N-PX 1 BRDB5F_0001370177_2021.txt BRDB5F_0001370177_2021 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: 07/01/2020 - 06/30/2021 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 -------------------------------------------------------------------------------------------------------------------------- MORGAN STANLEY EMERGING MKTS Agenda Number: 935436065 -------------------------------------------------------------------------------------------------------------------------- Security: 617477104 Meeting Type: Annual Meeting Date: 24-Jun-2021 Ticker: EDD ISIN: US6174771047 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Patricia Maleski# Mgmt Split 93% For 7% Withheld Split Nancy C. Everett* Mgmt Split 89% For 11% Withheld Split Michael F. Klein* Mgmt Split 93% For 7% Withheld Split W. Allen Reed* Mgmt Split 93% For 7% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ABERDEEN FUNDS Agenda Number: 935340579 -------------------------------------------------------------------------------------------------------------------------- Security: 00301W105 Meeting Type: Annual Meeting Date: 01-Apr-2021 Ticker: AEF ISIN: US00301W1053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class I Director for three year Mgmt Split 96% For 4% Against Split term until 2024 Annual Meeting: Nancy Yao Maasbach 1.2 Election of Class I Director for three year Mgmt Split 96% For 4% Against Split term until 2024 Annual Meeting: Rahn Porter 2.1 To consider the continuation of the term of Mgmt Split 96% For 4% Against Split one Class III Director under the Fund's Corporate Governance Policies for a two-year term ending in 2023: Steven N. Rappaport -------------------------------------------------------------------------------------------------------------------------- AGBA ACQUISITION LIMITED Agenda Number: 935256962 -------------------------------------------------------------------------------------------------------------------------- Security: G0120M133 Meeting Type: Annual Meeting Date: 18-Aug-2020 Ticker: AGBAU ISIN: VGG0120M1335 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Gordon Lee Mgmt For For Vera Tan Mgmt For For Eric Lam Mgmt For For Brian Chan Mgmt For For Thomas Ng Mgmt For For 2. 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, 2020. -------------------------------------------------------------------------------------------------------------------------- AGBA ACQUISITION LIMITED Agenda Number: 935329082 -------------------------------------------------------------------------------------------------------------------------- Security: G0120M109 Meeting Type: Special Meeting Date: 05-Feb-2021 Ticker: AGBA ISIN: VGG0120M1095 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. APPROVAL OF AN AMENDMENT TO THE COMPANY'S Mgmt For For AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE BY WHICH THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION (THE "EXTENSION") THREE (3) TIMES FOR AN ADDITIONAL THREE MONTHS EACH TIME FROM FEBRUARY 16, 2021 TO NOVEMBER 16, 2021. 2. APPROVAL OF AN AMENDMENT TO THE COMPANY'S Mgmt For For EXISTING INVESTMENT MANAGEMENT TRUST AGREEMENT TO MAKE CHANGES NECESSARY TO REFLECT THE EXTENSION. -------------------------------------------------------------------------------------------------------------------------- ALLIANCEBERNSTEIN GLOBAL HIGH INCOME FD Agenda Number: 935340606 -------------------------------------------------------------------------------------------------------------------------- Security: 01879R106 Meeting Type: Annual Meeting Date: 25-Mar-2021 Ticker: AWF ISIN: US01879R1068 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Marshall C. Turner, Jr. Mgmt Split 88% For 12% Withheld Split Garry L. Moody Mgmt Split 88% For 12% Withheld Split Jeanette W. Loeb Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI CONVERTIBLE & INCOME Agenda Number: 935238635 -------------------------------------------------------------------------------------------------------------------------- Security: 018828707 Meeting Type: Annual Meeting Date: 09-Jul-2020 Ticker: NCVPRA ISIN: US0188287074 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Trustee: Sarah E. Cogan Mgmt Split 98% For 2% Abstain Split 1B. Election of Trustee: Davey S. Scoon Mgmt Split 98% For 2% Abstain Split 1C. Election of Trustee: James A. Jacobson Mgmt Split 98% For 2% Abstain Split -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI CONVERTIBLE & INCOME Agenda Number: 935277322 -------------------------------------------------------------------------------------------------------------------------- Security: 018828707 Meeting Type: Special Meeting Date: 25-Feb-2021 Ticker: NCVPRA ISIN: US0188287074 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Approval of a new Investment Advisory Mgmt Split 92% For 5% Against 3% AbstainSplit Agreement with Virtus Investment Advisers, Inc. by Shareholders of AllianzGI Convertible & Income Fund (NCV). 2. Approval of a new Subadvisory Agreement by Mgmt Split 92% For 5% Against 3% AbstainSplit and among the Fund, Virtus Investment Advisers, Inc. and Allianz Global Investors U.S. LLC by Shareholders of AllianzGI Convertible & Income Fund (NCV). 3. The transaction of such other business as Mgmt Split 92% For 5% Against 3% AbstainSplit may properly come before the Special Meeting and any adjournment(s) or postponement(s) thereof. -------------------------------------------------------------------------------------------------------------------------- ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST Agenda Number: 935238685 -------------------------------------------------------------------------------------------------------------------------- Security: 01883A107 Meeting Type: Annual Meeting Date: 09-Jul-2020 Ticker: NFJ ISIN: US01883A1079 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Trustee: Sarah E. Cogan Mgmt Split 80% For 20% Abstain * 1B. Election of Trustee: F. Ford Drummond Mgmt Split 80% For 20% Abstain * 1C. Election of Trustee: Alan Rappaport Mgmt Split 80% For 20% Abstain * 1D. Election of Trustee: Davey S. Scoon Mgmt Split 80% For 20% Abstain * -------------------------------------------------------------------------------------------------------------------------- AMPLITUDE HEALTHCARE ACQUISITION CORP Agenda Number: 935315805 -------------------------------------------------------------------------------------------------------------------------- Security: 03212A105 Meeting Type: Annual Meeting Date: 22-Dec-2020 Ticker: AMHC ISIN: US03212A1051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Ratification of the selection of Mgmt For For WithumSmith+Brown, PC by the audit committee to serve as the Company's independent registered public accounting firm for the year ending December 31, 2020. -------------------------------------------------------------------------------------------------------------------------- APOLLO SENIOR FLOATING RATE, INC. Agenda Number: 935386626 -------------------------------------------------------------------------------------------------------------------------- Security: 037638103 Meeting Type: Annual Meeting Date: 15-Jun-2021 Ticker: AIF ISIN: US0376381036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Barry Cohen Mgmt Split 67% For 33% Withheld Split Elliot Stein, Jr. Mgmt Split 22% For 78% Withheld Split 2. To transact such other business as may Mgmt Split 20% For 57% Against 23% AbstainSplit properly come before the Annual Meetings or any adjournments or postponements thereof. -------------------------------------------------------------------------------------------------------------------------- APOLLO SENIOR FLOATING RATE, INC. Agenda Number: 935445367 -------------------------------------------------------------------------------------------------------------------------- Security: 037638103 Meeting Type: Special Meeting Date: 28-Jun-2021 Ticker: AIF ISIN: US0376381036 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management A. The issuance of additional shares of AIF Mgmt Split 92% For 7% Against 1% AbstainSplit common stock in connection with the reorganization of Apollo Senior Floating Rate Fund Inc. into AIF. B. The amendment of AIF's fundamental Mgmt Split 91% For 8% Against 1% AbstainSplit investment restriction with respect to making loans. -------------------------------------------------------------------------------------------------------------------------- ARES DYNAMIC Agenda Number: 935365709 -------------------------------------------------------------------------------------------------------------------------- Security: 04014F102 Meeting Type: Annual Meeting Date: 11-May-2021 Ticker: ARDC ISIN: US04014F1021 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class I Director to serve for a Mgmt Split 97% For 3% Abstain Split term expiring in 2023 Annual Meeting: Paula B. Pretlow 1B. Election of Class II Director to serve for Mgmt Split 97% For 3% Abstain Split a term expiring in 2024 Annual Meeting: Seth J. Brufsky 1C. Election of Class II Director to serve for Mgmt Split 74% For 26% Abstain Split a term expiring in 2024 Annual Meeting: John J. Shaw -------------------------------------------------------------------------------------------------------------------------- BARINGS BDC, INC. Agenda Number: 935311314 -------------------------------------------------------------------------------------------------------------------------- Security: 06759L103 Meeting Type: Special Meeting Date: 23-Dec-2020 Ticker: BBDC ISIN: US06759L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve the issuance of shares of Mgmt Split 97% For 2% Against 1% AbstainSplit Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement"). 