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, 2016 - June 30, 2017 ---------------------------- 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 VOTE SUMMARY

------------------------------------------------------------------------------------------- HERCULES CAPITAL INC ------------------------------------------------------------------------------------------- SECURITY 427096508 MEETING TYPE Annual TICKER SYMBOL HTGC MEETING DATE 07-Jul-2016 ISIN US4270965084 AGENDA 934423079 - Management RECORD DATE 15-Apr-2016 HOLDING RECON DATE 15-Apr-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 06-Jul-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: MANUEL A. Management Split For Split HENRIQUEZ 1B. ELECTION OF DIRECTOR: JOSEPH F. Management Split For Split HOFFMAN 2. APPROVE, ON AN ADVISORY BASIS, Management Split For Split THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION. 3. RATIFICATION OF Management Split For Split PRICEWATERHOUSECOOPERS LLP TO SERVE AS OUR INDEPENDENT PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 29,198 0 06-Jul-2016 08-Jul-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- HERCULES CAPITAL INC ------------------------------------------------------------------------------------------- SECURITY 427096508 MEETING TYPE Annual TICKER SYMBOL HTGC MEETING DATE 07-Jul-2016 ISIN US4270965084 AGENDA 934423079 - Management RECORD DATE 15-Apr-2016 HOLDING RECON DATE 15-Apr-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 06-Jul-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: MANUEL A. Management Split For Split HENRIQUEZ 1B. ELECTION OF DIRECTOR: JOSEPH F. Management Split For Split HOFFMAN 2. APPROVE, ON AN ADVISORY BASIS, Management Split For Split THE COMPANY'S NAMED EXECUTIVE OFFICER COMPENSATION. 3. RATIFICATION OF Management Split For Split PRICEWATERHOUSECOOPERS LLP TO SERVE AS OUR INDEPENDENT PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2016. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 450,000 0 06-Jul-2016 08-Jul-2016 ------------------------------------------------------------------------------------------- FS INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 302635107 MEETING TYPE Annual TICKER SYMBOL FSIC MEETING DATE 13-Jul-2016 ISIN US3026351078 AGENDA 934414119 - Management RECORD DATE 20-Apr-2016 HOLDING RECON DATE 20-Apr-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 12-Jul-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 GREGORY P. CHANDLER Split For Split 2 MICHAEL C. FORMAN Split For Split 3 BARRY H. FRANK Split For Split 4 MICHAEL J. HELLER Split For Split 2. TO AUTHORIZE FLEXIBILITY FOR THE Management Split For Split COMPANY, WITH THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO OFFER AND SELL SHARES DURING THE 12 MONTHS FOLLOWING STOCKHOLDER APPROVAL, AT A PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LIMITATIONS DESCRIBED IN THE PROXY STATEMENT. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 195,000 0 21-Jun-2016 14-Jul-2016 ------------------------------------------------------------------------------------------- APOLLO INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 03761U106 MEETING TYPE Annual TICKER SYMBOL AINV MEETING DATE 04-Aug-2016 ISIN US03761U1060 AGENDA 934452789 - Management RECORD DATE 10-Jun-2016 HOLDING RECON DATE 10-Jun-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 03-Aug-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 ELLIOT STEIN, JR. For For For 2 BRADLEY J. WECHSLER For For For 3 JAMES C. ZELTER For For For 2. TO CONSIDER AND VOTE UPON Management For For For RATIFYING THE SELECTION OF PRICEWATERHOUSECOOPERS LLP TO SERVE AS APOLLO INVESTMENT CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING MARCH 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 414,045 0 25-Jun-2016 05-Aug-2016 000736386 FT SPEC FIN & 000736386 BNY MELLON 137,057 0 25-Jun-2016 05-Aug-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- APOLLO INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 03761U106 MEETING TYPE Special TICKER SYMBOL AINV MEETING DATE 04-Aug-2016 ISIN US03761U1060 AGENDA 934453197 - Management RECORD DATE 10-Jun-2016 HOLDING RECON DATE 10-Jun-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 03-Aug-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE FLEXIBILITY FOR THE COMPANY, WITH 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 IN THE ACCOMPANYING PROXY STATEMENT (INCLUDING THAT THE CUMULATIVE NUMBER OF SHARES SOLD PURSUANT TO SUCH AUTHORITY DOES NOT EXCEED 25% OF ITS THEN OUTSTANDING COMMON STOCK IMMEDIATELY PRIOR TO EACH SUCH SALE). ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 414,045 0 21-Jun-2016 05-Aug-2016 000736386 FT SPEC FIN & 000736386 BNY MELLON 137,057 0 21-Jun-2016 05-Aug-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- GLADSTONE INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 376546107 MEETING TYPE Annual TICKER SYMBOL GAIN MEETING DATE 04-Aug-2016 ISIN US3765461070 AGENDA 934452777 - Management RECORD DATE 06-Jun-2016 HOLDING RECON DATE 06-Jun-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 03-Aug-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 PAUL W. ADELGREN For For For 2 DAVID GLADSTONE For For For 3 JOHN H. OUTLAND For For For 2. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE US, WITH THE APPROVAL OF OUR BOARD OF DIRECTORS (THE "BOARD"), TO ISSUE AND SELL SHARES OF OUR COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE, SUBJECT TO CERTAIN LIMITATIONS SET FORTH IN THE ACCOMPANY PROXY STATEMENT. