BARRY R. PEARL Mgmt Split 97% For 2% Against 1% AbstainSplit 2. THE RATIFICATION OF THE SELECTION OF Mgmt Split 98% For 1% Against 1% AbstainSplit PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2020. -------------------------------------------------------------------------------------------------------------------------- LEGACY ACQUISITION CORP. Agenda Number: 935086478 -------------------------------------------------------------------------------------------------------------------------- Security: 524643103 Meeting Type: Special Meeting Date: 22-Oct-2019 Ticker: LGC ISIN: US5246431036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To amend the Company's amended and restated Mgmt For For certificate of incorporation to extend the date by which the Company has to consummate a business combination from November 21, 2019 to December 21, 2019, plus an option for the Company to further extend such date up to five times, initially to January 21, 2020 and thereafter by additional 30 day periods each to May 20, 2020 (the "Extended Date"), a copy of which is attached as Exhibit A to the proxy statement and as more fully described therein. 2. To amend the Company's investment Mgmt For For management trust agreement, dated as of November 16, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination from November 21, 2019 to the Extended Date, a copy of which is attached as Exhibit B to the proxy statement and as more fully described therein. -------------------------------------------------------------------------------------------------------------------------- LEGACY ACQUISITION CORP. Agenda Number: 935222416 -------------------------------------------------------------------------------------------------------------------------- Security: 524643111 Meeting Type: Consent Meeting Date: 08-Jun-2020 Ticker: LGCWS ISIN: US5246431119 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve amendments to that certain Mgmt For For Warrant Agreement, dated as of November 16, 2017, between the Company and Continental Stock Transfer & Trust Company (the "Warrant Agreement"), which amendments provide, among other things. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 935075247 -------------------------------------------------------------------------------------------------------------------------- Security: 95768B107 Meeting Type: Annual Meeting Date: 04-Oct-2019 Ticker: HYI ISIN: US95768B1070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR William R. Hutchinson Mgmt Split 90% For 10% Withheld Split Nisha Kumar Mgmt Split 97% For 3% Withheld Split Jane Trust Mgmt Split 90% For 10% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 935078940 -------------------------------------------------------------------------------------------------------------------------- Security: 95766B109 Meeting Type: Annual Meeting Date: 25-Oct-2019 Ticker: EHI ISIN: US95766B1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Robert D. Agdern Mgmt No vote Eileen A. Kamerick Mgmt No vote 2. A non-binding proposal put forth by Saba Shr No vote Capital Management, L.P., if properly presented before the Meeting, requesting that the Board of Directors take all necessary steps in its power to declassify the Board of Directors. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 935128620 -------------------------------------------------------------------------------------------------------------------------- Security: 95766K109 Meeting Type: Annual Meeting Date: 20-Mar-2020 Ticker: HIO ISIN: US95766K1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class I Director: Robert D. Mgmt Split 65% For 34% Against 1% AbstainSplit Agdern 1.2 Election of Class I Director: Carol L. Mgmt Split 65% For 34% Against 1% AbstainSplit Colman, CFA 1.3 Election of Class I Director: Daniel P. Mgmt Split 62% For 37% Against 1% AbstainSplit Cronin 2. To ratify the selection of Mgmt Split 98% For 1% Against 1% AbstainSplit PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended September 30, 2020. 3. A non-binding proposal put forth by Saba Shr Split 40% For 57% Against 3% AbstainSplit Capital Management, L.P. regarding a self-tender offer, if properly presented before the Meeting. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 935128632 -------------------------------------------------------------------------------------------------------------------------- Security: 10537L104 Meeting Type: Annual Meeting Date: 20-Mar-2020 Ticker: BWG ISIN: US10537L1044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class II Director: Nisha Kumar Mgmt No vote 1.2 Election of Class II Director: Jane E. Mgmt No vote Trust, CFA 2. To ratify the selection of Mgmt No vote PricewaterhouseCoopers LLP ("PwC") as independent registered public accountants of the Fund for the fiscal year ended October 31, 2020. 3. A non-binding proposal put forth by an Shr No vote affiliate of Bulldog Investors, LLC requesting that the Board consider a self-tender offer for all outstanding shares of the Fund at or close to net asset value, if properly presented before the Meeting. 4. A non-binding proposal put forth by an Shr No vote affiliate of Bulldog Investors, LLC requesting that the Board amend the Fund's bylaws to provide a majority of votes cast voting standard for contested director elections, if properly presented before the Meeting. -------------------------------------------------------------------------------------------------------------------------- LEISURE ACQUISITION CORP. Agenda Number: 935098170 -------------------------------------------------------------------------------------------------------------------------- Security: 52539T107 Meeting Type: Special Meeting Date: 26-Nov-2019 Ticker: LACQ ISIN: US52539T1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Proposal to amend the Mgmt For For Company's Second Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from December 5, 2019 to April 5, 2020. 2. Trust Amendment: Proposal to amend the Mgmt For For Company's investment management trust agreement, dated December 1, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination by April 5, 2020. 3. DIRECTOR Steven M. Rittvo Mgmt For For David L. Weinstein Mgmt For For 4. Auditor Proposal: Proposal to ratify the Mgmt For For selection by our Audit Committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. 5. Adjournment Proposal: Proposal to adjourn Mgmt For For the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. -------------------------------------------------------------------------------------------------------------------------- LEISURE ACQUISITION CORP. Agenda Number: 935098170 -------------------------------------------------------------------------------------------------------------------------- Security: 52539T206 Meeting Type: Special Meeting Date: 26-Nov-2019 Ticker: LACQU ISIN: US52539T2069 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Proposal to amend the Mgmt For For Company's Second Amended and Restated Certificate of Incorporation to extend the date by which the Company must consummate a business combination from December 5, 2019 to April 5, 2020. 2. Trust Amendment: Proposal to amend the Mgmt For For Company's investment management trust agreement, dated December 1, 2017, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination by April 5, 2020. 3. DIRECTOR Steven M. Rittvo Mgmt For For David L. Weinstein Mgmt For For 4. Auditor Proposal: Proposal to ratify the Mgmt For For selection by our Audit Committee of Marcum LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. 