2. To approve the issuance of shares of Mgmt Split 94% For 6% Against Split Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable. 3. To approve an amended and restated Mgmt Split 97% For 2% Against 1% AbstainSplit investment advisory agreement between Barings BDC and Barings LLC. 4. To approve the adjournment of the Barings Mgmt Split 96% For 4% Against Split BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3. -------------------------------------------------------------------------------------------------------------------------- BARINGS BDC, INC. Agenda Number: 935375104 -------------------------------------------------------------------------------------------------------------------------- Security: 06759L103 Meeting Type: Annual Meeting Date: 20-May-2021 Ticker: BBDC ISIN: US06759L1035 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class III Director to serve Mgmt Split 98% For 2% Against Split until the 2024 Annual Meeting: David Mihalick 1B. Election of Class III Director to serve Mgmt Split 75% For 25% Against Split until the 2024 Annual Meeting: Thomas W. Okel 1C. Election of Class III Director to serve Mgmt Split 75% For 25% Against Split until the 2024 Annual Meeting: Jill Olmstead 2. To authorize the Company, with subsequent Mgmt Split 89% For 10% 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 30% of its then outstanding common stock immediately prior to each such offering). -------------------------------------------------------------------------------------------------------------------------- BLACKROCK DEBT STRATEGIES FD INC Agenda Number: 935237330 -------------------------------------------------------------------------------------------------------------------------- Security: 09255R202 Meeting Type: Annual Meeting Date: 27-Jul-2020 Ticker: DSU ISIN: US09255R2022 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Cynthia L. Egan Mgmt Split 92% For 8% Withheld Split Michael J. Castellano Mgmt Split 78% For 22% Withheld Split Catherine A. Lynch Mgmt Split 77% For 23% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK FLOATING RATE INCOME TRUST Agenda Number: 935237823 -------------------------------------------------------------------------------------------------------------------------- Security: 091941104 Meeting Type: Annual Meeting Date: 27-Jul-2020 Ticker: BGT ISIN: US0919411043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Castellano Mgmt Split 83% For 17% Withheld Split R. Glenn Hubbard Mgmt Split 81% For 19% Withheld Split John M. Perlowski Mgmt Split 83% For 17% Withheld Split W. Carl Kester Mgmt Split 83% For 17% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK FLTING RT INCOME STRA FD INC Agenda Number: 935237330 -------------------------------------------------------------------------------------------------------------------------- Security: 09255X100 Meeting Type: Annual Meeting Date: 27-Jul-2020 Ticker: FRA ISIN: US09255X1000 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Cynthia L. Egan Mgmt Split 69% For 31% Withheld Split Michael J. Castellano Mgmt Split 66% For 34% Withheld Split Catherine A. Lynch Mgmt Split 69% For 31% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR Agenda Number: 935237823 -------------------------------------------------------------------------------------------------------------------------- Security: 092501105 Meeting Type: Annual Meeting Date: 27-Jul-2020 Ticker: BOE ISIN: US0925011050 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Castellano Mgmt No vote R. Glenn Hubbard Mgmt No vote John M. Perlowski Mgmt No vote W. Carl Kester Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- BLACKROCK RESOURCES & COMMODITIES STRAT Agenda Number: 935237823 -------------------------------------------------------------------------------------------------------------------------- Security: 09257A108 Meeting Type: Annual Meeting Date: 27-Jul-2020 Ticker: BCX ISIN: US09257A1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Michael J. Castellano Mgmt Split 94% For 6% Withheld Split R. Glenn Hubbard Mgmt Split 97% For 3% Withheld Split John M. Perlowski Mgmt Split 97% For 3% Withheld Split W. Carl Kester Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- BLACKSTONE / GSO SENIOR FLT RATE TERM FD Agenda Number: 935352625 -------------------------------------------------------------------------------------------------------------------------- Security: 09256U105 Meeting Type: Annual Meeting Date: 21-Apr-2021 Ticker: BSL ISIN: US09256U1051 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Nominee for Trustee: Thomas W. Mgmt Split 96% For 4% Abstain Split Jasper 1B. Election of Nominee for Trustee: Gary S. Mgmt Split 95% For 5% Abstain Split Schpero -------------------------------------------------------------------------------------------------------------------------- BLACKSTONE FUNDS Agenda Number: 935352637 -------------------------------------------------------------------------------------------------------------------------- Security: 09257D102 Meeting Type: Annual Meeting Date: 21-Apr-2021 Ticker: BGX ISIN: US09257D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2A. Election of Nominee for Trustee: Gary S. Mgmt Split 93% For 7% Abstain Split Schpero -------------------------------------------------------------------------------------------------------------------------- BLACKSTONE FUNDS Agenda Number: 935352649 -------------------------------------------------------------------------------------------------------------------------- Security: 09257R101 Meeting Type: Annual Meeting Date: 21-Apr-2021 Ticker: BGB ISIN: US09257R1014 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 3A. Election of Nominee for Trustee: Gary S. Mgmt Split 96% For 4% Abstain Split Schpero -------------------------------------------------------------------------------------------------------------------------- BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD Agenda Number: 935196178 -------------------------------------------------------------------------------------------------------------------------- Security: 10537L104 Meeting Type: Special Meeting Date: 06-Jul-2020 Ticker: BWG ISIN: US10537L1044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a new management agreement with Mgmt No vote Legg Mason Partners Fund Advisor, LLC 2A. To approve a New Subadvisory Agreement Mgmt No vote with: Brandywine Global Investment Management, LLC. -------------------------------------------------------------------------------------------------------------------------- BRANDYWINEGLOBAL-GLOBAL INCOME OPP FD Agenda Number: 935342131 -------------------------------------------------------------------------------------------------------------------------- Security: 10537L104 Meeting Type: Annual Meeting Date: 09-Apr-2021 Ticker: BWG ISIN: US10537L1044 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class III Director to serve Mgmt Split 47% For 52% Against 1% AbstainSplit until the 2024 Annual Meeting of Stockholders: Robert D. Agdern 1.2 Election of Class III Director to serve Mgmt Split 47% For 52% Against 1% AbstainSplit until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick 2. To ratify the selection of Mgmt Split 99% For 1% Abstain Split PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending October 31, 2021. -------------------------------------------------------------------------------------------------------------------------- CALAMOS INVESTMENTS Agenda Number: 935440608 -------------------------------------------------------------------------------------------------------------------------- Security: 12812C106 Meeting Type: Annual Meeting Date: 29-Jun-2021 Ticker: CPZ ISIN: US12812C1062 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John E. Neal Mgmt Split 75% For 25% Withheld Split Karen L. Stuckey Mgmt Split 75% For 25% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CHURCHILL CAP CORP II Agenda Number: 935450089 -------------------------------------------------------------------------------------------------------------------------- Security: 17143G106 Meeting Type: Special Meeting Date: 10-Jun-2021 Ticker: CCX ISIN: US17143G1067 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. The Merger Proposal - To consider and vote Mgmt For For upon a proposal to approve the Agreement and Plan of Merger, dated as of October 12, 2020 (as it may be amended and/or restated from time to time, the "Skillsoft Merger Agreement"), by and among Churchill and Software Luxembourg Holding S.A. ("Skillsoft"), and the transactions contemplated thereby. 2. The Merger Issuance Proposal - To consider Mgmt For For and vote upon a proposal to approve, for purposes of complying with applicable listing rules of the New York Stock Exchange (the "NYSE"), the issuance of shares of Churchill Class A common stock and Churchill Class C common stock pursuant to the Skillsoft Merger Agreement. 3. The Charter Amendment Proposal - To Mgmt For For consider and vote upon a proposal to adopt an amendment (the "Charter Amendment") to Churchill's amended and restated certificate of incorporation currently in effect (the "Existing Charter") in the form attached to the Joint Proxy Statement/Prospectus as Annex B. 4. The Charter Approval Proposal - To consider Mgmt For For and vote upon a proposal to adopt the Second Amended and Restated Certificate of Incorporation (the "Proposed Charter") in the form attached to the Joint Proxy StatementProspectus as Annex C. 5. The Governance Proposal - To consider and Mgmt For For act upon, on a non- binding advisory basis, a separate proposal with respect to certain governance provisions in the Proposed Charter in order to give holders of Churchill common stock the opportunity to present their separate views on important corporate governance procedures. 