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 142,533 0 21-Jun-2016 05-Aug-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- GOLDMAN SACHS BDC, INC. ------------------------------------------------------------------------------------------- SECURITY 38147U107 MEETING TYPE Annual TICKER SYMBOL GSBD MEETING DATE 29-Sep-2016 ISIN US38147U1079 AGENDA 934387362 - Management RECORD DATE 04-Apr-2016 HOLDING RECON DATE 04-Apr-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 28-Sep-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF CLASS II DIRECTOR: Management Split For Split JAIME ARDILA 1B. ELECTION OF CLASS II DIRECTOR: Management Split For Split RICHARD P. STRUBEL 1C. ELECTION OF CLASS II DIRECTOR: Management Split For Split KATHERINE ("KAYSIE") UNIACKE 2. TO AUTHORIZE THE COMPANY, WITH Management Split For Split THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF THE COMPANY'S COMMON STOCK (DURING THE 12 MONTHS FOLLOWING SUCH AUTHORIZATION) AT A PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE, PROVIDED THAT THE NUMBER OF SHARES ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN-OUTSTANDING COMMON STOCK. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 33,000 0 02-May-2016 30-Sep-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- GOLDMAN SACHS BDC, INC. ------------------------------------------------------------------------------------------- SECURITY 38147U107 MEETING TYPE Annual TICKER SYMBOL GSBD MEETING DATE 29-Sep-2016 ISIN US38147U1079 AGENDA 934387362 - Management RECORD DATE 04-Apr-2016 HOLDING RECON DATE 04-Apr-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 28-Sep-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF CLASS II DIRECTOR: Management Split For Split JAIME ARDILA 1B. ELECTION OF CLASS II DIRECTOR: Management Split For Split RICHARD P. STRUBEL 1C. ELECTION OF CLASS II DIRECTOR: Management Split For Split KATHERINE ("KAYSIE") UNIACKE 2. TO AUTHORIZE THE COMPANY, WITH Management Split For Split THE APPROVAL OF THE COMPANY'S BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF THE COMPANY'S COMMON STOCK (DURING THE 12 MONTHS FOLLOWING SUCH AUTHORIZATION) AT A PRICE BELOW THE THEN-CURRENT NET ASSET VALUE PER SHARE, PROVIDED THAT THE NUMBER OF SHARES ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN-OUTSTANDING COMMON STOCK. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 22,255 0 02-May-2016 30-Sep-2016 ------------------------------------------------------------------------------------------- COMPASS DIVERSIFIED HOLDINGS ------------------------------------------------------------------------------------------- SECURITY 20451Q104 MEETING TYPE Special TICKER SYMBOL CODI MEETING DATE 30-Nov-2016 ISIN US20451Q1040 AGENDA 934493228 - Management RECORD DATE 13-Oct-2016 HOLDING RECON DATE 13-Oct-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 29-Nov-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. TO APPROVE AMENDMENTS TO THE Management For For For AMENDED AND RESTATED TRUST AGREEMENT, AS AMENDED TO DATE (THE "TRUST AGREEMENT"), OF COMPASS DIVERSIFIED HOLDINGS TO AUTHORIZE THE BOARD OF DIRECTORS OF COMPASS GROUP DIVERSIFIED HOLDINGS LLC (THE "COMPANY") TO CREATE CLASSES OR SERIES OF, AND TO ISSUE UP ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). 2. TO APPROVE AMENDMENTS TO THE Management For For For FOURTH AMENDED AND RESTATED OPERATING AGREEMENT (THE "LLC AGREEMENT") OF THE COMPANY TO AUTHORIZE THE BOARD OF DIRECTORS OF THE COMPANY TO CREATE CLASSES OR SERIES OF, AND TO ISSUE UP TO 50,000,000, TRUST PREFERRED INTERESTS IN THE COMPANY WITH SUCH TERMS AS MAY BE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). 3. TO ADJOURN THE SPECIAL MEETING, Management For For For IF NECESSARY OR APPROPRIATE, TO ESTABLISH A QUORUM OR TO PERMIT FURTHER SOLICITATION OF PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE SPECIAL MEETING CAST IN FAVOR OF PROPOSAL 1 OR PROPOSAL 2. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 88,200 0 21-Oct-2016 01-Dec-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- AMERICAN CAPITAL, LTD. ------------------------------------------------------------------------------------------- SECURITY 02503Y103 MEETING TYPE Annual TICKER SYMBOL ACAS MEETING DATE 15-Dec-2016 ISIN US02503Y1038 AGENDA 934495246 - Management RECORD DATE 17-Oct-2016 HOLDING RECON DATE 17-Oct-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 14-Dec-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. ADOPTION OF THE MERGER Management For For For AGREEMENT. 2. APPROVAL, ON AN ADVISORY, NON- Management For For For BINDING BASIS, OF THE PAYMENT OF CERTAIN COMPENSATION THAT WILL OR MAY BECOME PAYABLE TO AMERICAN CAPITAL'S NAMED EXECUTIVE OFFICERS PURSUANT TO THEIR EMPLOYMENT AND OTHER ARRANGEMENTS WITH AMERICAN CAPITAL AND THE MERGER AGREEMENT, IN CONNECTION WITH THE COMPLETION OF THE MERGERS AND OTHER TRANSACTIONS AS CONTEMPLATED THEREIN. 3. APPROVAL OF ANY ADJOURNMENTS Management For For For OF THE AMERICAN CAPITAL ANNUAL MEETING FOR THE PURPOSE OF SOLICITING ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE MEETING TO ADOPT THE MERGER AGREEMENT. 4A. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: MARY C. BASKIN 4B. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: NEIL M. HAHL 4C. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: PHILIP R. HARPER 4D. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: STAN LUNDINE 4E. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: KRISTEN L. MANOS 4F. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: SUSAN K. NESTEGARD 4G. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: KENNETH D. PETERSON, JR. 4H. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: ALVIN N. PURYEAR 4I. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: MALON WILKUS 4J. ELECTION OF DIRECTOR TO SERVE Management For For For UNTIL THE EARLIER OF THE EXPIRATION OF A ONE-YEAR TERM AND THE COMPLETION OF THE TRANSACTIONS: DAVID G. RICHARDS 5. RATIFICATION OF THE APPOINTMENT Management For For For OF ERNST & YOUNG LLP TO SERVE AS AMERICAN CAPITAL'S INDEPENDENT PUBLIC ACCOUNTANT FOR THE YEAR ENDING DECEMBER 31, 2016. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 204,200 0 27-Oct-2016 16-Dec-2016 ------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 04010L103 MEETING TYPE Special TICKER SYMBOL ARCC MEETING DATE 15-Dec-2016 ISIN US04010L1035 AGENDA 934494864 - Management RECORD DATE 17-Oct-2016 HOLDING RECON DATE 17-Oct-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 14-Dec-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. TO APPROVE THE ISSUANCE OF THE Management For For For SHARES OF ARES CAPITAL COMMON STOCK TO BE ISSUED PURSUANT TO THE AGREEMENT AND PLAN OF MERGER, AS SUCH AGREEMENT MAY BE AMENDED FROM TIME TO TIME, DATED AS OF MAY 23, 2016 (THE "MERGER AGREEMENT"), BY AND AMONG ARES CAPITAL, AMERICAN CAPITAL, LTD., ORION ACQUISITION SUB, INC., IVY HILL ASSET MANAGEMENT, L.P. ("IHAM"), IVY HILL ASSET MANAGEMENT GP, LLC, IN ITS CAPACITY AS GENERAL PARTNER OF IHAM, AMERICAN CAPITAL ASSET MANAGEMENT, LLC, AND SOLELY FOR THE ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). 2. TO APPROVE THE ISSUANCE OF THE Management For For For SHARES OF ARES CAPITAL COMMON STOCK TO BE ISSUED PURSUANT TO THE MERGER AGREEMENT IN ACCORDANCE WITH NASDAQ LISTING RULE REQUIREMENTS. 3. TO APPROVE THE ADJOURNMENT OF Management For For For THE ARES CAPITAL SPECIAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES IF THERE ARE NOT SUFFICIENT VOTES AT THE TIME OF THE ARES CAPITAL SPECIAL MEETING TO APPROVE PROPOSAL 1 OR PROPOSAL 2. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 500,000 0 26-Oct-2016 16-Dec-2016 000736386 FT SPEC FIN & 000736386 BNY MELLON 347,412 0 26-Oct-2016 16-Dec-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- CM FINANCE INC. ------------------------------------------------------------------------------------------- SECURITY 12574Q103 MEETING TYPE Annual TICKER SYMBOL CMFN MEETING DATE 15-Dec-2016 ISIN US12574Q1031 AGENDA 934482718 - Management RECORD DATE 08-Sep-2016 HOLDING RECON DATE 08-Sep-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 14-Dec-2016 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1 DIRECTOR Management 1 MICHAEL C. MAUER For For For 2 ROBERT RYDER For For For 2 TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE THE COMPANY, WITH THE APPROVAL OF THE BOARD, TO SELL OR OTHERWISE ISSUE UP TO 25% OF THE COMPANY'S OUTSTANDING COMMON STOCK AT AN OFFERING PRICE THAT IS BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 80,000 0 21-Sep-2016 16-Dec-2016 000736386 FT SPEC FIN & 000736386 BNY MELLON 23,945 0 21-Sep-2016 16-Dec-2016 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- GOLUB CAPITAL BDC, INC. ------------------------------------------------------------------------------------------- SECURITY 38173M102 MEETING TYPE Annual TICKER SYMBOL GBDC MEETING DATE 07-Feb-2017 ISIN US38173M1027 AGENDA 934516557 - Management RECORD DATE 12-Dec-2016 HOLDING RECON DATE 12-Dec-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 06-Feb-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1.1 ELECTION OF CLASS I DIRECTOR: Management For For For DAVID B. GOLUB 1.2 ELECTION OF CLASS I DIRECTOR: Management For For For ANITA R. ROSENBERG 2. TO RATIFY THE SELECTION OF ERNST Management For For For & YOUNG LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 400,000 0 22-Dec-2016 08-Feb-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 114,730 0 22-Dec-2016 08-Feb-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- PENNANTPARK FLOATING RATE CAPITAL LTD. ------------------------------------------------------------------------------------------- SECURITY 70806A106 MEETING TYPE Annual TICKER SYMBOL PFLT MEETING DATE 07-Feb-2017 ISIN US70806A1060 AGENDA 934514969 - Management RECORD DATE 30-Nov-2016 HOLDING RECON DATE 30-Nov-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 06-Feb-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 ARTHUR H. PENN For For For 2. TO RATIFY THE SELECTION OF RSM US Management For For For LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 82,645 0 15-Dec-2016 08-Feb-2017 ------------------------------------------------------------------------------------------- MEDLEY CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 58503F106 MEETING TYPE Annual TICKER SYMBOL MCC MEETING DATE 14-Feb-2017 ISIN US58503F1066 AGENDA 934518955 - Management RECORD DATE 20-Dec-2016 HOLDING RECON DATE 20-Dec-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 13-Feb-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 MR. BROOK TAUBE For For For 2 MS. KARIN H.GARVEY For For For 3 MR. JOHN E. MACK For For For 2. TO RATIFY THE APPOINTMENT OF Management For For For ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR MEDLEY CAPITAL CORPORATION FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 556,714 0 31-Dec-2016 