5. Adjournment Proposal: Proposal to adjourn Mgmt For For the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. -------------------------------------------------------------------------------------------------------------------------- LEISURE ACQUISITION CORP. Agenda Number: 935137491 -------------------------------------------------------------------------------------------------------------------------- Security: 52539T107 Meeting Type: Special Meeting Date: 26-Mar-2020 Ticker: LACQ ISIN: US52539T1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Proposal to amend the Mgmt For For Company's Second Amended and Restated Certificate of Incorporation, as amended on December 5, 2019, to extend the date by which the Company must consummate a business combination from April 5, 2020 to June 30, 2020. 2. Trust Amendment: Proposal to amend the Mgmt For For Company's investment management trust agreement, dated December 1, 2017, as amended on December 5, 2019, by and between the Company and Continental Stock Transfer & Trust Company to extend the date on which to commence liquidating the trust account established in connection with the Company's initial public offering in the event the Company has not consummated a business combination from April 5, 2020 to June 30, 2020. 3. Adjournment Proposal: Proposal to adjourn Mgmt For For the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Special Meeting, there are not sufficient votes to approve any of the foregoing proposals. -------------------------------------------------------------------------------------------------------------------------- LF CAPITAL ACQUISTION CORP Agenda Number: 935100658 -------------------------------------------------------------------------------------------------------------------------- Security: 50200K108 Meeting Type: Annual Meeting Date: 03-Dec-2019 Ticker: LFAC ISIN: US50200K1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR James Erwin Mgmt For For Karen Wendel Mgmt For For 2. Ratification of the selection by the Audit Mgmt For For Committee of RSM US LLP to serve as our independent registered public accounting firm for the year ending December 31, 2019. -------------------------------------------------------------------------------------------------------------------------- LF CAPITAL ACQUISTION CORP Agenda Number: 935227276 -------------------------------------------------------------------------------------------------------------------------- Security: 50200K108 Meeting Type: Special Meeting Date: 16-Jun-2020 Ticker: LFAC ISIN: US50200K1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Proposal to amend the Mgmt For For Company's Amended and Restated Certificate of Incorporation, as previously amended, to extend the date by which the Company must consummate a business combination from June 22, 2020 to September 22, 2020. 2. Adjournment of the Special Meeting Proposal Mgmt For For to direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the Meeting, there are not sufficient votes to approve the foregoing proposal. -------------------------------------------------------------------------------------------------------------------------- LIBERTY ALL-STAR EQUITY FUND Agenda Number: 935059267 -------------------------------------------------------------------------------------------------------------------------- Security: 530158104 Meeting Type: Annual Meeting Date: 22-Aug-2019 Ticker: USA ISIN: US5301581048 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John J. Neuhasuer Mgmt Split 95% For 5% Withheld Split Milton M. Irvin Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NEUBERGER BERMAN HI/YLD STRATEGY Agenda Number: 935075540 -------------------------------------------------------------------------------------------------------------------------- Security: 64128C106 Meeting Type: Annual Meeting Date: 03-Oct-2019 Ticker: NHS ISIN: US64128C1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Frederic Gabriel Mgmt No vote Thomas H. McGlade Mgmt No vote Arthur D. Lipson Mgmt No vote 2. Proposal 2- Termination of the Management Mgmt No vote Agreement between the Fund and Neuberger Berman Management LLC, dated August 6, 2010, as amended or novated and all other advisory and management agreements between the Fund and Neuberger Berman Investment Advisers LLC. 3. Proposal 3- For the Board to consider Mgmt No vote authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV'). If more than 50% of the Fund's outstanding shares are submitted for tender, the tender offer should be cancelled and the Board should take the steps necessary to liquidate or convert the Fund into an open-end mutual fund. -------------------------------------------------------------------------------------------------------------------------- NUVEEN AMT FREE QUALITY MUNI INC FD Agenda Number: 935059748 -------------------------------------------------------------------------------------------------------------------------- Security: 670657105 Meeting Type: Annual Meeting Date: 07-Aug-2019 Ticker: NEA ISIN: US6706571055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1c. DIRECTOR Judith M. Stockdale Mgmt Split 81% For 19% Withheld Split Carole E. Stone Mgmt Split 76% For 24% Withheld Split Margaret L. Wolff Mgmt Split 82% For 18% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN FLOATING RATE INCOME OPP FD Agenda Number: 935139394 -------------------------------------------------------------------------------------------------------------------------- Security: 6706EN100 Meeting Type: Annual Meeting Date: 22-Apr-2020 Ticker: JRO ISIN: US6706EN1001 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR John K. Nelson Mgmt Split 94% For 6% Withheld Split Terence J. Toth Mgmt Split 88% For 12% Withheld Split Robert L. Young Mgmt Split 94% For 6% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN GLOBAL HIGH INCOME FUND Agenda Number: 935139382 -------------------------------------------------------------------------------------------------------------------------- Security: 67075G103 Meeting Type: Annual Meeting Date: 22-Apr-2020 Ticker: JGH ISIN: US67075G1031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR John K. Nelson Mgmt Split 73% For 27% Withheld Split Terence J. Toth Mgmt Split 80% For 20% Withheld Split Robert L. Young Mgmt Split 81% For 19% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN INTER DUR QLTY MUNI TERM FD Agenda Number: 935139394 -------------------------------------------------------------------------------------------------------------------------- Security: 670677103 Meeting Type: Annual Meeting Date: 22-Apr-2020 Ticker: NIQ ISIN: US6706771036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR John K. Nelson Mgmt Split 90% For 10% Withheld Split Terence J. Toth Mgmt Split 90% For 10% Withheld Split Robert L. Young Mgmt Split 90% For 10% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN MORTGAGE OPPORTUNITY TERM FUND Agenda Number: 935049874 -------------------------------------------------------------------------------------------------------------------------- Security: 670735109 Meeting Type: Annual Meeting Date: 29-Aug-2019 Ticker: JLS ISIN: US6707351093 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve an amendment to the Fund's Mgmt Split 84% For 13% Against 3% AbstainSplit Declaration of Trust that would eliminate the provision requiring the automatic termination of the Fund on November 30, 2019. 2. To approve the adoption of a new investment Mgmt Split 84% For 13% Against 3% AbstainSplit objective. 