6A. Election of Director: Jeffrey R. Tarr Mgmt For For 6B. Election of Director: Helena B. Foulkes Mgmt For For 6C. Election of Director: Ronald W. Hovsepian Mgmt For For 6D. Election of Director: Michael Klein Mgmt For For 6E. Election of Director: Karen G. Mills Mgmt For For 6F. Election of Director: Lawrence H. Summers Mgmt For For 6G. Election of Director: Peter Schmitt Mgmt For For 7. The Prosus PIPE Issuance Proposal - To Mgmt For For consider and vote upon a proposal to approve, for purposes of complying with the applicable listing rules of the NYSE, the issuance of shares of Churchill Class A common stock pursuant to the Prosus Subscription Agreement (including the shares issuable (i) upon Prosus's exercise of the Prosus Top-Up Right and (ii) upon Prosus's exercise of the Prosus Warrants (each as defined in the Joint Proxy Statement/Prospectus)). 8. The SuRo PIPE Issuance Proposal - To Mgmt For For consider and vote upon a proposal to approve, for purposes of complying with the applicable listing rules of the NYSE, the issuance of shares of Class A common stock pursuant to the SuRo Subscription Agreement (as defined in the Joint Proxy Statement/Prospectus). 9. The Incentive Plan Proposal - To consider Mgmt For For and vote upon a proposal to approve and adopt the Incentive Plan (as defined in the Joint Proxy Statement/Prospectus). 10. The Adjournment Proposal - To consider and Mgmt For For vote upon a proposal to approve the adjournment of the Churchill 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. -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL EQUITY FUND Agenda Number: 935228139 -------------------------------------------------------------------------------------------------------------------------- Security: 18914C100 Meeting Type: Annual Meeting Date: 09-Jul-2020 Ticker: GLQ ISIN: US18914C1009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 2. DIRECTOR Edmund J. Burke Mgmt Split 98% For 2% Withheld Split Vincent W. Versaci Mgmt Split 98% For 2% Withheld Split Clifford J. Weber Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- CLOUGH GLOBAL OPPORTUNITIES FUND Agenda Number: 935228127 -------------------------------------------------------------------------------------------------------------------------- Security: 18914E106 Meeting Type: Annual Meeting Date: 09-Jul-2020 Ticker: GLO ISIN: US18914E1064 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 3. DIRECTOR Robert L. Butler Mgmt Split 93% For 7% Withheld Split Karen DiGravio Mgmt Split 93% For 7% Withheld Split Kevin McNally Mgmt Split 97% For 3% Withheld Split -------------------------------------------------------------------------------------------------------------------------- DUFF & PHELPS UTILITY & CORP BD TR INC. Agenda Number: 935329068 -------------------------------------------------------------------------------------------------------------------------- Security: 26432K108 Meeting Type: Special Meeting Date: 22-Feb-2021 Ticker: DUC ISIN: US26432K1088 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Approval of a proposal to approve and adopt Mgmt Split 98% For 1% Against 1% AbstainSplit the agreement and plan of merger, dated as of November 23, 2020, by and between DUC and DNP Select Income Fund Inc., a Maryland Corporation. -------------------------------------------------------------------------------------------------------------------------- EATON VANCE FLOATING RATE 2022 Agenda Number: 935340531 -------------------------------------------------------------------------------------------------------------------------- Security: 27831H100 Meeting Type: Annual Meeting Date: 15-Apr-2021 Ticker: EFL ISIN: US27831H1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR Thomas E. Faust Jr. Mgmt Split 98% For 2% Withheld Split Mark R. Fetting Mgmt Split 44% For 56% Withheld Split Keith Quinton Mgmt Split 44% For 56% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 935319473 -------------------------------------------------------------------------------------------------------------------------- Security: 27828H105 Meeting Type: Annual Meeting Date: 11-Feb-2021 Ticker: EVV ISIN: US27828H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A) DIRECTOR Helen Frame Peters Mgmt Split 62% For 38% Withheld Split Marcus L. Smith Mgmt Split 62% For 38% Withheld Split Susan J. Sutherland Mgmt Split 62% For 38% Withheld Split -------------------------------------------------------------------------------------------------------------------------- EATON VANCE LIMITED DURATION INCOME FD Agenda Number: 935312556 -------------------------------------------------------------------------------------------------------------------------- Security: 27828H105 Meeting Type: Special Meeting Date: 23-Feb-2021 Ticker: EVV ISIN: US27828H1059 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Approval of a new investment advisory Mgmt Split 95% For 2% Against 3% AbstainSplit agreement with Eaton Vance Management to continue to serve as the Fund's investment adviser. -------------------------------------------------------------------------------------------------------------------------- FAR POINT ACQUISITION CORPORATION Agenda Number: 935257546 -------------------------------------------------------------------------------------------------------------------------- Security: 30734W109 Meeting Type: Special Meeting Date: 24-Aug-2020 Ticker: FPAC ISIN: US30734W1099 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve and adopt Agreement and Plan of Mgmt For Against Merger, dated as of January 16, 2020 ("Merger Agreement"), and business combination contemplated by such agreement ("Business Combination"), by and among FPAC, SL Globetrotter, L.P., a Cayman Islands exempted limited partnership, Global Blue Group Holding AG, a stock corporation incorporated under Swiss law, with its registered office in Zurichstrasse 38, 8306 Bruttisellen, Switzerland, Global Blue US Holdco LLC, a Delaware limited liability company, Global Blue US Merger Sub Inc. 2. The Adjournment Proposal: To approve the Mgmt For Against 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 for any other reason in connection with, the approval of one or more of the other proposals at the Special Meeting. -------------------------------------------------------------------------------------------------------------------------- FIRST EAGLE ALTERNATIVE CAPITAL BDC, INC Agenda Number: 935422749 -------------------------------------------------------------------------------------------------------------------------- Security: 26943B100 Meeting Type: Annual Meeting Date: 17-Jun-2021 Ticker: FCRD ISIN: US26943B1008 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Christopher J. Flynn Mgmt Split 93% For 7% Withheld Split E.P. Giambastiani, Jr. Mgmt Split 91% For 9% Withheld Split Nancy Hawthorne Mgmt Split 91% For 9% Withheld Split James D. Kern Mgmt Split 92% For 8% Withheld Split Deborah McAneny Mgmt Split 93% For 7% Withheld Split Jane Musser Nelson Mgmt Split 94% For 6% Withheld Split 2. To ratify the appointment of Mgmt Split 95% For 3% Against 2% AbstainSplit PricewaterhouseCoopers LLP as the independent registered public accounting firm for such Company for the fiscal year ending December 31, 2021. 3. To approve an amendment to our Third Mgmt Split 92% For 7% Against 1% AbstainSplit Amended and Restated Certificate of Incorporation ("Charter") to remove the ability of the continuing directors to remove any director for cause and allow stockholders to remove directors, with or without cause, by the holders of a majority of shares then entitled to vote. 4. To approve the adjournment of the Annual Mgmt Split 92% For 6% Against 2% AbstainSplit Meeting, if necessary or appropriate, to solicit additional proxies. -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST ADVISORS Agenda Number: 935337293 -------------------------------------------------------------------------------------------------------------------------- Security: 33738E109 Meeting Type: Annual Meeting Date: 08-Apr-2021 Ticker: FSD ISIN: US33738E1091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Erickson Mgmt Split 26% For 74% Withheld Split Thomas R. Kadlec Mgmt Split 26% For 74% Withheld Split 2. If properly presented at the Meeting, a Shr Split 30% For 68% Against 2% AbstainSplit shareholder proposal to terminate all investment advisory and management agreements pertaining to the Fund. -------------------------------------------------------------------------------------------------------------------------- FIRST TRUST ADVISORS Agenda Number: 935361636 -------------------------------------------------------------------------------------------------------------------------- Security: 33739M100 Meeting Type: Annual Meeting Date: 26-Apr-2021 Ticker: FPL ISIN: US33739M1009 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Richard E. Erickson Mgmt Split 48% For 52% Withheld Split Thomas R. Kadlec Mgmt Split 48% For 52% Withheld Split -------------------------------------------------------------------------------------------------------------------------- GREENVISION ACQUISITION CORP. Agenda Number: 935411734 -------------------------------------------------------------------------------------------------------------------------- Security: 39678G103 Meeting Type: Annual Meeting Date: 12-May-2021 Ticker: GRNV ISIN: US39678G1031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Extension Amendment: Amend 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 from May 21, 2021 to August 19, 2021. 