15-Feb-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 30,000 0 31-Dec-2016 15-Feb-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- PENNANTPARK INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 708062104 MEETING TYPE Annual TICKER SYMBOL PNNT MEETING DATE 28-Feb-2017 ISIN US7080621045 AGENDA 934514971 - Management RECORD DATE 30-Nov-2016 HOLDING RECON DATE 30-Nov-2016 CITY / COUNTRY / United VOTE DEADLINE DATE 27-Feb-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 MR. MARSHALL BROZOST For For For 2 MR. SAMUEL L. KATZ For For For 2. TO RATIFY THE SELECTION OF RSM US Management For For For LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 519,501 0 15-Dec-2016 01-Mar-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 225,580 0 15-Dec-2016 01-Mar-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- NEW MOUNTAIN FINANCE CORPORATION ------------------------------------------------------------------------------------------- SECURITY 647551100 MEETING TYPE Annual TICKER SYMBOL NMFC MEETING DATE 26-Apr-2017 ISIN US6475511001 AGENDA 934544152 - Management RECORD DATE 01-Mar-2017 HOLDING RECON DATE 01-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 STEVEN B. KLINSKY For For For 2 KURT J. WOLFGRUBER For For For 3 ROME G. ARNOLD III For For For 2. TO RATIFY THE APPOINTMENT OF Management For For For DELOITTE & TOUCHE LLP TO SERVE AS NEW MOUNTAIN FINANCE CORPORATION'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017 ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 565,164 0 17-Mar-2017 27-Apr-2017 ------------------------------------------------------------------------------------------- TRIPLEPOINT VENTURE GROWTH BDC CORP. ------------------------------------------------------------------------------------------- SECURITY 89677Y100 MEETING TYPE Annual TICKER SYMBOL TPVG MEETING DATE 27-Apr-2017 ISIN US89677Y1001 AGENDA 934567845 - Management RECORD DATE 20-Mar-2017 HOLDING RECON DATE 20-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 26-Apr-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 JAMES P. LABE For For For 2. TO RATIFY THE SELECTION OF Management For For For DELOITTE & TOUCHE LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 349,856 0 31-Mar-2017 28-Apr-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 123,989 0 31-Mar-2017 28-Apr-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- MAIN STREET CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 56035L104 MEETING TYPE Annual TICKER SYMBOL MAIN MEETING DATE 01-May-2017 ISIN US56035L1044 AGENDA 934540142 - Management RECORD DATE 03-Mar-2017 HOLDING RECON DATE 03-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 28-Apr-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: MICHAEL Management For For For APPLING, JR. 1B. ELECTION OF DIRECTOR: JOSEPH E. Management For For For CANON 1C. ELECTION OF DIRECTOR: ARTHUR L. Management For For For FRENCH 1D. ELECTION OF DIRECTOR: J. KEVIN Management For For For GRIFFIN 1E. ELECTION OF DIRECTOR: JOHN E. Management For For For JACKSON 1F. ELECTION OF DIRECTOR: BRIAN E. Management For For For LANE 1G. ELECTION OF DIRECTOR: STEPHEN B. Management For For For SOLCHER 1H. ELECTION OF DIRECTOR: VINCENT D. Management For For For FOSTER 2. PROPOSAL TO RATIFY THE Management For For For APPOINTMENT OF GRANT THORNTON, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDED DECEMBER 31, 2017. 3. ADVISORY NON-BINDING APPROVAL OF Management For For For EXECUTIVE COMPENSATION. 4. ADVISORY NON-BINDING APPROVAL OF Management 1 Year 3 Years Against FREQUENCY OF FUTURE ADVISORY VOTES ON EXECUTIVE COMPENSATION. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 39,044 0 23-Mar-2017 02-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 10,063 0 23-Mar-2017 02-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- TRIANGLE CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 895848109 MEETING TYPE Annual TICKER SYMBOL TCAP MEETING DATE 03-May-2017 ISIN US8958481090 AGENDA 934544633 - Management RECORD DATE 23-Feb-2017 HOLDING RECON DATE 23-Feb-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: E. ASHTON Management For For For POOLE 1B. ELECTION OF DIRECTOR: STEVEN C. Management For For For LILLY 1C. ELECTION OF DIRECTOR: GARLAND S. Management For For For TUCKER, III 1D. ELECTION OF DIRECTOR: W. MCCOMB Management For For For DUNWOODY 1E. ELECTION OF DIRECTOR: MARK M. Management For For For GAMBILL 1F. ELECTION OF DIRECTOR: BENJAMIN S. Management For For For GOLDSTEIN 1G. ELECTION OF DIRECTOR: MARK F. Management For For For MULHERN 1H. ELECTION OF DIRECTOR: SIMON B. Management For For For RICH, JR. 2. PROPOSAL TO AUTHORIZE THE Management For For For COMPANY TO SELL CERTAIN SECURITIES AT A PRICE LESS THAN NET ASSET VALUE (SEE PROXY STATEMENT FOR FULL PROPOSAL). 3. ADVISORY VOTE TO APPROVE THE Management For For For COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS. 4. ADVISORY VOTE TO DETERMINE Management 1 Year 3 Years Against WHETHER A STOCKHOLDER VOTE TO APPROVE THE COMPENSATION OF OUR NAMED EXECUTIVE OFFICERS SHOULD OCCUR EVERY ONE, TWO OR THREE YEARS. 5. TO APPROVE THE COMPANY'S Management For For For OMNIBUS INCENTIVE PLAN. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 295,548 0 15-Mar-2017 04-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 21,046 0 15-Mar-2017 04-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- CAPITALA FINANCE CORP ------------------------------------------------------------------------------------------- SECURITY 14054R106 MEETING TYPE Annual TICKER SYMBOL CPTA MEETING DATE 04-May-2017 ISIN US14054R1068 AGENDA 934545433 - Management RECORD DATE 02-Mar-2017 HOLDING RECON DATE 02-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 03-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 R. CHARLES MOYER For For For 2. THE RATIFICATION OF THE SELECTION Management For For For OF ERNST & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR CAPITALA FINANCE CORP. FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. 3. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE CAPITALA FINANCE CORP. TO SELL SHARES OF ITS COMMON STOCK AT A PRICE OR PRICES BELOW CAPITALA FINANCE CORP.'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 ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 80,117 0 16-Mar-2017 05-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- KCAP FINANCIAL, INC. ------------------------------------------------------------------------------------------- SECURITY 48668E101 MEETING TYPE Annual TICKER SYMBOL KCAP MEETING DATE 04-May-2017 ISIN US48668E1010 AGENDA 934549734 - Management RECORD DATE 09-Mar-2017 HOLDING RECON DATE 09-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 03-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 ALBERT G. PASTINO For For For 2 C. MICHAEL JACOBI For For For 2. TO APPROVE THE 2017 EQUITY Management For For For INCENTIVE PLAN. 3. TO APPROVE THE 2017 NON- Management For For For EMPLOYEE DIRECTOR PLAN. 4. TO APPROVE, IN A NON-BINDING VOTE, Management For For For THE COMPENSATION PAID TO THE COMPANY'S NAMED EXECUTIVE OFFICERS. 5. TO RECOMMEND, BY NON-BINDING Management 1 Year 1 Year For VOTE, THE FREQUENCY OF EXECUTIVE COMPENSATION VOTES. 6. TO RATIFY THE SELECTION OF ERNST Management For For For & YOUNG LLP AS THE INDEPENDENT REGISTERED PUBLIC ACCOUNTANT OF THE COMPANY FOR THE YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 340,472 0 25-Mar-2017 05-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- BLACKROCK CAPITAL INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 092533108 MEETING TYPE Annual TICKER SYMBOL BKCC MEETING DATE 05-May-2017 ISIN US0925331086 AGENDA 934556830 - Management RECORD DATE 06-Mar-2017 HOLDING RECON DATE 06-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 04-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 JOHN R. BARON For For For 2 JERROLD B. HARRIS For For For 2. TO RATIFY THE SELECTION OF Management For For For DELOITTE & TOUCHE LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 103,900 0 25-Mar-2017 08-May-2017 ------------------------------------------------------------------------------------------- BLACKROCK CAPITAL INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 092533108 MEETING TYPE Special TICKER SYMBOL BKCC MEETING DATE 05-May-2017 ISIN US0925331086 AGENDA 934560536 - Management RECORD DATE 06-Mar-2017 HOLDING RECON DATE 06-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 04-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE FLEXIBILITY FOR THE COMPANY, WITH APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK (DURING THE NEXT 12 MONTHS) AT A PRICE BELOW THE COMPANY'S THEN CURRENT NET ASSET VALUE PER SHARE IN ONE OR MORE OFFERINGS, SUBJECT TO CERTAIN LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE SPECIAL MEETING. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 103,900 0 28-Mar-2017 08-May-2017 ------------------------------------------------------------------------------------------- CYS INVESTMENTS, INC ------------------------------------------------------------------------------------------- SECURITY 12673A108 MEETING TYPE Annual TICKER SYMBOL CYS MEETING DATE 12-May-2017 ISIN US12673A1088 AGENDA 934564370 - Management RECORD DATE 15-Mar-2017 HOLDING RECON DATE 15-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 11-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1 DIRECTOR Management 1 KEVIN E. GRANT For For For 2 TANYA S. BEDER For For For 3 KAREN HAMMOND For For For 4 STEPHEN P. JONAS For For For 5 R.A. REDLINGSHAFER, JR. For For For 6 DALE A. REISS For For For 7 JAMES A. STERN For For For 8 DAVID A. TYSON, PHD For For For 2 ADVISORY VOTE TO APPROVE THE Management For For For COMPENSATION OF THE COMPANY'S NAMED EXECUTIVE OFFICERS 3 TO CONSIDER AND ACT UPON A Management For For For PROPOSAL TO RATIFY, CONFIRM AND APPROVE THE SELECTION OF DELOITTE & TOUCHE LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017 ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 696,880 0 01-Apr-2017 15-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 75,000 0 01-Apr-2017 15-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- CAPSTEAD MORTGAGE CORPORATION ------------------------------------------------------------------------------------------- SECURITY 14067E506 MEETING TYPE Annual TICKER SYMBOL CMO MEETING DATE 17-May-2017 ISIN US14067E5069 AGENDA 934574078 - Management RECORD DATE 24-Mar-2017 HOLDING RECON DATE 24-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A ELECTION OF DIRECTOR: JOHN L. Management For For For (JACK) BERNARD 1B ELECTION OF DIRECTOR: JACK Management For For For BIEGLER 1C ELECTION OF DIRECTOR: MICHELLE P. Management For For For GOOLSBY 1D ELECTION OF DIRECTOR: GARY KEISER Management For For For 1E ELECTION OF DIRECTOR: Management For For For CHRISTOPHER W. MAHOWALD 1F ELECTION OF DIRECTOR: MICHAEL G. Management For For For O'NEIL 1G ELECTION OF DIRECTOR: PHILLIP A. Management For For For REINSCH 1H ELECTION OF DIRECTOR: MARK S. Management For For For WHITING 02 TO APPROVE ON AN ADVISORY (NON- Management For For For BINDING) BASIS OUR 2016 EXECUTIVE COMPENSATION. 