3a. To approve a new investment management Mgmt Split 84% For 12% Against 4% AbstainSplit agreement with Nuveen Fund Advisors, LLC. 3b. To approve a new investment sub-advisory Mgmt Split 84% For 12% Against 4% AbstainSplit agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC on behalf of the Fund. 4. DIRECTOR Judith M. Stockdale Mgmt Split 88% For 12% Withheld Split Carole E. Stone Mgmt Split 88% For 12% Withheld Split Margaret L. Wolff Mgmt Split 88% For 12% Withheld Split William C. Hunter Mgmt Split 87% For 13% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN MORTGAGE OPPORTUNITY TERM FUND 2 Agenda Number: 935049886 -------------------------------------------------------------------------------------------------------------------------- Security: 67074R100 Meeting Type: Annual Meeting Date: 29-Aug-2019 Ticker: JMT ISIN: US67074R1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve an amendment to the Fund's Mgmt Split 87% For 9% Against 4% AbstainSplit Declaration of Trust that would eliminate the provision requiring the automatic termination of the Fund on February 28, 2020. 2. To approve the adoption of a new investment Mgmt Split 87% For 9% Against 4% AbstainSplit objective. 3a. To approve a new investment management Mgmt Split 88% For 8% Against 4% AbstainSplit agreement with Nuveen Fund Advisors, LLC. 3b. To approve a new investment sub-advisory Mgmt Split 88% For 8% Against 4% AbstainSplit agreement between Nuveen Fund Advisors, LLC and Teachers Advisors, LLC on behalf of the Fund. 4. DIRECTOR Judith M. Stockdale Mgmt Split 89% For 11% Withheld Split Carole E. Stone Mgmt Split 89% For 11% Withheld Split Margaret L. Wolff Mgmt Split 89% For 11% Withheld Split William C. Hunter Mgmt Split 89% For 11% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 935139382 -------------------------------------------------------------------------------------------------------------------------- Security: 67073D102 Meeting Type: Annual Meeting Date: 22-Apr-2020 Ticker: JQC ISIN: US67073D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR John K. Nelson Mgmt Split 89% For 11% Withheld Split Terence J. Toth Mgmt Split 91% For 9% Withheld Split Robert L. Young Mgmt Split 91% For 9% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN QUALITY MUNICIPAL INCOME FUND Agenda Number: 935059748 -------------------------------------------------------------------------------------------------------------------------- Security: 67066V101 Meeting Type: Annual Meeting Date: 07-Aug-2019 Ticker: NAD ISIN: US67066V1017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1c. DIRECTOR Judith M. Stockdale Mgmt Split 82% For 18% Withheld Split Carole E. Stone Mgmt Split 75% For 25% Withheld Split Margaret L. Wolff Mgmt Split 82% For 18% Withheld Split -------------------------------------------------------------------------------------------------------------------------- OPES ACQUISITION CORP. Agenda Number: 935078736 -------------------------------------------------------------------------------------------------------------------------- Security: 68373P100 Meeting Type: Special Meeting Date: 16-Sep-2019 Ticker: OPES ISIN: US68373P1003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt For For Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to November 15, 2019. 2. Early Termination: Approve the Company's Mgmt For For early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. -------------------------------------------------------------------------------------------------------------------------- OPES ACQUISITION CORP. Agenda Number: 935100242 -------------------------------------------------------------------------------------------------------------------------- Security: 68373P100 Meeting Type: Special Meeting Date: 15-Nov-2019 Ticker: OPES ISIN: US68373P1003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt For For Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to January 15, 2020. 2. Early Termination: Approve the Company's Mgmt For For early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. -------------------------------------------------------------------------------------------------------------------------- OPES ACQUISITION CORP. Agenda Number: 935121032 -------------------------------------------------------------------------------------------------------------------------- Security: 68373P100 Meeting Type: Special Meeting Date: 15-Jan-2020 Ticker: OPES ISIN: US68373P1003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt For For Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to March 16, 2020. 2. Early Termination: Approve the Company's Mgmt For For early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. -------------------------------------------------------------------------------------------------------------------------- OPES ACQUISITION CORP. Agenda Number: 935139180 -------------------------------------------------------------------------------------------------------------------------- Security: 68373P100 Meeting Type: Special Meeting Date: 16-Mar-2020 Ticker: OPES ISIN: US68373P1003 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension of Corporate Life: Amend the Mgmt For For Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to June 18, 2020. 2. Early Termination: Approve the Company's Mgmt For For early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. -------------------------------------------------------------------------------------------------------------------------- PGIM INVESTMENTS Agenda Number: 935122616 -------------------------------------------------------------------------------------------------------------------------- Security: 69346H100 Meeting Type: Annual Meeting Date: 09-Mar-2020 Ticker: ISD ISIN: US69346H1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Kevin J. Bannon Mgmt Split 92% For 8% Withheld Split Keith F. Hartstein Mgmt Split 75% For 25% Withheld Split Grace C. Torres Mgmt Split 75% For 25% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PGIM INVESTMENTS Agenda Number: 935122628 -------------------------------------------------------------------------------------------------------------------------- Security: 69346J106 Meeting Type: Annual Meeting Date: 09-Mar-2020 Ticker: GHY ISIN: US69346J1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Kevin J. Bannon Mgmt Split 87% For 13% Withheld Split Keith F. Hartstein Mgmt Split 67% For 33% Withheld Split Grace C. Torres Mgmt Split 69% For 31% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PIMCO FUNDS Agenda Number: 935224802 -------------------------------------------------------------------------------------------------------------------------- Security: 69346N107 Meeting Type: Annual Meeting Date: 29-Jun-2020 Ticker: NRGX ISIN: US69346N1072 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Sarah E. Cogan Mgmt Split 92% For 8% Withheld Split Joseph B. Kittredge, Jr Mgmt Split 92% For 8% Withheld Split John C. Maney Mgmt Split 95% For 5% Withheld Split William B. Ogden, IV Mgmt Split 92% For 8% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PURE ACQUISITION CORP. Agenda Number: 935084183 -------------------------------------------------------------------------------------------------------------------------- Security: 74621Q106 Meeting Type: Annual Meeting Date: 10-Oct-2019 Ticker: PACQ ISIN: US74621Q1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) The Extension Proposal - To amend the Mgmt For For Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from October 17, 2019 to February 21, 2020. 