2. DIRECTOR Zhigeng (David) Fu Mgmt For For Qi (Karl) Ye Mgmt For For He (Herbert) Yu Mgmt For For Jonathan Intrater Mgmt For For Lee Stern Mgmt For For 3. Adjournment of Meeting: Approve the Mgmt For For adjournment of the annual meeting under certain circumstances, if necessary or advisable, to permit further solicitation of proxies in the event there are not sufficient votes at the time of the special meeting to approve the Extension Amendment. -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 935268068 -------------------------------------------------------------------------------------------------------------------------- Security: 00764C109 Meeting Type: Annual Meeting Date: 30-Sep-2020 Ticker: AVK ISIN: US00764C1099 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class II Trustee: Mr. Daniel L. Mgmt Split 64% For 34% Against 2% AbstainSplit Black 1B. Election of Class II Trustee: Mr. Michael Mgmt Split 64% For 34% Against 2% AbstainSplit A. Smart -------------------------------------------------------------------------------------------------------------------------- GUGGENHEIM FUNDS Agenda Number: 935347131 -------------------------------------------------------------------------------------------------------------------------- Security: 40167B100 Meeting Type: Annual Meeting Date: 08-Apr-2021 Ticker: GPM ISIN: US40167B1008 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class II Director for term Mgmt Split 56% For 42% Against 2% AbstainSplit ending 2024: Thomas F. Lydon, Jr. 1B. Election of Class II Director for term Mgmt Split 56% For 42% Against 2% AbstainSplit ending 2024: Ronald A. Nyberg -------------------------------------------------------------------------------------------------------------------------- HEALTHCARE MERGER CORP. Agenda Number: 935286686 -------------------------------------------------------------------------------------------------------------------------- Security: 42227L102 Meeting Type: Special Meeting Date: 30-Oct-2020 Ticker: HCCO ISIN: US42227L1026 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To consider and vote upon a proposal to Mgmt For For approve, assuming the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Agreement and Plan of Merger, dated as of July 29, 2020, by and among Specialists On Call, Inc. ("SOC Telemed"), HCMC, Sabre Merger Sub I, Inc., a wholly owned subsidiary of HCMC ("First Merger Sub"), and Sabre Merger Sub II, LLC, a wholly owned subsidiary of HCMC ("Second Merger Sub"), pursuant to which First Merger Sub will merge with and into SOC Telemed, with SOC Telemed being the surviving corporation. 2. Increase the total number of authorized Mgmt For For shares of all classes of capital stock from 111,000,000 shares to 505,000,000, which would consist of (i) 500,000,000 shares of Class A common stock and (ii) 5,000,000 shares of preferred stock. 3. Require the affirmative vote of either a Mgmt For For majority of the board of directors then in office or the holders of two-thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of the bylaws; provided that if two-thirds of the board of directors then in office has approved such adoption, amendment alteration or repeal of any provisions of the bylaws, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock. 4. Require the affirmative vote of either a Mgmt For For majority of the board of directors or the holders of two-thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of certain provisions of the charter; provided that if two-thirds of the board of directors has approved such adoption, amendment, alteration or repeal, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock. 5. Provide that certain transactions would not Mgmt For For be considered "competitive opportunities" and that each of Warburg Pincus Private Equity XI, L.P., Warburg Pincus Private Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., WP XI Partners, L.P., Warburg Pincus Private Equity XI-C, L.P. and WP XI Finance, LP and their respective affiliates, directors, principals, officers, employees and other representatives is not subject to the doctrine of corporate opportunity and does not have any duty to refrain from engaging directly or indirectly in an investment 6. Provide that, in addition to the Mgmt For For indemnification provisions in the existing charter, (i) HCMC shall be the indemnitor of first resort,(ii) HCMC shall be required to advance the full amount of expenses incurred by indemnitees and shall be liable for the full amount of all claims to the extent legally permitted (III) HCMC irrevocably waives, relinquishes and releases such persons from any and all claims against them for contribution, subrogation or any other recovery of any kind in respect thereof 7. Clarify that the exclusive jurisdiction of Mgmt For For the Court of Chancery of the State of Delaware shall not apply to suits brought to enforce any duty or liability under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended ("Exchange Act"), or any other claim for which the federal courts have exclusive or concurrent jurisdiction. To the fullest extent permitted by law, the federal district courts of the United States of America shall be the sole and exclusive forum for the resolution of claims arising under the Securities Act. 8. Authorize all other proposed changes, Mgmt For For including, among others, those (i) resulting from the Business Combination, including changing the post-business combination corporate name from "Healthcare Merger Corp." to "SOC Telemed, Inc." and removing certain provisions relating to HCMC's prior status as a blank check company and HCMC Class B common stock that will no longer apply upon the Closing, or (ii) that are administrative or clarifying in nature, including the deletion of language without substantive effect. 9A. Election of Director: Bobbie Byrne Mgmt For For 9B. Election of Director: Thomas J. Carella Mgmt For For 9C. Election of Director: Joseph P. Greskoviak Mgmt For For 9D. Election of Director: John W. Kalix Mgmt For For 9E. Election of Director: Amr Kronfol Mgmt For For 9F. Election of Director: Anne M. McGeorge Mgmt For For 9G. Election of Director: Steven J. Shulman Mgmt For For 10. The Incentive Plan Proposal - To approve Mgmt For For and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Equity Incentive Plan (the "Incentive Plan") and material terms thereunder. A copy of the Incentive Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex C. 11. The Employee Stock Purchase Plan Proposal - Mgmt For For To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Employee Stock Purchase Plan (the "Employee Stock Purchase Plan") and material terms thereunder. A copy of the Employee Stock Purchase Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex D. 12. To consider and vote upon a proposal to Mgmt For For approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for purposes of complying with applicable provisions of Nasdaq Listing Rule 5635, the issuance of more than 20% of HCMC's issued and outstanding common stock in connection with the Business Combination and the PIPE Investment (as defined in the proxy statement/consent solicitation statement/prospectus), and the related change in control. -------------------------------------------------------------------------------------------------------------------------- HEALTHCARE MERGER CORP. Agenda Number: 935286686 -------------------------------------------------------------------------------------------------------------------------- Security: 42227L201 Meeting Type: Special Meeting Date: 30-Oct-2020 Ticker: HCCOU ISIN: US42227L2016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To consider and vote upon a proposal to Mgmt For For approve, assuming the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Agreement and Plan of Merger, dated as of July 29, 2020, by and among Specialists On Call, Inc. ("SOC Telemed"), HCMC, Sabre Merger Sub I, Inc., a wholly owned subsidiary of HCMC ("First Merger Sub"), and Sabre Merger Sub II, LLC, a wholly owned subsidiary of HCMC ("Second Merger Sub"), pursuant to which First Merger Sub will merge with and into SOC Telemed, with SOC Telemed being the surviving corporation. 2. Increase the total number of authorized Mgmt For For shares of all classes of capital stock from 111,000,000 shares to 505,000,000, which would consist of (i) 500,000,000 shares of Class A common stock and (ii) 5,000,000 shares of preferred stock. 3. Require the affirmative vote of either a Mgmt For For majority of the board of directors then in office or the holders of two-thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of the bylaws; provided that if two-thirds of the board of directors then in office has approved such adoption, amendment alteration or repeal of any provisions of the bylaws, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock. 4. Require the affirmative vote of either a Mgmt For For majority of the board of directors or the holders of two-thirds of the voting power of the outstanding shares of capital stock for the adoption, amendment, alteration or repeal of certain provisions of the charter; provided that if two-thirds of the board of directors has approved such adoption, amendment, alteration or repeal, then only the affirmative vote of the holders of at least a majority of the voting power of the outstanding shares of capital stock. 