03 TO HOLD AN ADVISORY (NON-BINDING) Management 1 Year 1 Year For VOTE ON THE FREQUENCY OF STOCKHOLDER VOTES ON OUR EXECUTIVE COMPENSATION. 04 TO RATIFY THE APPOINMENT OF Management For For For ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 69,500 0 27-Apr-2017 18-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 39,000 0 27-Apr-2017 18-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- SOLAR CAPITAL LTD ------------------------------------------------------------------------------------------- SECURITY 83413U100 MEETING TYPE Annual TICKER SYMBOL SLRC MEETING DATE 17-May-2017 ISIN US83413U1007 AGENDA 934568518 - Management RECORD DATE 22-Mar-2017 HOLDING RECON DATE 22-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 MR. BRUCE SPOHLER For For For 2 MR. STEVEN HOCHBERG For For For 2. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE THE COMPANY 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, 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 (INCLUDING, WITHOUT LIMITATION, THAT THE NUMBER OF SHARES ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN OUTSTANDING COMMON STOCK IMMEDIATELY PRIOR TO EACH SUCH OFFERING). ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 295,709 0 01-Apr-2017 18-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 12,100 0 01-Apr-2017 18-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- SOLAR SENIOR CAPITAL LTD ------------------------------------------------------------------------------------------- SECURITY 83416M105 MEETING TYPE Annual TICKER SYMBOL SUNS MEETING DATE 17-May-2017 ISIN US83416M1053 AGENDA 934568520 - Management RECORD DATE 22-Mar-2017 HOLDING RECON DATE 22-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 MR. MICHAEL S. GROSS For For For 2 MR. LEONARD A. POTTER For For For 2. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE THE COMPANY 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, 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 (INCLUDING, WITHOUT LIMITATION, THAT THE NUMBER OF SHARES ISSUED DOES NOT EXCEED 25% OF THE COMPANY'S THEN OUTSTANDING COMMON STOCK IMMEDIATELY PRIOR TO EACH SUCH OFFERING). ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 25,000 0 01-Apr-2017 18-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- TPG SPECIALTY LENDING, INC. ------------------------------------------------------------------------------------------- SECURITY 87265K102 MEETING TYPE Annual TICKER SYMBOL TSLX MEETING DATE 18-May-2017 ISIN US87265K1025 AGENDA 934566285 - Management RECORD DATE 24-Mar-2017 HOLDING RECON DATE 24-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 JOSHUA EASTERLY For For For 2 MICHAEL FISHMAN For For For 2. TO RATIFY THE SELECTION OF KPMG Management For For For LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 156,455 0 08-Apr-2017 19-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 50,296 0 08-Apr-2017 19-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- TPG SPECIALTY LENDING, INC. ------------------------------------------------------------------------------------------- SECURITY 87265K102 MEETING TYPE Special TICKER SYMBOL TSLX MEETING DATE 18-May-2017 ISIN US87265K1025 AGENDA 934576147 - Management RECORD DATE 24-Mar-2017 HOLDING RECON DATE 24-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 17-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE THE COMPANY TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS 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 SUBJECT TO THE CONDITIONS SET FORTH IN THE ACCOMPANYING PROXY STATEMENT ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 156,455 0 08-Apr-2017 19-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 50,296 0 08-Apr-2017 19-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- GOLDMAN SACHS BDC, INC. ------------------------------------------------------------------------------------------- SECURITY 38147U107 MEETING TYPE Annual TICKER SYMBOL GSBD MEETING DATE 19-May-2017 ISIN US38147U1079 AGENDA 934560346 - Management RECORD DATE 20-Mar-2017 HOLDING RECON DATE 20-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 18-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: ROSS J. KARI Management For For For 1B. ELECTION OF DIRECTOR: ANN B. LANE Management For For For 2. TO RATIFY THE SELECTION OF Management For For For PRICEWATERHOUSECOOPERS LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 22,255 0 28-Mar-2017 22-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 30,808 0 28-Mar-2017 22-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 04010L103 MEETING TYPE Annual TICKER SYMBOL ARCC MEETING DATE 22-May-2017 ISIN US04010L1035 AGENDA 934557426 - Management RECORD DATE 09-Mar-2017 HOLDING RECON DATE 09-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 19-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: MICHAEL J Management For For For AROUGHETI (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020) 1B. ELECTION OF DIRECTOR: ANN TORRE Management For For For BATES (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020) 1C. ELECTION OF DIRECTOR: STEVE Management For For For MCKEEVER (CLASS I DIRECTOR FOR A TERM OF 3 YEARS EXPIRING IN 2020) 2. TO RATIFY THE SELECTION OF KPMG Management For For For LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 500,000 0 25-Mar-2017 23-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 