2) The Election of Director - To elect Jared Mgmt For For S. Sturdivant to serve as the Class A director on the Company's Board of Directors until the 2022 annual meeting of stockholders or until his successor is elected and qualified. 3) The Auditor Proposal - To ratify the Mgmt For For selection by the Company's audit committee of WithumSmith+Brown, PC to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019. 4) The Adjournment Proposal - to approve the Mgmt For For adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. -------------------------------------------------------------------------------------------------------------------------- PURE ACQUISITION CORP. Agenda Number: 935084183 -------------------------------------------------------------------------------------------------------------------------- Security: 74621Q205 Meeting Type: Annual Meeting Date: 10-Oct-2019 Ticker: PACQU ISIN: US74621Q2057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) The Extension Proposal - To amend the Mgmt For For Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from October 17, 2019 to February 21, 2020. 2) The Election of Director - To elect Jared Mgmt For For S. Sturdivant to serve as the Class A director on the Company's Board of Directors until the 2022 annual meeting of stockholders or until his successor is elected and qualified. 3) The Auditor Proposal - To ratify the Mgmt For For selection by the Company's audit committee of WithumSmith+Brown, PC to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019. 4) The Adjournment Proposal - to approve the Mgmt For For adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. -------------------------------------------------------------------------------------------------------------------------- PURE ACQUISITION CORP. Agenda Number: 935129836 -------------------------------------------------------------------------------------------------------------------------- Security: 74621Q106 Meeting Type: Special Meeting Date: 20-Feb-2020 Ticker: PACQ ISIN: US74621Q1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) The Extension Amendment Proposal - To amend Mgmt For For the Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from February 21. 2020 to May 21, 2020. 2) The Adjournment Proposal - to approve the Mgmt For For adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. -------------------------------------------------------------------------------------------------------------------------- PURE ACQUISITION CORP. Agenda Number: 935214483 -------------------------------------------------------------------------------------------------------------------------- Security: 74621Q106 Meeting Type: Special Meeting Date: 15-May-2020 Ticker: PACQ ISIN: US74621Q1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) The Extension Amendment Proposal - To amend Mgmt For For the Company's second amended and restated certificate of incorporation to extend the date by which the Company has to consummate a business combination from May 21, 2020 to August 21, 2020, or such earlier date as determined by the Board. 2) The Adjournment Proposal - To approve the Mgmt For For adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of proposal 1. -------------------------------------------------------------------------------------------------------------------------- PUTNAM MUNICIPAL OPPORTUNITIES TRUST Agenda Number: 935168890 -------------------------------------------------------------------------------------------------------------------------- Security: 746922103 Meeting Type: Annual Meeting Date: 24-Apr-2020 Ticker: PMO ISIN: US7469221037 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Fixing the number of Trustees at 11. Mgmt Split 94% For 3% Against 3% AbstainSplit 1B. DIRECTOR Liaquat Ahamed Mgmt Split 95% For 5% Withheld Split Ravi Akhoury Mgmt Split 93% For 7% Withheld Split Barbara M. Baumann Mgmt Split 93% For 7% Withheld Split Catharine Bond Hill Mgmt Split 95% For 5% Withheld Split Paul L. Joskow Mgmt Split 89% For 11% Withheld Split Kenneth R. Leibler Mgmt Split 92% For 8% Withheld Split Robert L. Reynolds Mgmt Split 95% For 5% Withheld Split Manoj P. Singh Mgmt Split 93% For 7% Withheld Split Mona K. Sutphen Mgmt Split 95% For 5% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ROYCE VALUE TRUST, INC. Agenda Number: 935069612 -------------------------------------------------------------------------------------------------------------------------- Security: 780910105 Meeting Type: Annual Meeting Date: 24-Sep-2019 Ticker: RVT ISIN: US7809101055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Patricia W. Chadwick Mgmt Split 90% For 10% Withheld Split Arthur S. Mehlman Mgmt Split 90% For 10% Withheld Split Michael K. Shields Mgmt Split 90% For 10% Withheld Split -------------------------------------------------------------------------------------------------------------------------- SOURCE CAPITAL, INC. Agenda Number: 935152847 -------------------------------------------------------------------------------------------------------------------------- Security: 836144105 Meeting Type: Annual Meeting Date: 22-May-2020 Ticker: SOR ISIN: US8361441053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Atwood Mgmt Split 85% For 15% Withheld Split Brown Mgmt Split 85% For 15% Withheld Split Lipson Mgmt Split 85% For 15% Withheld Split Osborne Mgmt Split 85% For 15% Withheld Split Pisano Mgmt Split 85% For 15% Withheld Split Purcell Mgmt Split 85% For 15% Withheld Split 2A. To approve the amendment or elimination of Mgmt Split 80% For 16% Against 4% AbstainSplit the fundamental investment restrictions: Commodities and Real Estate 2B. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit the fundamental investment restrictions: Senior Securities and Borrowing 2C. To approve the amendment or elimination of Mgmt Split 79% For 18% Against 3% AbstainSplit the fundamental investment restrictions: Concentration of Investments 2D. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit the fundamental investment restrictions: Making Loans 2E. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit the fundamental investment restrictions: Underwriting 2F. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit the fundamental investment restrictions: Concentration Limits 2G. To approve the amendment or elimination of Mgmt Split 78% For 18% Against 4% AbstainSplit the fundamental investment restrictions: Short Sales and Purchases of Securities on Margin 2H. To approve the amendment or elimination of Mgmt Split 78% For 18% Against 4% AbstainSplit the fundamental investment restrictions: Investments in which a Director or Officer is Invested 2I. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit the fundamental investment restrictions: Writing and Selling Options 2J. To approve the amendment or elimination of Mgmt Split 79% For 17% Against 4% AbstainSplit the fundamental investment restrictions: Investments in Other Investment Companies 2K. To approve the amendment or elimination of Mgmt Split 80% For 17% Against 3% AbstainSplit the fundamental investment restrictions: Investments in Securities for Which Market Quotations Are Not Readily Available 2L. To approve the amendment or elimination of Mgmt Split 80% For 17% Against 3% AbstainSplit the fundamental investment restrictions: Purchases of Certain Restricted Securities -------------------------------------------------------------------------------------------------------------------------- SPROTT FUNDS Agenda Number: 935068456 -------------------------------------------------------------------------------------------------------------------------- Security: 85208J109 Meeting Type: Annual Meeting Date: 04-Sep-2019 Ticker: FUND ISIN: US85208J1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Election of Director: Michael W. Clark Mgmt Split 98% For 2% Abstain Split -------------------------------------------------------------------------------------------------------------------------- TEMPLETON EMERGING MKTS INCOME FUND Agenda Number: 935159081 -------------------------------------------------------------------------------------------------------------------------- Security: 880192109 Meeting Type: Annual Meeting Date: 28-May-2020 Ticker: TEI ISIN: US8801921094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Harris J. Ashton Mgmt Split 71% For 29% Withheld Split Edith E. Holiday Mgmt Split 71% For 29% Withheld Split J. Michael Luttig Mgmt Split 71% For 29% Withheld Split C.D. Tseretopoulos Mgmt Split 71% For 29% Withheld Split 2. The ratification of the selection of Mgmt Split 94% For 3% Against 3% AbstainSplit PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2020. -------------------------------------------------------------------------------------------------------------------------- TEMPLETON GLOBAL INCOME FUND Agenda Number: 935159093 -------------------------------------------------------------------------------------------------------------------------- Security: 880198106 Meeting Type: Annual Meeting Date: 28-May-2020 Ticker: GIM ISIN: US8801981064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Edith E. Holiday Mgmt Split 95% For 5% Withheld Split J. Michael Luttig Mgmt Split 96% For 4% Withheld Split C.D. Tseretopoulos Mgmt Split 96% For 4% Withheld Split 2. The ratification of the selection of Mgmt Split 92% For 7% Against 1% AbstainSplit PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2020. -------------------------------------------------------------------------------------------------------------------------- THE GDL FUND Agenda Number: 935189161 -------------------------------------------------------------------------------------------------------------------------- Security: 361570401 Meeting Type: Annual Meeting Date: 11-May-2020 Ticker: GDLPRC ISIN: US3615704018 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Clarence A. Davis Mgmt Split 98% For 2% Withheld Split James P. Conn Mgmt Split 98% For 2% Withheld Split 2. RESOLVED: Request that the Board of Shr Split 67% For 32% Against 1% AbstainSplit Directors consider authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value. If more than 50% of the Fund's outstanding shares are submitted for tender, the tender offer should be cancelled and the Fund should be liquidated or converted into an open-end mutual fund. -------------------------------------------------------------------------------------------------------------------------- THL CREDIT SENIOR LOAN FUND Agenda Number: 935147644 -------------------------------------------------------------------------------------------------------------------------- Security: 87244R103 Meeting Type: Annual Meeting Date: 08-May-2020 Ticker: TSLF ISIN: US87244R1032 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a new advisory agreement between Mgmt No vote the Fund and First Eagle Alternative Credit, LLC (formerly known as THL Credit Advisors LLC). 2. DIRECTOR Laurie Hesslein Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- THUNDER BRIDGE ACQUISITION, LTD. Agenda Number: 935056742 -------------------------------------------------------------------------------------------------------------------------- Security: G8857R100 Meeting Type: Special Meeting Date: 10-Jul-2019 Ticker: TBRG ISIN: KYG8857R1002 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Domestication Proposal - To approve the Mgmt For For following resolution to change the corporate structure and domicile of Thunder Bridge by way of continuation from an exempted company incorporated under the laws of the Cayman Islands to a corporation incorporated under the laws of the State of Delaware. "It is resolved as special resolutions that Thunder Bridge Acquisition, Ltd. be de-registered in the Cayman Islands pursuant to Article 47 of the Amended and Restated Articles of Association of ...(due to space limits, see proxy material for full proposal). 2. The Business Combination Proposal - To Mgmt For For approve the following resolution to approve and adopt the Second Amended and Restated Agreement and Plan of Merger dated effective as of January 21, 2019 (as amended or supplemented from time to time, the "Merger Agreement") by and among Thunder Bridge, TB Acquisition Merger Sub LLC ("Merger Sub"), Hawk Parent Holdings LLC ("Repay") and, solely in its capacity as the securityholder representative thereunder, CC Payment Holdings, L.L.C., and the transactions ...(due to space limits, see proxy material for full proposal). 3. The 2019 Equity Incentive Plan Proposal - Mgmt For For To approve the following resolution to approve and adopt the Repay Holdings Corporation Omnibus Incentive Plan (the "2019 Equity Incentive Plan"). "It is resolved as an ordinary resolution that the 2019 Equity Incentive Plan be approved and adopted in all respects." 4. DIRECTOR Richard E. Thornburgh Mgmt For For Paul R. Garcia Mgmt For For Shaler Alias Mgmt For For Jeremy Schein Mgmt For For Robert H. Hartheimer Mgmt For For Maryann Goebel Mgmt For For William Jacobs Mgmt For For John Morris Mgmt For For Peter J. Kight Mgmt For For 5. The Articles Amendment Proposal - To Mgmt For For approve the following resolution to approve and adopt the amendments to the Articles in the Memorandum and Articles of Association so that the prohibition on Thunder Bridge having net tangible assets of less than US$5,000,001 upon the completion of a business combination is revised to apply immediately prior to the completion of a business combination and measures only the net tangible assets of Thunder Bridge, without regard to the assets or liabilities ...(due to space limits, see proxy material for full proposal). 6. The Nasdaq Proposal - To approve the Mgmt For For following resolution, which shall approve, for purposes of complying with Nasdaq Listing Rule 5635(d), the issuance of 13.5 million Class A ordinary shares in the PIPE Financing (as defined in the accompanying proxy statement/prospectus), in connection with the completion of the Business Combination. "It is resolved as an ordinary resolution that the issuance of 13.5 million Class A ordinary shares in the PIPE Financing be approved and adopted in all respects." 7. The Shareholder Adjournment Proposal - To Mgmt For For approve the following resolution to adjourn the Shareholders Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies if it is determined by Thunder Bridge that more time is necessary or appropriate to approve one or more proposals at the Shareholders Meeting. "It is resolved as an ordinary resolution that the adjournment of the Shareholders Meeting to a later date or dates, if necessary to permit further ...(due to space limits, see proxy material for full proposal). 