5. Provide that certain transactions would not Mgmt For For be considered "competitive opportunities" and that each of Warburg Pincus Private Equity XI, L.P., Warburg Pincus Private Equity XI-B, L.P., Warburg Pincus XI Partners, L.P., WP XI Partners, L.P., Warburg Pincus Private Equity XI-C, L.P. and WP XI Finance, LP and their respective affiliates, directors, principals, officers, employees and other representatives is not subject to the doctrine of corporate opportunity and does not have any duty to refrain from engaging directly or indirectly in an investment 6. Provide that, in addition to the Mgmt For For indemnification provisions in the existing charter, (i) HCMC shall be the indemnitor of first resort,(ii) HCMC shall be required to advance the full amount of expenses incurred by indemnitees and shall be liable for the full amount of all claims to the extent legally permitted (III) HCMC irrevocably waives, relinquishes and releases such persons from any and all claims against them for contribution, subrogation or any other recovery of any kind in respect thereof 7. Clarify that the exclusive jurisdiction of Mgmt For For the Court of Chancery of the State of Delaware shall not apply to suits brought to enforce any duty or liability under the Securities Act of 1933, as amended, or the Securities Exchange Act of 1934, as amended ("Exchange Act"), or any other claim for which the federal courts have exclusive or concurrent jurisdiction. To the fullest extent permitted by law, the federal district courts of the United States of America shall be the sole and exclusive forum for the resolution of claims arising under the Securities Act. 8. Authorize all other proposed changes, Mgmt For For including, among others, those (i) resulting from the Business Combination, including changing the post-business combination corporate name from "Healthcare Merger Corp." to "SOC Telemed, Inc." and removing certain provisions relating to HCMC's prior status as a blank check company and HCMC Class B common stock that will no longer apply upon the Closing, or (ii) that are administrative or clarifying in nature, including the deletion of language without substantive effect. 9A. Election of Director: Bobbie Byrne Mgmt For For 9B. Election of Director: Thomas J. Carella Mgmt For For 9C. Election of Director: Joseph P. Greskoviak Mgmt For For 9D. Election of Director: John W. Kalix Mgmt For For 9E. Election of Director: Amr Kronfol Mgmt For For 9F. Election of Director: Anne M. McGeorge Mgmt For For 9G. Election of Director: Steven J. Shulman Mgmt For For 10. The Incentive Plan Proposal - To approve Mgmt For For and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Equity Incentive Plan (the "Incentive Plan") and material terms thereunder. A copy of the Incentive Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex C. 11. The Employee Stock Purchase Plan Proposal - Mgmt For For To approve and adopt, assuming the Business Combination Proposal, the Charter Proposals and the NASDAQ Proposal are approved and adopted, the Specialists on Call, Inc. 2020 Employee Stock Purchase Plan (the "Employee Stock Purchase Plan") and material terms thereunder. A copy of the Employee Stock Purchase Plan is attached to the proxy statement/consent solicitation statement/prospectus as Annex D. 12. To consider and vote upon a proposal to Mgmt For For approve, assuming the Business Combination Proposal and the Charter Proposals are approved and adopted, for purposes of complying with applicable provisions of Nasdaq Listing Rule 5635, the issuance of more than 20% of HCMC's issued and outstanding common stock in connection with the Business Combination and the PIPE Investment (as defined in the proxy statement/consent solicitation statement/prospectus), and the related change in control. -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 935248319 -------------------------------------------------------------------------------------------------------------------------- Security: 46132R104 Meeting Type: Annual Meeting Date: 07-Aug-2020 Ticker: VTA ISIN: US46132R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A DIRECTOR Beth Ann Brown Mgmt Split 98% For 2% Withheld Split Anthony J. LaCava, Jr. Mgmt Split 95% For 5% Withheld Split Joel W. Motley Mgmt Split 98% For 2% Withheld Split Teresa M. Ressel Mgmt Split 95% For 5% Withheld Split Christopher L. Wilson Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- INVESCO Agenda Number: 935248319 -------------------------------------------------------------------------------------------------------------------------- Security: 46131H107 Meeting Type: Annual Meeting Date: 07-Aug-2020 Ticker: VVR ISIN: US46131H1077 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A DIRECTOR Beth Ann Brown Mgmt Split 99% For 1% Withheld Split Anthony J. LaCava, Jr. Mgmt Split 95% For 5% Withheld Split Joel W. Motley Mgmt Split 99% For 1% Withheld Split Teresa M. Ressel Mgmt Split 95% For 5% Withheld Split Christopher L. Wilson Mgmt Split 99% For 1% Withheld Split -------------------------------------------------------------------------------------------------------------------------- IVY HIGH INCOME OPPORTUNITIES FUND Agenda Number: 935335275 -------------------------------------------------------------------------------------------------------------------------- Security: 465893105 Meeting Type: Special Meeting Date: 01-Apr-2021 Ticker: IVH ISIN: US4658931054 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a new investment advisory Mgmt Split 92% For 5% Against 3% AbstainSplit agreement for the Fund. 2. To approve sub-advisory agreements between Mgmt Split 92% For 5% Against 3% AbstainSplit Delaware Management Company, a series of Macquarie Investment Management Business Trust, and each of Macquarie Investment Management Austria Kapitalanlage AG, Macquarie Investment Management Global Limited and Macquarie Investment Management Europe Limited. -------------------------------------------------------------------------------------------------------------------------- IVY HIGH INCOME OPPORTUNITIES FUND Agenda Number: 935335263 -------------------------------------------------------------------------------------------------------------------------- Security: 465893F62 Meeting Type: Special Meeting Date: 01-Apr-2021 Ticker: ISIN: -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Joseph Harroz, Jr.** Mgmt Split 88% For 12% Withheld Split Ann D. Borowiec** Mgmt Split 88% For 12% Withheld Split Jerome D. Abernathy** Mgmt Split 88% For 12% Withheld Split Janet L. Yeomans** Mgmt Split 88% For 12% Withheld Split John A. Fry** Mgmt Split 88% For 12% Withheld Split Sandra A.J. Lawrence# Mgmt Split 88% For 12% Withheld Split Shawn K. Lytle# Mgmt Split 88% For 12% Withheld Split Thomas L. Bennett# Mgmt Split 88% For 12% Withheld Split Thomas K. Whitford# Mgmt Split 88% For 12% Withheld Split H. Jeffrey Dobbs* Mgmt Split 87% For 13% Withheld Split F. A. Sevilla-Sacasa* Mgmt Split 88% For 12% Withheld Split Christianna Wood* Mgmt Split 88% For 12% Withheld Split Joseph W. Chow* Mgmt Split 88% For 12% Withheld Split -------------------------------------------------------------------------------------------------------------------------- LEGACY ACQUISITION CORP. Agenda Number: 935297122 -------------------------------------------------------------------------------------------------------------------------- Security: 524643111 Meeting Type: Consent Meeting Date: 25-Nov-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"). -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 935194756 -------------------------------------------------------------------------------------------------------------------------- Security: 95768B107 Meeting Type: Special Meeting Date: 06-Jul-2020 Ticker: HYI ISIN: US95768B1070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a New Management Agreement with Mgmt Split 95% For 3% Against 2% Abstain* Legg Mason Partners Fund Advisor, LLC. 2C. To approve a New Subadvisory Agreement Mgmt Split 94% For 3% Against 3% Abstain* with: Western Asset Management Company, LLC. 2D. To approve a New Subadvisory Agreement Mgmt Split 94% For 3% Against 3% Abstain* with: Western Asset Management Company Limited. 2E. To approve a New Subadvisory Agreement Mgmt Split 94% For 3% Against 3% Abstain* with: Western Asset Management Company Ltd. 2F. To approve a New Subadvisory Agreement Mgmt Split 94% For 3% Against 3% Abstain* with: Western Asset Management Company Pte. Ltd. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 935273918 -------------------------------------------------------------------------------------------------------------------------- Security: 95768B107 Meeting Type: Annual Meeting Date: 23-Oct-2020 Ticker: HYI ISIN: US95768B1070 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class III Director to serve Mgmt Split 51% For 48% Against 1% AbstainSplit until the 2023 Annual Meeting of Stockholders: Robert D. Agdern 1.2 Election of Class III Director to serve Mgmt Split 51% For 48% 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 May 31, 2021. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON Agenda Number: 935273920 -------------------------------------------------------------------------------------------------------------------------- Security: 95766M105 Meeting Type: Annual Meeting Date: 23-Oct-2020 Ticker: MMU ISIN: US95766M1053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class III Director to serve Mgmt Split 94% For 3% Against 3% AbstainSplit until the 2023 Annual Meeting of Stockholders: Robert D. Agdern 1.2 Election of Class III Director to serve Mgmt Split 94% For 3% Against 3% AbstainSplit until the 2023 Annual Meeting of Stockholders: William R. Hutchinson 2. To ratify the selection of Mgmt Split 95% For 3% Against 2% AbstainSplit PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending May 31, 2021. -------------------------------------------------------------------------------------------------------------------------- LEGG MASON PARTNERS CAPITAL AND INCOME Agenda Number: 935342129 -------------------------------------------------------------------------------------------------------------------------- Security: 50208A102 Meeting Type: Annual Meeting Date: 09-Apr-2021 Ticker: SCD ISIN: US50208A1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class I Director to serve until Mgmt Split 55% For 42% Against 3% AbstainSplit the 2024 Annual Meeting of Stockholders: Carol L. Colman 1.2 Election of Class I Director to serve until Mgmt Split 55% For 42% Against 3% AbstainSplit the 2024 Annual Meeting of Stockholders: Daniel P. Cronin 1.3 Election of Class I Director to serve until Mgmt Split 54% For 43% Against 3% AbstainSplit the 2024 Annual Meeting of Stockholders: Paolo M. Cucchi 2. To ratify the selection of Mgmt Split 95% For 2% Against 3% AbstainSplit PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending November 30, 2021. -------------------------------------------------------------------------------------------------------------------------- LF CAPITAL ACQUISTION CORP Agenda Number: 935267915 -------------------------------------------------------------------------------------------------------------------------- Security: 50200K108 Meeting Type: Special Meeting Date: 17-Sep-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 September 22, 2020 to December 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. -------------------------------------------------------------------------------------------------------------------------- LF CAPITAL ACQUISTION CORP Agenda Number: 935311364 -------------------------------------------------------------------------------------------------------------------------- Security: 50200K116 Meeting Type: Special Meeting Date: 14-Dec-2020 Ticker: LFACW ISIN: US50200K1161 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Proposal to amend (the "Warrant Amendment") Mgmt For For the warrant agreement that governs all of the Company's outstanding public warrants. 