327,412 0 25-Mar-2017 23-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 04010L103 MEETING TYPE Special TICKER SYMBOL ARCC MEETING DATE 22-May-2017 ISIN US04010L1035 AGENDA 934560598 - Management RECORD DATE 09-Mar-2017 HOLDING RECON DATE 09-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 19-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. TO AUTHORIZE THE COMPANY, WITH Management For For For THE APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL OR OTHERWISE ISSUE SHARES OF ITS COMMON STOCK AT A PRICE BELOW ITS THEN CURRENT NET ASSET VALUE PER SHARE SUBJECT TO THE LIMITATIONS SET FORTH IN THE PROXY STATEMENT FOR THE SPECIAL MEETING OF STOCKHOLDERS (INCLUDING, ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 500,000 0 28-Mar-2017 23-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 327,412 0 28-Mar-2017 23-May-2017 FINANCIAL OPP FUND -------------------------------------------------------------------------------- COMPASS DIVERSIFIED HOLDINGS -------------------------------------------------------------------------------- SECURITY 20451Q104 MEETING TYPE Annual TICKER SYMBOL CODI MEETING DATE 24-May-2017 ISIN US20451Q1040 AGENDA 934587037 - Management RECORD DATE 27-Mar-2017 HOLDING RECON DATE 27-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 JAMES J. BOTTIGLIERI For For For 2 GORDON M. BURNS For For For 2. TO APPROVE, ON A NON-BINDING AND Management For For For ADVISORY BASIS, THE RESOLUTION APPROVING THE COMPENSATION OF OUR EXECUTIVE OFFICERS AS DISCLOSED IN THE PROXY STATEMENT ("SAY-ON-PAY VOTE"). 3. TO RECOMMEND, ON A NON-BINDING Management 1 Year 1 Year For AND ADVISORY BASIS, THE FREQUENCY OF THE SAY-ON-PAY VOTE ("SAY-ON-FREQUENCY VOTE"). 4. TO RATIFY THE APPOINTMENT OF Management For For For GRANT THORNTON LLP TO SERVE AS INDEPENDENT AUDITOR FOR THE COMPANY AND THE TRUST FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 25,000 0 14-Apr-2017 25-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- STELLUS CAPITAL INVESTMENT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 858568108 MEETING TYPE Annual TICKER SYMBOL SCM MEETING DATE 24-May-2017 ISIN US8585681088 AGENDA 934591896 - Management RECORD DATE 05-Apr-2017 HOLDING RECON DATE 05-Apr-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 23-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 JOSHUA T. DAVIS For For For 2 BRUCE R. BILGER For For For 2. TO APPROVE A PROPOSAL TO Management For For For AUTHORIZE THE COMPANY, WITH THE APPROVAL OF THE BOARD, TO SELL OR OTHERWISE ISSUE UP TO 25% OF THE COMPANY'S OUTSTANDING COMMON STOCK AT AN OFFERING PRICE THAT IS BELOW THE COMPANY'S THEN CURRENT NAV PER SHARE. 3. TO APPROVE THE ADJOURNMENT OF Management For For For THE ANNUAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 178,529 0 14-Apr-2017 25-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 66,597 0 14-Apr-2017 25-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- ANNALY CAPITAL MANAGEMENT, INC. ------------------------------------------------------------------------------------------- SECURITY 035710409 MEETING TYPE Annual TICKER SYMBOL NLY MEETING DATE 25-May-2017 ISIN US0357104092 AGENDA 934584500 - Management RECORD DATE 28-Mar-2017 HOLDING RECON DATE 28-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 24-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: FRANCINE J. Management For For For BOVICH 1B. ELECTION OF DIRECTOR: JONATHAN D. Management For For For GREEN 1C. ELECTION OF DIRECTOR: JOHN H. Management For For For SCHAEFER 2. ADVISORY APPROVAL OF THE Management For For For COMPANY'S EXECUTIVE COMPENSATION. 3. ADVISORY VOTE ON THE FREQUENCY Management 1 Year 1 Year For OF FUTURE ADVISORY VOTES TO APPROVE THE COMPANY'S EXECUTIVE COMPENSATION. 4. RATIFICATION OF THE APPOINTMENT Management For For For OF ERNST & YOUNG LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 314,500 0 12-Apr-2017 26-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 143,282 0 12-Apr-2017 26-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- TCP CAPITAL CORP. ------------------------------------------------------------------------------------------- SECURITY 87238Q103 MEETING TYPE Annual TICKER SYMBOL TCPC MEETING DATE 25-May-2017 ISIN US87238Q1031 AGENDA 934581782 - Management RECORD DATE 27-Mar-2017 HOLDING RECON DATE 27-Mar-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 24-May-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 KATHLEEN A. CORBET For For For 2 ERIC J. DRAUT For For For 3 M. FREDDIE REISS For For For 4 PETER E. SCHWAB For For For 5 BRIAN F. WRUBLE For For For 6 HOWARD M. LEVKOWITZ For For For 7 RAJNEESH VIG For For For 2. TO AUTHORIZE THE COMPANY, WITH Management For For For APPROVAL OF ITS BOARD OF DIRECTORS, TO SELL SHARES OF THE COMPANY'S COMMON STOCK (DURING THE NEXT 12 MONTHS) 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 ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 383,728 0 08-Apr-2017 26-May-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 108,135 0 08-Apr-2017 26-May-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- OFS CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 67103B100 MEETING TYPE Annual TICKER SYMBOL OFS MEETING DATE 06-Jun-2017 ISIN US67103B1008 AGENDA 934603502 - Management RECORD DATE 11-Apr-2017 HOLDING RECON DATE 11-Apr-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 05-Jun-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 ROBERT J. CRESCI For For For 2 BILAL RASHID For For For 2. THE