7a. SHAREHOLDER CERTIFICATION: I hereby certify Mgmt For that I am not acting in concert, or as a "group" (as defined in Section 13(d)(3) of the Securities Exchange Act of 1934, as amended), with any other shareholder with respect to the ordinary shares of Thunder Bridge owned by me. I further certify that I am not exercising Redemption Rights with respect to 15% or more of Thunder Bridge's Public Shares. -------------------------------------------------------------------------------------------------------------------------- THUNDER BRIDGE ACQUISITION, LTD. Agenda Number: 935056754 -------------------------------------------------------------------------------------------------------------------------- Security: G8857R126 Meeting Type: Special Meeting Date: 10-Jul-2019 Ticker: TBRGW ISIN: KYG8857R1267 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Warrant Amendment Proposal - To approve Mgmt For For and adopt an amendment to the warrant agreement that governs all of Thunder Bridge's outstanding warrants to provide that, immediately prior to the consummation of the Business Combination (as defined in the proxy statement/prospectus), (i) each of Thunder Bridge's outstanding warrants, which currently entitle the holder thereof to purchase one Class A ordinary share of Thunder Bridge at an exercise price of $11.50 per share, will become exercisable for ...(due to space limits, see proxy material for full proposal). 2. The Warrant Holders Adjournment Proposal - Mgmt For For To approve a proposal to adjourn the Special Meeting to a later date or dates, if necessary to permit further solicitation and vote of proxies if it is determined by Thunder Bridge that more time is necessary or appropriate to approve the Warrant Amendment Proposal. -------------------------------------------------------------------------------------------------------------------------- TIBERIUS ACQUISITION CORPORATION Agenda Number: 935114962 -------------------------------------------------------------------------------------------------------------------------- Security: 88633A107 Meeting Type: Annual Meeting Date: 23-Dec-2019 Ticker: TIBR ISIN: US88633A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR C. Allen Bradley Mgmt For For Senator E. B. Nelson Mgmt For For John W. Hayden Mgmt For For Michael Millhouse Mgmt For For 2. Ratification of the selection by the Audit Mgmt For For committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019. -------------------------------------------------------------------------------------------------------------------------- TIBERIUS ACQUISITION CORPORATION Agenda Number: 935132770 -------------------------------------------------------------------------------------------------------------------------- Security: 88633A107 Meeting Type: Special Meeting Date: 13-Mar-2020 Ticker: TIBR ISIN: US88633A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) The Business Combination Proposal - To Mgmt For For consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of October 10, 2019, by and among Tiberius Acquisition Corporation, International General Insurance Holdings Ltd., the other parties thereto and, International General Insurance Holdings Ltd., a Bermuda exempted company, and Tiberius Merger Sub, Inc. & to approve transactions contemplated thereby and the performance by Tiberius Acquisition Corporation of its obligations thereunder ("Business Combination"). 2) The Incentive Compensation Proposal: To Mgmt For For consider and vote upon a proposal to approve the adoption of the 2020 Omnibus Incentive Plan of International General Insurance Holdings Ltd. 3) The Share Issuance Proposal: To consider Mgmt For For and vote upon a proposal to approve, for purposes of complying with applicable NASDAQ Stock Market LLC listing rules, the issuance of 20% or more of the issued and outstanding shares of common stock of Tiberius Acquisition Corporation in financing transactions in connection with the Business Combination. 4) The Adjournment Proposal: To consider and Mgmt For For vote upon a proposal to adjourn the special meeting of Tiberius stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination. A) Intention to Exercise Redemption Rights: If Mgmt For you intend to exercise your redemption rights, please check 'For' box. Checking 'For' box, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the proxy statement/prospectus under the heading "Special Meeting of Tiberius Stockholders - Redemption Rights". -------------------------------------------------------------------------------------------------------------------------- TIBERIUS ACQUISITION CORPORATION Agenda Number: 935140450 -------------------------------------------------------------------------------------------------------------------------- Security: 88633A107 Meeting Type: Special Meeting Date: 19-Mar-2020 Ticker: TIBR ISIN: US88633A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) The Extension Amendment Proposal - To amend Mgmt For For the amended and restated certificate of incorporation of Tiberius Acquisition Corporation ("Tiberius") to extend the date by which Tiberius has to consummate a business combination from March 20, 2020 to April 20, 2020. 2) The Adjournment Proposal - To adjourn the Mgmt For For special meeting of Tiberius stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Extension Amendment Proposal. -------------------------------------------------------------------------------------------------------------------------- TRIDENT ACQUISITIONS CORP Agenda Number: 935102119 -------------------------------------------------------------------------------------------------------------------------- Security: 89615T106 Meeting Type: Annual Meeting Date: 26-Nov-2019 Ticker: TDAC ISIN: US89615T1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Vadim Komissarov Mgmt For For Thomas Gallagher Mgmt For For 2. APPROVAL OF AN AMENDMENT TO THE COMPANY'S Mgmt For For AMENDED AND RESTATED CERTIFICATE OF INCORPORATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") FOR AN ADDITIONAL 180 DAYS, TO MAY 29, 2020. 3. APPROVAL OF AN AMENDMENT TO THE COMPANY'S Mgmt For For EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. 4. RATIFICATION OF THE APPOINTMENT OF MARCUM Mgmt For For LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2019. -------------------------------------------------------------------------------------------------------------------------- TRINITY MERGER CORP Agenda Number: 935094259 -------------------------------------------------------------------------------------------------------------------------- Security: 89653L106 Meeting Type: Special Meeting Date: 12-Nov-2019 Ticker: TMCX ISIN: US89653L1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Trinity Business Combination Proposal: Mgmt For For To approve and adopt the Agreement and Plan of Merger, by and among Trinity, Trinity Sub Inc., Trinity Merger Sub I, Inc., Trinity Merger Sub II, LLC, PBRELF I, LLC, BRELF II, LLC, BRELF III, LLC, BRELF IV, LLC, Pyatt Broadmark MGMT, LLC, Broadmark Real Estate MGMT II, LLC, Broadmark Real Estate MGMT III, LLC, and Broadmark Real Estate MGMT IV, LLC, and transactions contemplated by Merger Agreement, including the issuance of shares of common stock of Broadmark Realty pursuant to Merger Agreement. 1A. Intention to Exercise Redemption Rights: Mgmt For Please indicate if you intend to exercise your redemption rights. Selecting Yes, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the joint proxy statement/prospectus under the Q&A section entitled "How do I exercise my redemption rights?" 1B. Stockholder Certification: I hereby certify Mgmt For that I am not acting in concert, or as a "group" (as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended), with any other stockholder with respect to the shares of Class A common stock of Trinity. 