2. Proposal to adjourn the Warrant Holders Mgmt For For Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if it is determined by the Company that more time is necessary or appropriate to approve the Warrant Amendment Proposal. -------------------------------------------------------------------------------------------------------------------------- NEXPOINT FUNDS Agenda Number: 935242836 -------------------------------------------------------------------------------------------------------------------------- Security: 65340G205 Meeting Type: Annual Meeting Date: 14-Jul-2020 Ticker: NHF ISIN: US65340G2057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Dr. Bob Froehlich Mgmt Split 83% For 17% Withheld Split Edward Constantino Mgmt Split 84% For 16% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NEXPOINT FUNDS Agenda Number: 935250388 -------------------------------------------------------------------------------------------------------------------------- Security: 65340G205 Meeting Type: Special Meeting Date: 28-Aug-2020 Ticker: NHF ISIN: US65340G2057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a change in the Fund's business Mgmt Split 90% For 6% Against 4% AbstainSplit from a registered investment company that invests primarily in debt and equity securities to a diversified REIT and to amend the Fund's fundamental investment restrictions to permit the Fund to engage in its new business (the "Business Change Proposal"). 2. To approve the amendment and restatement of Mgmt Split 89% For 7% Against 4% AbstainSplit the Fund's Agreement and Declaration of Trust (the "Amendment Proposal"). -------------------------------------------------------------------------------------------------------------------------- NEXPOINT FUNDS Agenda Number: 935432459 -------------------------------------------------------------------------------------------------------------------------- Security: 65340G205 Meeting Type: Annual Meeting Date: 11-Jun-2021 Ticker: NHF ISIN: US65340G2057 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class III Trustee to serve for Mgmt Split 87% For 13% Abstain Split a three year term expiring at the 2024 Annual Meeting: John Honis -------------------------------------------------------------------------------------------------------------------------- NUVEEN AMT-FREE MUNICIPAL CREDIT INC FD Agenda Number: 935245541 -------------------------------------------------------------------------------------------------------------------------- Security: 67071L106 Meeting Type: Annual Meeting Date: 05-Aug-2020 Ticker: NVG ISIN: US67071L1061 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR John K. Nelson Mgmt Split 96% For 4% Withheld Split Terence J. Toth Mgmt Split 96% For 4% Withheld Split Robert L. Young Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN CALIFORNIA AMT FREE MUNI INC FD Agenda Number: 935285785 -------------------------------------------------------------------------------------------------------------------------- Security: 670651108 Meeting Type: Annual Meeting Date: 16-Nov-2020 Ticker: NKX ISIN: US6706511085 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John K. Nelson Mgmt Split 64% For 36% Withheld Split Terence J. Toth Mgmt Split 63% For 37% Withheld Split Robert L. Young Mgmt Split 64% For 36% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN CALIFORNIA QUALITY MUNI INC FD Agenda Number: 935285785 -------------------------------------------------------------------------------------------------------------------------- Security: 67066Y105 Meeting Type: Annual Meeting Date: 16-Nov-2020 Ticker: NAC ISIN: US67066Y1055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR John K. Nelson Mgmt Split 66% For 34% Withheld Split Terence J. Toth Mgmt Split 65% For 35% Withheld Split Robert L. Young Mgmt Split 66% For 34% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN DIVERSIFIED DIVIDEND AND INC FD Agenda Number: 935346139 -------------------------------------------------------------------------------------------------------------------------- Security: 6706EP105 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: JDD ISIN: US6706EP1058 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Jack B. Evans Mgmt Split 55% For 45% Withheld Split Albin F. Moschner Mgmt Split 55% For 45% Withheld Split Matthew Thornton III Mgmt Split 71% For 29% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN FLOATING RATE INCOME OPP FD Agenda Number: 935346141 -------------------------------------------------------------------------------------------------------------------------- Security: 6706EN100 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: JRO ISIN: US6706EN1001 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. DIRECTOR Jack B. Evans Mgmt Split 32% For 68% Withheld Split Matthew Thornton III Mgmt Split 65% For 35% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN GLOBAL HIGH INCOME FUND Agenda Number: 935336532 -------------------------------------------------------------------------------------------------------------------------- Security: 67075G103 Meeting Type: Annual Meeting Date: 06-Apr-2021 Ticker: JGH ISIN: US67075G1031 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Jack B. Evans Mgmt No vote Albin F. Moschner Mgmt No vote Matthew Thornton III Mgmt No vote -------------------------------------------------------------------------------------------------------------------------- NUVEEN HIGH INC NOV 2021 TARGET TERM FD Agenda Number: 935346139 -------------------------------------------------------------------------------------------------------------------------- Security: 67077N106 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: JHB ISIN: US67077N1063 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Jack B. Evans Mgmt Split 44% For 56% Withheld Split Albin F. Moschner Mgmt Split 44% For 56% Withheld Split Matthew Thornton III Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN PREFERED & CONVERTIBLE INCOME 2 Agenda Number: 935346139 -------------------------------------------------------------------------------------------------------------------------- Security: 67073D102 Meeting Type: Annual Meeting Date: 25-May-2021 Ticker: JQC ISIN: US67073D1028 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1B. DIRECTOR Jack B. Evans Mgmt Split 71% For 29% Withheld Split Albin F. Moschner Mgmt Split 71% For 29% Withheld Split Matthew Thornton III Mgmt Split 90% For 10% Withheld Split -------------------------------------------------------------------------------------------------------------------------- NUVEEN QUALITY MUNICIPAL INCOME FUND Agenda Number: 935245541 -------------------------------------------------------------------------------------------------------------------------- Security: 67066V101 Meeting Type: Annual Meeting Date: 05-Aug-2020 Ticker: NAD ISIN: US67066V1017 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1C. DIRECTOR John K. Nelson Mgmt Split 76% For 24% Withheld Split Terence J. Toth Mgmt Split 81% For 19% Withheld Split Robert L. Young Mgmt Split 82% For 18% Withheld Split -------------------------------------------------------------------------------------------------------------------------- OAKTREE SPECIALTY LENDING CORPORATION Agenda Number: 935330946 -------------------------------------------------------------------------------------------------------------------------- Security: 67401P108 Meeting Type: Annual Meeting Date: 15-Mar-2021 Ticker: OCSL ISIN: US67401P1084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Director: Deborah Gero Mgmt No vote 1B. Election of Director: Craig Jacobson Mgmt No vote 2. To ratify the appointment of Ernst & Young Mgmt No vote LLP as the Independent Registered Public Accounting Firm for the Company for the fiscal year ending September 30, 2021. 3. To approve the issuance of shares of common Mgmt No vote stock, par value $0.01 per share, of the Company to be issued pursuant to the Agreement and Plan of Merger, dated as of October 28, 2020, among Oaktree Strategic Income Corporation, a Delaware corporation ("OCSI"), the Company, Lion Merger Sub, Inc., a Delaware corporation and a direct wholly-owned subsidiary of the Company, and, for the limited purposes set forth therein, Oaktree Fund Advisors, LLC, a Delaware limited liability company and investment adviser to each of the Company and OCSI. -------------------------------------------------------------------------------------------------------------------------- OWL ROCK CAPITAL CORPORATION Agenda Number: 935331037 -------------------------------------------------------------------------------------------------------------------------- Security: 69121K104 Meeting Type: Special Meeting Date: 17-Mar-2021 Ticker: ORCC ISIN: US69121K1043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve the Company's entry into an Mgmt No vote amended and restated investment advisory agreement (the "New Advisory Agreement") between the Company and Owl Rock Capital Advisors LLC (the "Adviser"), pursuant to which the Adviser will continue to provide investment advisory and management services to the Company following the change in control of the Adviser with no changes to terms, as more fully described in the accompanying proxy statement (the "New Advisory Agreement Proposal"). 