RATIFICATION OF THE SELECTION Management For For For BY THE AUDIT COMMITTEE OF OUR BOARD OF DIRECTORS OF BDO USA, LLP AS OUR INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 102,084 0 26-Apr-2017 07-Jun-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 100,000 0 26-Apr-2017 07-Jun-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- THL CREDIT, INC. ------------------------------------------------------------------------------------------- SECURITY 872438106 MEETING TYPE Annual TICKER SYMBOL TCRD MEETING DATE 06-Jun-2017 ISIN US8724381061 AGENDA 934612258 - Management RECORD DATE 21-Apr-2017 HOLDING RECON DATE 21-Apr-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 05-Jun-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 DAVID K. DOWNES For For For 2 CHRISTOPHER J. FLYNN For For For 3 E.P. GIAMBASTIANI, JR. For For For 4 NANCY HAWTHORNE For For For 5 JAMES D. KERN For For For 6 DEBORAH MCANENY For For For 7 SAM W. TILLINGHAST For For For 2. APPROVAL OF A PROPOSAL TO Management For For For AUTHORIZE THE COMPANY TO SELL OR OTHERWISE ISSUE UP TO 25% OF THE COMPANY'S COMMON STOCK AT A NET PRICE BELOW THE COMPANY'S THEN CURRENT NAV. 3. APPROVAL OF A PROPOSAL TO Management For For For AUTHORIZE THE COMPANY TO 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, PROVIDED THAT PROPOSAL 2 IS APPROVED, MAY BE BELOW THE COMPANY S THEN CURRENT NAV. 4. APPROVAL OF THE ADJOURNMENT OF Management For For For THE ANNUAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 550,000 0 29-Apr-2017 07-Jun-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 187,618 0 29-Apr-2017 07-Jun-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- HARVEST CAPITAL CREDIT CORPORATION ------------------------------------------------------------------------------------------- SECURITY 41753F109 MEETING TYPE Annual TICKER SYMBOL HCAP MEETING DATE 13-Jun-2017 ISIN US41753F1093 AGENDA 934605506 - Management RECORD DATE 18-Apr-2017 HOLDING RECON DATE 18-Apr-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 12-Jun-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1A. ELECTION OF DIRECTOR: DORIAN B. Management For For For KLEIN 1B. ELECTION OF DIRECTOR: JACK G. Management For For For LEVIN 2. TO RATIFY THE SELECTION OF Management For For For PRICEWATERHOUSECOOPERS LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE COMPANY FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 16,699 0 29-Apr-2017 14-Jun-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- ALCENTRA CAPITAL CORPORATION ------------------------------------------------------------------------------------------- SECURITY 01374T102 MEETING TYPE Annual TICKER SYMBOL ABDC MEETING DATE 15-Jun-2017 ISIN US01374T1025 AGENDA 934625990 - Management RECORD DATE 08-May-2017 HOLDING RECON DATE 08-May-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 14-Jun-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 PAUL ECHUASSE For For For 2 STEVEN REIFF For For For 2. RATIFICATION OF THE APPOINTMENT Management For For For OF KPMG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. 3. TO APPROVE THE ADJOURNMENT OF Management For For For THE ANNUAL MEETING, IF NECESSARY OR APPROPRIATE, TO SOLICIT ADDITIONAL PROXIES. ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736385 FT SFFO FUND FBO BNP 736385 BNY MELLON 62,877 0 12-May-2017 16-Jun-2017 000736386 FT SPEC FIN & 000736386 BNY MELLON 91,373 0 12-May-2017 16-Jun-2017 FINANCIAL OPP FUND ------------------------------------------------------------------------------------------- MEDALLION FINANCIAL CORP. ------------------------------------------------------------------------------------------- SECURITY 583928106 MEETING TYPE Annual TICKER SYMBOL MFIN MEETING DATE 22-Jun-2017 ISIN US5839281061 AGENDA 934610189 - Management RECORD DATE 24-Apr-2017 HOLDING RECON DATE 24-Apr-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 21-Jun-2017 States SEDOL(S) QUICK CODE ----------------------------------------------------------------------------------------------------------------------------- PROPOSED MANAGEMENT FOR/AGAINST ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT ----------------------------------------------------------------------------------------------------------------------------- 1. DIRECTOR Management 1 ALVIN MURSTEIN For For For 2 HENRY L. AARON For For For 2. PROPOSAL TO RATIFY THE Management For For For APPOINTMENT OF MAZARS USA LLP AS MEDALLION FINANCIAL CORP.'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM 3. PROPOSAL TO APPROVE A NON- Management For For For BINDING ADVISORY RESOLUTION TO APPROVE EXECUTIVE COMPENSATION ----------------------------------------------------------------------------------------------------------------------------- ACCOUNT ACCOUNT NAME INTERNAL CUSTODIAN BALLOT SHARES UNAVAILABLE VOTE DATE DATE NUMBER ACCOUNT SHARES CONFIRMED ----------------------------------------------------------------------------------------------------------------------------- 000736386 FT SPEC FIN & 000736386 BNY MELLON 53,953 0 02-May-2017 23-Jun-2017 FINANCIAL OPP FUND

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) FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND --------------------------------------- By (Signature and Title)* /s/ James M. Dykas ----------------------------------- James M. Dykas, President and Chief Executive Officer Date July 14, 2017 ------------------------- * Print the name and title of each signing officer under his or her signature.