2. The Stock Incentive Plan Proposal: To Mgmt For For approve and adopt the Broadmark Realty 2019 Stock Incentive Plan. The Stock Incentive Plan Proposal is conditioned on stockholder approval of the Trinity Business Combination Proposal and public warrant holder approval of the Warrant Amendment Proposal (as defined in the joint proxy statement/prospectus). 3. The Trinity Adjournment Proposal: To Mgmt For For approve the adjournment of the Trinity Special Meeting to a later date or dates, if necessary, to solicit additional proxies from stockholders in favor of the Trinity Business Combination Proposal. -------------------------------------------------------------------------------------------------------------------------- TRINITY MERGER CORP Agenda Number: 935094261 -------------------------------------------------------------------------------------------------------------------------- Security: 89653L114 Meeting Type: Special Meeting Date: 12-Nov-2019 Ticker: TMCXW ISIN: US89653L1145 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Warrant Amendment Proposal: To approve Mgmt For For and adopt an amendment (the "Warrant Amendment") to the warrant agreement that governs all of Trinity's outstanding warrants to provide that, immediately prior to the consummation of the Business Combination (as defined in the joint proxy statement/prospectus). 2. The Warrant Holders Adjournment Proposal: Mgmt For For To approve the adjournment of the Trinity Warrant Holders Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if it is determined by Trinity that more time is necessary or appropriate to approve the Warrant Amendment Proposal. -------------------------------------------------------------------------------------------------------------------------- TRINITY MERGER CORP Agenda Number: 935099021 -------------------------------------------------------------------------------------------------------------------------- Security: 89653L106 Meeting Type: Special Meeting Date: 15-Nov-2019 Ticker: TMCX ISIN: US89653L1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Extension Amendment Proposal - To Mgmt For For consider and vote on a proposal to amend Trinity's amended and restated certificate of incorporation to extend the date by which Trinity has to consummate a business combination from November 17, 2019 to December 17, 2019. 1A. Intention to Exercise Redemption Rights. Mgmt For Please indicate if you intend to exercise your redemption rights. Selecting YES, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the definitive proxy statement under the section entitled "Special Meeting of Trinity Stockholders-Redemption Rights." 1B. Stockholder Certification. I hereby certify Mgmt For that I am not acting in concert, or as a "group" as defined in Section 14(d)(3) of the Securities Exchange Act of 1934, as amended, with any other stockholder with respect to the share of Class A common stock of Trinity. 2. The Adjournment Proposal - To consider and Mgmt For For vote on a proposal to approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of one or more proposals to be submitted for stockholder approval at the Special Meeting. -------------------------------------------------------------------------------------------------------------------------- TWELVE SEAS INVESTMENT COMPANY Agenda Number: 935110724 -------------------------------------------------------------------------------------------------------------------------- Security: G9145A107 Meeting Type: Special Meeting Date: 19-Dec-2019 Ticker: BROG ISIN: KYG9145A1076 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1) The Business Combination Proposal - To Mgmt For For consider and vote upon a proposal to approve and adopt the Business Combination Agreement, dated as of April 15, 2019 (as may be amended), by and among Twelve Seas Investment Company, Brooge Holdings Limited, Brooge Merger Sub, Brooge Petrolum And Gas Investment Company FZE and the other parties thereto, and the transactions contemplated thereby (the "Business Combination"). 2) The Merger Proposal - To consider and vote Mgmt For For upon a proposal to approve the merger of Twelve Seas Investment Company with Brooge Merger Sub Limited. 3) The Share Issuance Proposal - To consider Mgmt For For and vote upon a proposal, if necessary, to approve, for purposes of complying with applicable NASDAQ Stock Market LLC listing rules, the issuance of more than 20% of the issued and outstanding ordinary shares of Twelve Seas Investment Company in financing transactions in connection with the Business Combination. 4) The Adjournment Proposal - To consider and Mgmt For For vote upon a proposal to adjourn the Extraordinary General Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the meeting, there are not sufficient votes to approve the Business Combination Proposal, the Merger Proposal and the Share Issuance Proposal, as applicable. -------------------------------------------------------------------------------------------------------------------------- VAN KAMPEN FUNDS Agenda Number: 935062151 -------------------------------------------------------------------------------------------------------------------------- Security: 46132C107 Meeting Type: Annual Meeting Date: 23-Aug-2019 Ticker: VMO ISIN: US46132C1071 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1a DIRECTOR Cynthia Hostetler Mgmt Split 91% For 9% Withheld Split Eli Jones Mgmt Split 94% For 6% Withheld Split Ann Barnett Stern Mgmt Split 93% For 7% Withheld Split Raymond Stickel, Jr. Mgmt Split 91% For 9% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VECTOIQ ACQUISITION CORP. Agenda Number: 935198463 -------------------------------------------------------------------------------------------------------------------------- Security: 92243N103 Meeting Type: Special Meeting Date: 12-May-2020 Ticker: VTIQ ISIN: US92243N1037 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Charter Amendment: To amend VectoIQ's Mgmt For For Amended and Restated Certificate of Incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") from May 18, 2020 to July 31, 2020, and permit holders of public shares to redeem their shares for their pro rata portion of the trust account. 2. Adjournment of the Meeting: To adjourn the Mgmt For For special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve any of the foregoing proposal. -------------------------------------------------------------------------------------------------------------------------- VECTOIQ ACQUISITION CORP. Agenda Number: 935220905 -------------------------------------------------------------------------------------------------------------------------- Security: 92243N103 Meeting Type: Special Meeting Date: 02-Jun-2020 Ticker: VTIQ ISIN: US92243N1037 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Business Combination Proposal - To Mgmt For For approve and adopt the Business Combination Agreement, dated as of March 2, 2020 (as may be amended from time to time, the "Business Combination Agreement"), by and among VectoIQ, Nikola Corporation ("Nikola") and VCTIQ Merger Sub Corp. ("Merger Sub"), and the transactions contemplated thereby (the "Business Combination"). 2A. The Amendments to VectoIQ's Certificate of Mgmt For For Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To change VectoIQ's name to "Nikola Corporation". 2B. The Amendments to VectoIQ's Certificate of Mgmt For For Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To increase the number of authorized shares of VectoIQ Common Stock to 600,000,000 and the number of authorized shares of VectoIQ's preferred stock to 150,000,000 shares. 