2. To approve the adjournment of the Special Mgmt No vote Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the New Advisory Agreement Proposal (the "Adjournment Proposal"). -------------------------------------------------------------------------------------------------------------------------- PGIM INVESTMENTS Agenda Number: 935329664 -------------------------------------------------------------------------------------------------------------------------- Security: 69346H100 Meeting Type: Annual Meeting Date: 16-Apr-2021 Ticker: ISD ISIN: US69346H1005 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Scott E. Benjamin Mgmt Split 83% For 17% Withheld Split Linda W. Bynoe Mgmt Split 42% For 58% Withheld Split Laurie Simon Hodrick Mgmt Split 66% For 34% Withheld Split -------------------------------------------------------------------------------------------------------------------------- PGIM INVESTMENTS Agenda Number: 935329676 -------------------------------------------------------------------------------------------------------------------------- Security: 69346J106 Meeting Type: Annual Meeting Date: 16-Apr-2021 Ticker: GHY ISIN: US69346J1060 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Scott E. Benjamin Mgmt Split 68% For 32% Withheld Split Linda W. Bynoe Mgmt Split 27% For 73% Withheld Split Laurie Simon Hodrick Mgmt Split 48% For 52% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ROYCE GLOBAL VALUE TRUST, INC. Agenda Number: 935263094 -------------------------------------------------------------------------------------------------------------------------- Security: 78081T104 Meeting Type: Annual Meeting Date: 24-Sep-2020 Ticker: RGT ISIN: US78081T1043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Christopher D. Clark Mgmt Split 56% For 44% Withheld Split Christopher C. Grisanti Mgmt Split 55% For 45% Withheld Split Cecile B. Harper Mgmt Split 56% For 44% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ROYCE GLOBAL VALUE TRUST, INC. Agenda Number: 935271964 -------------------------------------------------------------------------------------------------------------------------- Security: 78081T104 Meeting Type: Special Meeting Date: 17-Dec-2020 Ticker: RGT ISIN: US78081T1043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Proposal to consider and approve a new Mgmt No vote investment advisory agreement, by and between Royce & Associates, LP and Royce Global Value Trust, Inc. -------------------------------------------------------------------------------------------------------------------------- ROYCE MICRO-CAP TRUST, INC. Agenda Number: 935221541 -------------------------------------------------------------------------------------------------------------------------- Security: 780915104 Meeting Type: Special Meeting Date: 14-Jul-2020 Ticker: RMT ISIN: US7809151043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Proposal to consider and approve a new Mgmt Split 94% For 4% Against 2% AbstainSplit investment advisory agreement, by and between Royce & Associates, LP and Royce Micro-Cap Trust, Inc. -------------------------------------------------------------------------------------------------------------------------- ROYCE MICRO-CAP TRUST, INC. Agenda Number: 935263082 -------------------------------------------------------------------------------------------------------------------------- Security: 780915104 Meeting Type: Annual Meeting Date: 24-Sep-2020 Ticker: RMT ISIN: US7809151043 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Christopher D. Clark Mgmt Split 96% For 4% Withheld Split Christopher C. Grisanti Mgmt Split 92% For 8% Withheld Split Cecile B. Harper Mgmt Split 96% For 4% Withheld Split -------------------------------------------------------------------------------------------------------------------------- ROYCE VALUE TRUST, INC. Agenda Number: 935221553 -------------------------------------------------------------------------------------------------------------------------- Security: 780910105 Meeting Type: Special Meeting Date: 29-Jul-2020 Ticker: RVT ISIN: US7809101055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. Proposal to consider and approve a new Mgmt Split 94% For 4% Against 2% AbstainSplit investment advisory agreement, by and between Royce & Associates, LP and Royce Value Trust, Inc. -------------------------------------------------------------------------------------------------------------------------- ROYCE VALUE TRUST, INC. Agenda Number: 935263070 -------------------------------------------------------------------------------------------------------------------------- Security: 780910105 Meeting Type: Annual Meeting Date: 24-Sep-2020 Ticker: RVT ISIN: US7809101055 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Christopher D. Clark Mgmt Split 94% For 6% Withheld Split Christopher C. Grisanti Mgmt Split 87% For 13% Withheld Split Cecile B. Harper Mgmt Split 94% For 6% Withheld Split -------------------------------------------------------------------------------------------------------------------------- SOURCE CAPITAL, INC. Agenda Number: 935391261 -------------------------------------------------------------------------------------------------------------------------- Security: 836144105 Meeting Type: Annual Meeting Date: 10-May-2021 Ticker: SOR ISIN: US8361441053 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Atwood Mgmt Split 63% For 37% Withheld Split Brown Mgmt Split 63% For 37% Withheld Split Lipson Mgmt Split 63% For 37% Withheld Split Osborne Mgmt Split 63% For 37% Withheld Split Pisano Mgmt Split 63% For 37% Withheld Split Purcell Mgmt Split 63% For 37% Withheld Split -------------------------------------------------------------------------------------------------------------------------- SPROTT FUNDS Agenda Number: 935259881 -------------------------------------------------------------------------------------------------------------------------- Security: 85208J109 Meeting Type: Annual Meeting Date: 09-Sep-2020 Ticker: FUND ISIN: US85208J1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Barbara Connolly Keady Mgmt Split 93% For 7% Withheld Split Peyton Tansill Muldoon Mgmt Split 93% For 7% Withheld Split -------------------------------------------------------------------------------------------------------------------------- TEMPLETON EMERGING MKTS INCOME FUND Agenda Number: 935364149 -------------------------------------------------------------------------------------------------------------------------- Security: 880192109 Meeting Type: Annual Meeting Date: 27-May-2021 Ticker: TEI ISIN: US8801921094 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Ann Torre Bates Mgmt Split 77% For 23% Withheld Split David W. Niemiec Mgmt Split 77% For 23% Withheld Split Larry D. Thompson Mgmt Split 70% For 30% Withheld Split Robert E. Wade Mgmt Split 77% For 23% Withheld Split 2. The ratification of the selection of Mgmt Split 77% For 22% Against 1% AbstainSplit PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2021. -------------------------------------------------------------------------------------------------------------------------- VOYA EMERGING MKTS HIGH DIVIDEND EY FD Agenda Number: 935223785 -------------------------------------------------------------------------------------------------------------------------- Security: 92912P108 Meeting Type: Annual Meeting Date: 09-Jul-2020 Ticker: IHD ISIN: US92912P1084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Martin J. Gavin Mgmt Split 92% For 8% Withheld Split Dina Santoro Mgmt Split 93% For 7% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA EMERGING MKTS HIGH DIVIDEND EY FD Agenda Number: 935428284 -------------------------------------------------------------------------------------------------------------------------- Security: 92912P108 Meeting Type: Annual Meeting Date: 18-Jun-2021 Ticker: IHD ISIN: US92912P1084 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Colleen D. Baldwin Mgmt Split 91% For 9% Withheld Split Joseph E. Obermeyer Mgmt Split 91% For 9% Withheld Split Christopher P. Sullivan Mgmt Split 91% For 9% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA GBL ADVANTAGE AND PREMIUM OPP FD Agenda Number: 935428284 -------------------------------------------------------------------------------------------------------------------------- Security: 92912R104 Meeting Type: Annual Meeting Date: 18-Jun-2021 Ticker: IGA ISIN: US92912R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Colleen D. Baldwin Mgmt Split 98% For 2% Withheld Split Joseph E. Obermeyer Mgmt Split 97% For 3% Withheld Split Christopher P. Sullivan Mgmt Split 98% For 2% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD Agenda Number: 935223785 -------------------------------------------------------------------------------------------------------------------------- Security: 92912T100 Meeting Type: Annual Meeting Date: 09-Jul-2020 Ticker: IGD ISIN: US92912T1007 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Martin J. Gavin Mgmt Split 74% For 26% Withheld Split Dina Santoro Mgmt Split 81% For 19% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA GBL EQ DIVIDEND AND PREMIUM OPP FD Agenda Number: 935428284 -------------------------------------------------------------------------------------------------------------------------- Security: 