N-PX 1 fgb_npx.txt VOTING RECORD SUMMANY UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM N-PX ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED MANAGEMENT INVESTMENT COMPANY Investment Company Act File No. 811-22039 First Trust Specialty Finance and Financial Opportunities Fund ------------------------------------------------------------- Exact Name of Registrant as Specified in Declaration of Trust 120 East Liberty Drive, Suite 400, Wheaton, Illinois 60187 ------------------------------------------------------------------------------ Address of Principal Executive Offices (Number, Street, City, State, Zip Code) W. Scott Jardine First Trust Portfolios L.P. 120 East Liberty Drive, Suite 400 Wheaton, Illinois 60187 ----------------------------------------------------------------------------- Name and Address (Number, Street, City, State, Zip Code) of Agent for Service (630) 765-8000 -------------------------------------------------- Registrant's Telephone Number, including Area Code Date of fiscal year end: November 30 ----------- Date of reporting period: July 1, 2012 - June 30, 2013 ---------------------------- Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles. A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, N.E., Washington D.C. 20549. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. Section 3507. Item 1. Proxy Voting Record

COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- APOLLO INVESTMENT 5-SEP-12 03761U-106 AINV CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) JOHN J. HANNAN Issuer Echo Voted -- For For 1.2) JAMES C. ZELTER Issuer Echo Voted -- For 1.3) ASHOK N. BAKHRU Echo Voted -- For For 2) TO RATIFY THE SELECTION OF PRICEWATERHOUSECOOPERS LLP TO Issuer SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING MARCH 31, 2013. Echo Voted -- For For 3) TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE Issuer FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO CERTAIN LIMITATIONS DESCRIBED HEREIN, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- SARATOGA INVESTMENT 28-SEP-12 80349A-208 SAR CORP. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) CHRISTIAN L. OBERBECK Issuer Echo Voted -- For For 2) APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL OR Issuer OTHERWISE ISSUE THE COMPANY'S COMMON STOCK AT AN OFFERING PRICE PER SHARE TO INVESTORS THAT IS NOT LESS THAN 85% OF THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- PROSPECT CAPITAL 7-DEC-12 74348T-102 PSEC CORPORATION VOTE FOR / AGAINST PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR MANAGEMENT SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) ANDREW C. COOPER Issuer Echo Voted -- For For 1.2) M. GRIER ELIASEK Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF BDO USA, LLP TO SERVE AS THE Issuer COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING JUNE 30, 2013. Echo Voted -- For For 3) TO AUTHORIZE THE COMPANY, WITH APPROVAL OF ITS BOARD OF Issuer DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE OR PRICES BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- FULL CIRCLE CAPITAL 1-FEB-13 359671-104 FULL CORPORATION VOTE FOR / AGAINST PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR MANAGEMENT SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) JOHN E. STUART Issuer Echo Voted -- For For 2) Ratify the selection of Rothstein, Kass & Company, P.C. to Issuer serve as the independent registered public accounting firm. Echo Voted -- For For 3) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, WITH THE Issuer APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY STATEMENT COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- GOLUB CAPITAL BDC, INC. 5-FEB-13 38173M-102 GBDC VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) LAWRENCE E. GOLUB Issuer Echo Voted -- For For 1.2) WILLIAM M. WEBSTER IV Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF MCGLADREY LLP TO SERVE AS THE Issuer COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- PENNANTPARK FLOATING 5-FEB-13 70806A-106 PFLT RATE CAP VOTE MANAGEMENT PROPOSALS AT "SPECIAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) ADAM K. BERNSTEIN Issuer Echo Voted -- For For 1.2) JEFFREY FLUG Issuer Echo Voted -- For For 1.3) MARSHALL BROZOST Issuer Echo Voted -- For For 1.4) SAMUEL L. KATZ Issuer Echo Voted -- For For 1) TO RATIFY THE SELECTION OF KPMG LLP TO SERVE AS THE Issuer COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- MEDLEY CAPITAL CORP. 12-FEB-13 58503F-106 MCC VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) SETH TAUBE Issuer Echo Voted -- For For 1.2) ARTHUR S. AINSBERG Issuer Echo Voted -- For For 2) THE RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS Issuer THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MEDLEY CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. Echo Voted -- For For 3) TO APPROVE AUTHORIZATION OF MEDLEY CAPITAL CORPORATION, Issuer WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW MEDLEY CAPITAL CORPORATION'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- GLADSTONE CAPITAL 14-FEB-13 376535-100 GLAD CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) DAVID GLADSTONE Issuer Echo Voted -- For For 1.2) PAUL ADELGREN Issuer Echo Voted -- For For 1.3) JOHN OUTLAND Issuer Echo Voted -- For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE US, WITH THE APPROVAL OF Issuer OUR BOARD OF DIRECTORS, TO ISSUE AND SELL SHARES OF OUR COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- PENNANTPARK FLOATING 26-FEB-13 70806A-106 PFLT RATE CAP VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1) TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE Issuer FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL SHARES OF THE COMPANY'S COMMON STOCK, DURING THE NEXT 12 MONTHS, AT A PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LIMITATIONS DESCRIBED IN THE JOINT PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- PENNANTPARK INVESTMENT 26-FEB-13 708062-104 PNNT CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) ARTHUR H. PENN Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF KPMG LLP TO SERVE AS THE Issuer COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- PENNANTPARK INVESTMENT 26-FEB-13 708062-104 PNNT CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1) TO CONSIDER AND VOTE UPON A PROPOSAL TO AUTHORIZE Issuer FLEXIBILITY FOR THE COMPANY, WITH THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL SHARES OF THE COMPANY'S COMMON STOCK, DURING THE NEXT 12 MONTHS, AT A PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LIMITATIONS DESCRIBED IN THE JOINT PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- FIFTH STREET FINANCE 14-MAR-13 31678A-103 FSC CORP. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) RICHARD P. DUTKIEWICZ Issuer Echo Voted -- For For 1.2) FRANK C. MEYER Issuer Echo Voted -- For For 1.3) DOUGLAS F. RAY Issuer Echo Voted -- For For 2) TO RATIFY THE APPOINTMENT OF PRICEWATERHOUSECOOPERS LLP TO Issuer SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. Echo Voted -- For For 3) TO APPROVE AN AMENDMENT TO THE RESTATED CERTIFICATE OF Issuer INCORPORATION OF THE COMPANY TO INCREASE THE NUMBER OF AUTHORIZED SHARES OF COMMON STOCK. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- MVC CAPITAL, INC. 3-APR-13 553829-102 MVC VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) EMILIO DOMINIANNI Issuer Echo Voted -- For For 1.2) PHILLIP GOLDSTEIN Issuer Echo Voted -- For For 1.3) GERALD HELLERMAN Issuer Echo Voted -- For For 1.4) WARREN HOLTSBERG Issuer Echo Voted -- For For 1.5) ROBERT KNAPP Issuer Echo Voted -- For For 1.6) WILLIAM TAYLOR Issuer Echo Voted -- For For 1.7) MICHAEL TOKARZ Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE FUND'S Issuer INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- MEDLEY CAPITAL CORP. 4-APR-13 58503F-106 MCC VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) SETH TAUBE Issuer Echo Voted -- For For 1.2) ARTHUR S. AINSBERG Issuer Echo Voted -- For For 2) THE RATIFICATION OF APPOINTMENT OF ERNST & YOUNG LLP AS THE Issuer INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MEDLEY CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2013. Echo Voted -- For For 3) TO APPROVE AUTHORIZATION OF MEDLEY CAPITAL CORPORATION, Issuer WITH THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW MEDLEY CAPITAL CORPORATION'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- AMERICAN CAPITAL, LTD. 26-APR-13 02503Y-103 ACAS VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) MARY C. BASKIN Issuer Echo Voted -- For For 1.2) NEIL M. HAHL Issuer Echo Voted -- For For 1.3) PHILIP R. HARPER Issuer Echo Voted -- For For 1.4) JOHN A. KOSKINEN Issuer Echo Voted -- For For 1.5) STAN LUNDINE Issuer Echo Voted -- For For 1.6) KENNETH D. PETERSON Issuer Echo Voted -- For For 1.7) ALVIN N. PURYEAR Issuer Echo Voted -- For For 1.8) MALON WILKUS Issuer Echo Voted -- For For 2) RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP TO Issuer SERVE AS OUR INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING DECEMBER 31, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- SOLAR CAPITAL LTD. 30-APR-13 83413U-100 SLRC VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: For For 1.1) DAVID S. WACHTER Issuer For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE SOLAR CAPITAL LTD. TO Issuer SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW SOLAR CAPITAL LTD'.S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, IN EACH CASE SUBJECT TO THE APPROVAL OF ITS BOARD OF DIRECTORS AND COMPLIANCE WITH THE CONDITIONS SET FORTH IN THE PROXY STATEMENT PERTAINING THERETO. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- SOLAR SENIOR CAPITAL 30-APR-13 83416M-105 SUNS LTD. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: For For 1.1) BRUCE SPOHLER Issuer For For 1.2) STEVEN HOCHBERG Issuer For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE SOLAR SENIOR CAPITAL Issuer LTD. TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW SOLAR SENIOR CAPITAL LTD.'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, IN EACH CASE SUBJECT TO THE APPROVAL OF ITS BOARD OF DIRECTORS AND COMPLIANCE WITH THE CONDITIONS SET FORTH IN THE PROXY STATEMENT PERTAINING THERETO. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- TCP CAPITAL CORP. 1-MAY-13 87238Q-103 TCPC VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: For For 1.1) ERIC J. DRAUT Issuer For For 1.2) FRANKLIN R. JOHNSON Issuer For For 1.3) PETER E. SCHWAB Issuer For For 1.4) HOWARD M. LEVKOWITZ Issuer For For 1.5) RAJNEESH VIG Issuer For For 1.6) ERIC J. DRAUT - B Issuer For For 1.7) FRANKLIN R. JOHNSON - B Issuer For For 1.8) PETER E. SCHWAB - B Issuer For For 1.9) HOWARD M. LEVKOWITZ- B Issuer For For 1.10) RAJNEESH VIG - B Issuer For For 2) TO AUTHORIZE THE COMPANY, WITH APPROVAL OF ITS BOARD OF Issuer DIRECTORS, TO SELL SHARES OF COMPANY'S COMMON STOCK AT A PRICE OR PRICES BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN LIMITATIONS SET FORTH IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. For For 3) TO AUTHORIZE THE COMPANY, WITH APPROVAL OF ITS BOARD OF Issuer DIRECTORS, TO ISSUE WARRANTS, OPTIONS AND OTHER RIGHTS TO SUBSCRIBE FOR, CONVERT TO, OR PURCHASE SHARES OF THE COMPANY'S COMMON STOCK IN ONE OR MORE OFFERINGS. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- KCAP FINANCIAL, INC. 6-MAY-13 48668E-101 KCAP VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) C. TURNEY STEVENS Issuer Echo Voted -- For For 1.2) JOHN A. WARD III Issuer Echo Voted -- For For 1.3) DEAN C. KEHLER Issuer Echo Voted -- For For 2) TO APPROVE, IN A NON-BINDING VOTE, THE COMPENSATION PAID TO Issuer THE COMPANY'S NAMED EXECUTIVE OFFICERS. Echo Voted -- For For 3) TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS THE Issuer INDEPENDENT REGISTERED PUBLIC ACCOUNTANT OF THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- NEW MOUNTAIN FINANCE 6-MAY-13 647551-100 NMFC CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) ROBERT A. HAMWEE Issuer Echo Voted -- For For 1.2) ALFRED F. HURLEY, JR. Issuer COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- TRIANGLE CAPITAL 8-MAY-13 895848-109 TCAP CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1.1) Elect Garland Tucker, III (Chairman, CEO, & President) as Issuer director Echo Voted -- For For 1.2) Elect Brent Burgess as director Issuer Echo Voted -- For For 1.3) Elect Stephen Lilly as director Issuer Echo Voted -- For For 1.4) Elect W. McComb Dunwoody as director Issuer Echo Voted -- For For 1.5) Elect Mark Gambill as director Issuer Echo Voted -- For For 1.6) Elect Benjamin Goldstein as director Issuer Echo Voted -- For For 1.7) Elect Simon Rich, Jr. as director Issuer Echo Voted -- For For 1.8) Elect Sherwood Smith, Jr. as director Issuer Echo Voted -- For For 2) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, PURSUANT TO Issuer APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF ITS COMMON STOCK OR WARRANTS, OPTIONS OR RIGHTS TO ACQUIRE ITS COMMON STOCK DURING THE NEXT YEAR AT A PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE (I.E., BOOK VALUE) PER SHARE, SUBJECT TO CERTAIN CONDITIONS. Echo Voted -- For For 3) TO APPROVE A PROPOSAL TO AMEND THE AMOUNT OF THE ANNUAL Issuer GRANT OF SHARES OF OUR COMMON STOCK TO NON- EMPLOYEE DIRECTORS UNDER THE EQUITY INCENTIVE PLAN. Echo Voted -- For For 4) TO APPROVE THE BUSINESS CRITERIA FOR AWARDS PURSUANT TO Issuer SECTION 162(M) OF THE INTERNAL REVENUE CODE OF 1986. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- BLACKROCK KELSO CAPITAL 9-MAY-13 092533-108 BKCC CORPORATION VOTE MANAGEMENT PROPOSALS AT "SPECIAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1) TO AUTHORIZE FLEXIBILITY FOR THE COMPANY, WITH APPROVAL OF Issuer ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- BLACKROCK KELSO CAPITAL 9-MAY-13 092533-108 BKCC CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1.1) JAMES R. MAHER Issuer Echo Voted -- For For 1.2) MAUREEN K. USIFER Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF DELOITTE & TOUCHE LLP TO SERVE Issuer AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- CYS INVESTMENTS, INC. 10-MAY-13 12673A-108 CYS VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1.1) Elect Kevin Grant as director Issuer Echo Voted -- For For 1.2) Elect Tanya Beder as director Issuer Echo Voted -- For For 1.3) Elect Douglas Crocker, II as director Issuer Echo Voted -- For For 1.4) Elect Jeffrey Hughes as director Issuer Echo Voted -- For For 1.5) Elect Stephen Jonas as director Issuer Echo Voted -- For For 1.6) Elect R.A. Redlingshafer as director Issuer Echo Voted -- For For 1.7) Elect James Stern as director Issuer Echo Voted -- For For 1.8) Elect David Tyson, Ph.D as director Issuer Echo Voted -- For For 2) APPROVAL OF THE COMPANY'S 2013 EQUITY INCENTIVE PLAN Issuer Echo Voted -- For For 3) ADVISORY VOTE TO APPROVE THE COMPENSATION OF THE COMPANY'S Issuer NAMED EXECUTIVE OFFICERS Echo Voted -- For For 4) TO CONSIDER AND ACT UPON A PROPOSAL TO RATIFY, CONFIRM AND Issuer APPROVE THE SELECTION OF DELOITTE & TOUCHE LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013 COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- NGP CAPITAL RESOURCES 15-MAY-13 62912R-107 NGPC COMPANY VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER 1) Elect Directors: Echo Voted -- For For 1.1) KENNETH A. HERSH Issuer Echo Voted -- For For 1.2) WILLIAM K. WHITE Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE Issuer COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- HATTERAS FINANCIAL 21-MAY-13 41902R-103 HTS CORP. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1.1) Elect Michael Hough (Chairman & CEO) as director Issuer Echo Voted -- For For 1.2) Elect Benjamin Hough (President & COO) as director Issuer Echo Voted -- For For 1.3) Elect David Berson as director Issuer Echo Voted -- For For 1.4) Elect Ira Kawaller as director Issuer Echo Voted -- For For 1.5) Elect Jeffrey Miller as director Issuer Echo Voted -- For For 1.6) Elect Thomas Wren as director Issuer Echo Voted -- For For 2) Ratify the selection of Ernst & Young LLP as the Issuer independent registered public accounting firm. Echo Voted -- For For 3) TO APPROVE, BY NON-BINDING VOTE, EXECUTIVE COMPENSATION. Issuer Echo Voted -- Against Against 4) SHAREHOLDER PROPOSAL REGARDING MAJORITY VOTING IN DIRECTOR Shareholder ELECTIONS. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- ANNALY CAPITAL 23-MAY-13 035710-409 NLY MANAGEMENT, INC. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: Echo Voted -- For For 1) KEVIN P. BRADY Issuer Echo Voted -- For For 2) E. WAYNE NORDBERG Issuer Echo Voted -- For For 3) KEVIN G. KEYES Issuer Echo Voted -- For For 4) JOHN H. SCHAEFER Issuer Echo Voted -- For For 5) THE MANAGEMENT EXTERNALIZATION PROPOSAL TO APPROVE OUR Issuer ENTERING INTO A MANAGEMENT AGREEMENT WITH THE MANAGER. Echo Voted -- For For 6) THE PROPOSAL TO APPROVE A NON-BINDING ADVISORY RESOLUTION Issuer ON EXECUTIVE COMPENSATION. Echo Voted -- For For 7) RATIFICATION OF THE APPOINTMENT OF ERNST & YOUNG LLP AS Issuer INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE 2013 FISCAL YEAR. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- COMPASS DIVERSIFIED 29-MAY-13 20451Q-104 CODI HOLDINGS VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER For For 1.1) Elect HAROLD S. EDWARDS as director Issuer For For 1.2) Elect MARK H. LAZARUS as director Issuer For For 2) TO APPROVE, BY NON-BINDING VOTE, THE COMPENSATION OF OUR Issuer EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT. For For 4) TO RATIFY THE APPOINTMENT OF GRANT THORNTON LLP AS Issuer INDEPENDENT AUDITOR. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- HERCULES TECHNOLOGY 29-MAY-13 427096-508 HTGC GROWTH CAPITAL, INC. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: For For 1) MANUEL A. HENRIQUEZ Issuer For For 2) Ratify the selection of PwC (PricewaterhouseCoopers LLP) as Issuer the independent registered public accounting firm. For For 3) Approve, on an advisory basis, the compensation of named Issuer executive officers. For For 4) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, WITH THE Issuer APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE UP TO 20% OF THE COMPANY'S OUTSTANDING COMMON STOCK AT A NET PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE. For For 5) AUTHORIZE THE COMPANY, WITH THE APPROVAL OF THE BOARD, TO Issuer OFFER AND ISSUE DEBT WITH WARRANTS OR DEBT CONVERTIBLE INTO SHARES OF ITS COMMON STOCK AT AN EXERCISE OR CONVERSION PRICE THAT, AT THE TIME SUCH WARRANTS OR CONVERTIBLE DEBT ARE ISSUED, WILL NOT BE LESS THAN THE MARKET VALUE PER SHARE BUT MAY BE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- MCG CAPITAL CORPORATION 29-MAY-13 58047P-107 MCGC VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: For For 1) KIM D. KELLY Issuer For For 2) RICHARD W. NEU Issuer For For 3) THE RATIFICATION OF THE SELECTION BY THE AUDIT COMMITTEE OF Issuer OUR BOARD OF DIRECTORS OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013. For For 4) ADVISORY VOTE TO APPROVE THE COMPENSATION OF OUR NAMED Issuer EXECUTIVE OFFICERS. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- ARES CAPITAL 4-JUN-13 04010L-103 ARCC CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1) ELECTION OF CLASS III DIRECTOR FOR A TERM OF THREE YEARS Issuer EXPIRING IN 2016: FRANK E. O'BRYAN Echo Voted -- For For 2) ELECTION OF CLASS III DIRECTOR FOR A TERM OF THREE YEARS Issuer EXPIRING IN 2016: ANTONY P. RESSLER Echo Voted -- For For 3) ELECTION OF CLASS III DIRECTOR FOR A TERM OF THREE YEARS Issuer EXPIRING IN 2016: ERIC B. SIEGEL Echo Voted -- For For 4) TO RATIFY THE SELECTION OF KPMG LLP AS THE COMPANY'S Issuer INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013. Echo Voted -- For For 5) TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF ITS BOARD Issuer OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE 2013 ANNUAL MEETING OF STOCKHOLDERS (INCLUDING, WITHOUT LIMITATION, THAT THE NUMBER OF SHARES ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN OUTSTANDING COMMON STOCK). COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- OFC CAPITAL CORPORATION 4-JUN-13 67103B-100 OFS VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: Echo Voted -- For For 1) ELAINE E. HEALY Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF MCGLADREY LLP AS THE COMPANY'S Issuer INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- FIDUS INVESTMENT CORP. 5-JUN-13 316500-107 FDUS VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: Echo Voted -- For For 1) JOHN A. MAZZARINO Issuer Echo Voted -- For For 2) THOMAS C. LAUER Issuer Echo Voted -- For For 3) TO APPROVE A PROPOSAL TO AUTHORIZE THE COMPANY, PURSUANT Issuer TO APPROVAL OF THE BOARD OF DIRECTORS OF THE COMPANY, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK DURING THE NEXT YEAR AT A PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY STATEMENT, ALL AS MORE FULLY DESCRIBED IN THE PROXY STATEMENT. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- THL CREDIT, INC. 10-JUN-13 872438-106 TCRD VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: Echo Voted -- For For 1) DAVID K. DOWNES Issuer Echo Voted -- For For 2) NANCY HAWTHORNE Issuer Echo Voted -- For For 3) KEITH W. HUGHES Issuer Echo Voted -- For For 4) JAMES K. HUNT Issuer Echo Voted -- For For 5) JOHN A. SOMMERS Issuer Echo Voted -- For For 6) DAVID P. SOUTHWELL Issuer Echo Voted -- For For 2) APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO SELL OR Issuer OTHERWISE ISSUE UP TO 25% OF THE COMPANY'S OUTSTANDING COMMON STOCK AT A PRICE BELOW THE COMPANY'S THEN CURRENT NAV. Echo Voted -- For For 3) APPROVAL OF A PROPOSAL TO AUTHORIZE THE COMPANY TO OFFER Issuer AND ISSUE DEBT WITH WARRANTS OR DEBT CONVERTIBLE INTO SHARES OF ITS COMMON STOCK AT AN EXERCISE OR CONVERSION PRICE THAT, AT THE TIME SUCH WARRANTS OR CONVERTIBLE DEBT ARE ISSUED, WILL NOT BE LESS THAN THE MARKET VALUE PER SHARES BUT MAY BE BELOW THE COMPANY'S THEN CURRENT NAV. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- MAIN STREET CAPITAL 15-JUN-11 56035L-104 MAIN CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1.1) Elect Michael Appling Jr. as director Issuer Echo Voted -- For For 1.2) Elect Joseph Canon as director Issuer Echo Voted -- For For 1.3) Elect Arthur French as director Issuer Echo Voted -- For For 1.4) Elect J. Kevin Griffin as director Issuer Echo Voted -- For For 1.5) Elect Vincent Foster (Chairman & CEO) as director Issuer Echo Voted -- For For 1.6) Elect Todd Reppert (President & CFO) as director Issuer Echo Voted -- For For 2) PROPOSAL TO RATIFY THE APPOINTMENT OF GRANT THORNTON, LLP Issuer AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED DECEMBER 31, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- HORIZON TECHNOLOGY 14-JUN-13 44045A-102 HRZN FINANCE CORPORATION VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: Echo Voted -- For For 1.1) CHRISTOPHER B. WOODWARD Issuer Echo Voted -- For For 1.2) ROBERT D. POMEROY, JR. Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF MCGLADREY LLP TO SERVE AS Issuer HORIZON TECHNOLOGY FINANCE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2013. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- MEDALLION FINANCIAL 14-JUN-13 583928-106 TAXI CORP. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: Echo Voted -- For For 1.1) MARIO M. CUOMO Issuer Echo Voted -- For For 1.2) ANDREW M. MURSTEIN Issuer Echo Voted -- For For 1.3) LOWELL P. WEICKER, JR. Issuer Echo Voted -- For For 2) PROPOSAL TO RATIFY THE APPOINTMENT OF WEISERMAZARS LLP AS Issuer MEDALLION FINANCIAL CORP.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM Echo Voted -- For For 3) PROPOSAL TO APPROVE A NON-BINDING ADVISORY RESOLUTION TO Issuer APPROVE EXECUTIVE COMPENSATION COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- ARES COMMERCIAL REAL 26-JUN-13 04013V-108 ACRE ESTATE CORP. VOTE MANAGEMENT PROPOSALS AT "ANNUAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Elect Directors: Echo Voted -- For For 1.1) JOHN B. BARTLING, JR. Issuer Echo Voted -- For For 1.2) JEFFREY T. HINSON Issuer Echo Voted -- For For 1.3) TODD S. SCHUSTER Issuer Echo Voted -- For For 2) TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE Issuer COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2013. Echo Voted -- For For 3) TO APPROVE THE ISSUANCE OF THE COMPANY'S COMMON STOCK UPON Issuer CONVERSION OF THE COMPANY'S 7.000% CONVERTIBLE SENIOR NOTES DUE 2015 IF THE PAYMENT METHOD SELECTED BY THE COMPANY REQUIRES THE ISSUANCE OF SHARES IN EXCESS OF THE NEW YORK STOCK EXCHANGE LIMITS FOR SHARE ISSUANCES WITHOUT STOCKHOLDER APPROVAL. Echo Voted -- For For 4) TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, THE Issuer COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS AS DESCRIBED IN THE ACCOMPANYING PROXY STATEMENT. Echo Voted -- 1 year None 5) TO APPROVE, ON A NON-BINDING, ADVISORY BASIS, THE FREQUENCY Issuer WITH WHICH FUTURE STOCKHOLDER ADVISORY VOTES ON THE COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS WILL BE HELD. COMPANY NAME MEETING DATE CUSIP TICKER ------------------------------ -------------- -------------------------------------------------------------- ---------------------- HORIZON TECHNOLOGY 28-JUN-13 44045A-102 HRZN FINANCE CORPORATION VOTE MANAGEMENT PROPOSALS AT "SPECIAL MEETING OF SHAREHOLDERS" PROPOSED BY ISSUER OR FOR / AGAINST SECURITY HOLDER Echo Voted -- For For 1) TO AUTHORIZE THE COMPANY, WITH THE APPROVAL OF ITS BOARD Issuer OF DIRECTORS, IN ONE OR MORE OFFERINGS, TO SELL SHARES OF ITS COMMON STOCK, DURING THE NEXT 12 MONTHS, AT A PRICE OR PRICES BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN CONDITIONS AS SET FORTH IN THE PROXY STATEMENT.

SIGNATURES [See General Instruction F] 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) FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND --------------------------------------- By (Signature and Title)* /s/ Mark R. Bradley ----------------------------------- Mark R. Bradley, President Date July 22, 2013 ------------------------- * Print the name and title of each signing officer under his or her signature.