2C. The Amendments to VectoIQ's Certificate of Mgmt For For Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To approve the choice of forum provisions. 2D. The Amendments to VectoIQ's Certificate of Mgmt For For Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To include supermajority voting provisions. 2E. The Amendments to VectoIQ's Certificate of Mgmt For For Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To remove the provision renouncing the corporate opportunity doctrine. 2F. The Amendments to VectoIQ's Certificate of Mgmt For For Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To revise the classification of the board of directors from two classes with each of the successors to be elected for a two-year term to three classes with each of the successors to be elected for a three-year term. 2G. The Amendments to VectoIQ's Certificate of Mgmt For For Incorporation Proposal - To approve the amendment of VectoIQ's Amended and Restated Certificate of Incorporation (the "Charter") to be effective upon the consummation of the Business Combination: To approve all other changes to the Charter, including without limitation the elimination of certain provisions related to VectoIQ's initial business combination that will no longer be relevant following the closing of the Business Combination. 3. DIRECTOR Trevor R. Milton Mgmt For For Mark A. Russell Mgmt For For Stephen J. Girsky Mgmt For For Sooyean Jin Mgmt For For Michael L. Mansuetti Mgmt For For Gerrit A. Marx Mgmt For For Lonnie R. Stalsberg Mgmt For For DeWitt C. Thompson V Mgmt For For Jeffrey W. Ubben Mgmt For For 4. The Stock Incentive Plan Proposal - To Mgmt For For approve and adopt the Nikola Corporation 2020 Stock Incentive Plan to be effective after the closing of the Business Combination. 5. The Nasdaq Proposal - To approve, in Mgmt For For connection with the Business Combination, for purposes of complying with applicable listing rules of The Nasdaq Capital Market: the issuance, pursuant to the Business Combination Agreement, of 276,998,624 shares of VectoIQ Common Stock to the Nikola stockholders; and the issuance, in a private placement to be consummated concurrently with the closing of the Business Combination, of 52.5 million shares of VectoIQ Common Stock to a number of investors. 6. The Employee Stock Purchase Plan Proposal - Mgmt For For To approve and adopt the Nikola Corporation Employee Stock Purchase Plan to be effective after the closing of the Business Combination. 7. The Adjournment Proposal - To approve the Mgmt For For adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Amendments to VectoIQ's Certificate of Incorporation Proposal, the Election of Directors Proposal, the Stock Incentive Plan Proposal, the Nasdaq Proposal and the Employee Stock Purchase Plan Proposal. -------------------------------------------------------------------------------------------------------------------------- VOYA EMERGING MKTS HIGH DIVIDEND EY FD Agenda Number: 935033403 -------------------------------------------------------------------------------------------------------------------------- Security: 92912P108 Meeting Type: Annual Meeting Date: 09-Jul-2019 Ticker: IHD ISIN: US92912P1084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John V. Boyer Mgmt Split 99% For 1% Withheld Split Patricia W. Chadwick Mgmt Split 99% For 1% Withheld Split Sheryl K. Pressler Mgmt Split 99% For 1% Withheld Split Christopher P. Sullivan Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA PRIME RATE TRUST Agenda Number: 935033415 -------------------------------------------------------------------------------------------------------------------------- Security: 92913A100 Meeting Type: Annual Meeting Date: 09-Jul-2019 Ticker: PPR ISIN: US92913A1007 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Colleen D. Baldwin Mgmt Split 72% For 28% Withheld Split John V. Boyer Mgmt Split 72% For 28% Withheld Split Patricia W. Chadwick Mgmt Split 72% For 28% Withheld Split Martin J. Gavin Mgmt Split 72% For 28% Withheld Split Russell H. Jones Mgmt Split 72% For 28% Withheld Split Joseph E. Obermeyer Mgmt Split 72% For 28% Withheld Split Sheryl K. Pressler Mgmt Split 72% For 28% Withheld Split Dina Santoro Mgmt Split 74% For 26% Withheld Split Christopher P. Sullivan Mgmt Split 72% For 28% Withheld Split Roger B. Vincent Mgmt Split 72% For 28% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WELLS FARGO ADVANTAGE INCOME OPP FUND Agenda Number: 935058607 -------------------------------------------------------------------------------------------------------------------------- Security: 94987B105 Meeting Type: Annual Meeting Date: 12-Aug-2019 Ticker: EAD ISIN: US94987B1052 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Timothy J. Penny Mgmt Split 83% For 17% Withheld Split James G. Polisson Mgmt Split 83% For 17% Withheld Split Pamela Wheelock Mgmt Split 46% For 54% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 935142694 -------------------------------------------------------------------------------------------------------------------------- Security: 95766A101 Meeting Type: Annual Meeting Date: 17-Apr-2020 Ticker: EMD ISIN: US95766A1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class III Director to serve Mgmt Split 98% For 1% Against 1% AbstainSplit until the 2023 Annual Meeting of Stockholders: Robert D. Agdern 1.2 Election of Class III Director to serve Mgmt Split 98% For 1% Against 1% AbstainSplit until the 2023 Annual Meeting of Stockholders: Eileen A. Kamerick 2. To ratify the selection of Mgmt Split 98% For 1% Against 1% AbstainSplit PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending December 31, 2020. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET HIGH INCOME FUND II INC Agenda Number: 935078964 -------------------------------------------------------------------------------------------------------------------------- Security: 95766J102 Meeting Type: Annual Meeting Date: 25-Oct-2019 Ticker: HIX ISIN: US95766J1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Carol L. Colman Mgmt No vote William R. Hutchinson Mgmt No vote Jane E. Trust Mgmt No vote 2. A non-binding proposal put forth by Saba Shr No vote Capital Management, L.P., if properly presented before the Meeting, requesting that the Board of Directors take all necessary steps in its power to declassify the Board of Directors. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 935172849 -------------------------------------------------------------------------------------------------------------------------- Security: 95766R104 Meeting Type: Annual Meeting Date: 24-Apr-2020 Ticker: WIW ISIN: US95766R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Robert Abeles, Jr. Mgmt Split 80% For 20% Withheld Split Jane F. Dasher Mgmt Split 80% For 20% Withheld Split Anita L. DeFrantz Mgmt Split 80% For 20% Withheld Split Susan B. Kerley Mgmt Split 80% For 20% Withheld Split Michael Larson Mgmt Split 79% For 21% Withheld Split Avedick B. Poladian Mgmt Split 80% For 20% Withheld Split William E. B. Siart Mgmt Split 80% For 20% Withheld Split Jaynie Miller Studemund Mgmt Split 80% For 20% Withheld Split Peter J. Taylor Mgmt Split 80% For 20% Withheld Split Ronald Olson Mgmt Split 80% For 20% Withheld Split Jane E. Trust Mgmt Split 80% For 20% Withheld Split * Management position unknown SIGNATURES Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized. (Registrant) RiverNorth Funds By (Signature) /s/ Patrick W. Galley Name Patrick W. Galley Title President Date 08/18/2020