92912T100 Meeting Type: Annual Meeting Date: 18-Jun-2021 Ticker: IGD ISIN: US92912T1007 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Colleen D. Baldwin Mgmt Split 77% For 23% Withheld Split Joseph E. Obermeyer Mgmt Split 77% For 23% Withheld Split Christopher P. Sullivan Mgmt Split 86% For 14% Withheld Split -------------------------------------------------------------------------------------------------------------------------- VOYA INTNL HIGH DIVIDEND EQ INC FD Agenda Number: 935223797 -------------------------------------------------------------------------------------------------------------------------- Security: 92912Y109 Meeting Type: Annual Meeting Date: 09-Jul-2020 Ticker: IID ISIN: US92912Y1091 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Martin J. Gavin Mgmt Split 78% For 22% Withheld Split Dina Santoro Mgmt Split 78% For 22% Withheld Split -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 935194768 -------------------------------------------------------------------------------------------------------------------------- Security: 95766A101 Meeting Type: Special Meeting Date: 06-Jul-2020 Ticker: EMD ISIN: US95766A1016 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a New Management Agreement with Mgmt Split 96% For 2% Against 2% Abstain* Legg Mason Partners Fund Advisor, LLC. 2C. To approve a New Subadvisory Agreement Mgmt Split 96% For 2% Against 2% Abstain* with: Western Asset Management Company, LLC. 2D. To approve a New Subadvisory Agreement Mgmt Split 96% For 2% Against 2% Abstain* with: Western Asset Management Company Limited. 2F. To approve a New Subadvisory Agreement Mgmt Split 96% For 2% Against 2% Abstain* with: Western Asset Management Company Pte. Ltd. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET EMERGING MKTS DEBT FD INC. Agenda Number: 935276180 -------------------------------------------------------------------------------------------------------------------------- Security: 95766A101 Meeting Type: Annual Meeting Date: 23-Oct-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 77% For 22% Against 1% AbstainSplit until the 2023 Annual Meeting of Stockholders: Robert D. Agdern 1.2 Election of Class III Director to serve Mgmt Split 77% For 22% 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 GBL HIGH INC FD INC. Agenda Number: 935196116 -------------------------------------------------------------------------------------------------------------------------- Security: 95766B109 Meeting Type: Special Meeting Date: 06-Jul-2020 Ticker: EHI ISIN: US95766B1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a New Management Agreement with Mgmt No vote Legg Mason Partners Fund Advisor, LLC. 2C. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company, LLC. 2D. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company Limited. 2F. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company Pte. Ltd. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET GBL HIGH INC FD INC. Agenda Number: 935275001 -------------------------------------------------------------------------------------------------------------------------- Security: 95766B109 Meeting Type: Annual Meeting Date: 23-Oct-2020 Ticker: EHI ISIN: US95766B1098 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class I Director to serve until Mgmt Split 82% For 17% Against 1% AbstainSplit the 2023 Annual Meeting of Stockholders: Carol L. Colman 1.2 Election of Class I Director to serve until Mgmt Split 81% For 18% Against 1% AbstainSplit the 2023 Annual Meeting of Stockholders: Daniel P. Cronin 1.3 Election of Class I Director to serve until Mgmt Split 81% For 18% Against 1% AbstainSplit the 2023 Annual Meeting of Stockholders: Paolo M. Cucchi 2. To ratify the selection of Mgmt Split 99% For 1% Abstain Split PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending May 31, 2021. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET HIGH INC OPP FD INC. Agenda Number: 935196130 -------------------------------------------------------------------------------------------------------------------------- Security: 95766K109 Meeting Type: Special Meeting Date: 06-Jul-2020 Ticker: HIO ISIN: US95766K1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a New Management Agreement with Mgmt No vote Legg Mason Partners Fund Advisor, LLC. 2C. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company, LLC. 2D. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company Limited. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET HIGH INC OPP FD INC. Agenda Number: 935342078 -------------------------------------------------------------------------------------------------------------------------- Security: 95766K109 Meeting Type: Annual Meeting Date: 09-Apr-2021 Ticker: HIO ISIN: US95766K1097 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class II Director to serve Mgmt Split 60% For 39% Against 1% AbstainSplit until the 2024 Annual Meeting of Stockholders: Paolo M. Cucchi 1.2 Election of Class II Director to serve Mgmt Split 66% For 33% Against 1% AbstainSplit until the 2024 Annual Meeting of Stockholders: Eileen A. Kamerick 1.3 Election of Class II Director to serve Mgmt Split 91% For 8% Against 1% AbstainSplit until the 2024 Annual Meeting of Stockholders: Jane Trust 2. To ratify the selection of Mgmt Split 97% For 2% Against 1% AbstainSplit PricewaterhouseCoopers LLP as the Fund's independent registered public accountants for the fiscal year ending September 30, 2021. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET HIGH INCOME FUND II INC Agenda Number: 935196154 -------------------------------------------------------------------------------------------------------------------------- Security: 95766J102 Meeting Type: Special Meeting Date: 06-Jul-2020 Ticker: HIX ISIN: US95766J1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a New Management Agreement with Mgmt No vote Legg Mason Partners Fund Advisor, LLC. 2C. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company, LLC. 2D. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company Limited. 2F. To approve a New Subadvisory Agreement Mgmt No vote with: Western Asset Management Company Pte. Ltd. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET HIGH INCOME FUND II INC Agenda Number: 935275013 -------------------------------------------------------------------------------------------------------------------------- Security: 95766J102 Meeting Type: Annual Meeting Date: 23-Oct-2020 Ticker: HIX ISIN: US95766J1025 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1.1 Election of Class I Director to serve until Mgmt Split 74% For 25% Against 1% AbstainSplit 2023 Annual Meeting of Stockholders: Robert D. Agdern 1.2 Election of Class I Director to serve until Mgmt Split 73% For 26% Against 1% AbstainSplit 2023 Annual Meeting of Stockholders: Daniel P. Cronin 1.3 Election of Class I Director to serve until Mgmt Split 74% For 25% Against 1% AbstainSplit 2023 Annual Meeting of Stockholders: Eileen A. Kamerick 1.4 Election of Class II Director to serve Mgmt Split 73% For 26% Against 1% AbstainSplit until 2021 Annual Meeting of Stockholders: Paolo M. Cucchi 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 April 30, 2021. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 935233077 -------------------------------------------------------------------------------------------------------------------------- Security: 95766R104 Meeting Type: Special Meeting Date: 14-Jul-2020 Ticker: WIW ISIN: US95766R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. To approve a new management agreement with Mgmt Split 90% For 10% Against Split Western Asset Management Company, LLC 2A. To approve a new subadvisory agreement Mgmt Split 89% For 10% Against 1% AbstainSplit with: Western Asset Management Company Limited 2B. To approve a new subadvisory agreement Mgmt Split 89% For 10% Against 1% AbstainSplit with: Western Asset Management Company Ltd 2C. To approve a new subadvisory agreement Mgmt Split 89% For 10% Against 1% AbstainSplit with: Western Asset Management Company Pte. Ltd. -------------------------------------------------------------------------------------------------------------------------- WESTERN ASSET/CLAYMORE LINKED OPP & INC Agenda Number: 935394596 -------------------------------------------------------------------------------------------------------------------------- Security: 95766R104 Meeting Type: Annual Meeting Date: 14-May-2021 Ticker: WIW ISIN: US95766R1041 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1. DIRECTOR Robert Abeles, Jr. Mgmt Split 69% For 31% Withheld Split Jane F. Dasher Mgmt Split 69% For 31% Withheld Split Anita L. DeFrantz Mgmt Split 68% For 32% Withheld Split Jane E. Trust Mgmt Split 89% For 11% Withheld Split -------------------------------------------------------------------------------------------------------------------------- XAI OCTAGON FUNDS Agenda Number: 935411316 -------------------------------------------------------------------------------------------------------------------------- Security: 98400T205 Meeting Type: Annual Meeting Date: 18-May-2021 Ticker: XFLTPR ISIN: US98400T2050 -------------------------------------------------------------------------------------------------------------------------- Prop.# Proposal Proposal Proposal Vote For/Against Type Management 1A. Election of Class I Trustee of the Trust, Mgmt Split 99% For 1% Against Split to be elected by common shares and preferred shares voting as a single class, to serve until the 2024 annual meeting: Theodore J. Brombach 1B. Election of Class I Trustee of the Trust, Mgmt Split 99% For 1% Against Split to be elected by preferred shares voting as a separate class, to serve until the 2024 annual meeting: Danielle Cupps * 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 Chief Executive Officer Date 08/04/2021