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, 2017 - June 30, 2018 ---------------------------- 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

------------------------------------------------------------------------------------------------------------- FS INVESTMENT CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 302635107 MEETING TYPE Annual TICKER SYMBOL FSIC MEETING DATE 27-Jul-2017 ISIN US3026351078 AGENDA 934622982 - Management RECORD DATE 20-Apr-2017 HOLDING RECON DATE 20-Apr-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 26-Jul-2017 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 MICHAEL J. HAGAN For For For None 2 JEFFREY K. HARROW For For For None 3 PEDRO RAMOS For For For None 4 JOSEPH P. UJOBAI For For For None 2. Approve Private Placement Management For For For None ------------------------------------------------------------------------------------------------------------- APOLLO INVESTMENT CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 03761U106 MEETING TYPE Annual TICKER SYMBOL AINV MEETING DATE 03-Aug-2017 ISIN US03761U1060 AGENDA 934652428 - Management RECORD DATE 09-Jun-2017 HOLDING RECON DATE 09-Jun-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 02-Aug-2017 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 JEANETTE W. LOEB For For For None 2 FRANK C. PULEO For For For None 3 CARL SPIELVOGEL For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- GLADSTONE INVESTMENT CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 376546107 MEETING TYPE Annual TICKER SYMBOL GAIN MEETING DATE 24-Aug-2017 ISIN US3765461070 AGENDA 934651692 - Management RECORD DATE 05-Jun-2017 HOLDING RECON DATE 05-Jun-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 23-Aug-2017 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 ANTHONY W. PARKER For For For None 2. Authorize Sale of Assets Management For For For None ------------------------------------------------------------------------------------------------------------- HERCULES CAPITAL INC ------------------------------------------------------------------------------------------------------------- SECURITY 427096508 MEETING TYPE Annual TICKER SYMBOL HTGC MEETING DATE 13-Dec-2017 ISIN US4270965084 AGENDA 934703174 - Management RECORD DATE 30-Oct-2017 HOLDING RECON DATE 30-Oct-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 12-Dec-2017 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 ROBERT P. BADAVAS For For For None 2 JORGE TITINGER For For For None 2. 14A Executive Compensation Management For For For None 3. 14A Executive Compensation Vote Management 1 Year 1 Year For None Frequency 4. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- CM FINANCE INC. ------------------------------------------------------------------------------------------------------------- SECURITY 12574Q103 MEETING TYPE Annual TICKER SYMBOL CMFN MEETING DATE 21-Dec-2017 ISIN US12574Q1031 AGENDA 934682659 - Management RECORD DATE 08-Sep-2017 HOLDING RECON DATE 08-Sep-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 20-Dec-2017 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 KEITH LEE For For For None 2 JULIE PERSILY For For For None 2. Authorize Sale of Assets Management For For For None ------------------------------------------------------------------------------------------------------------- GOLUB CAPITAL BDC, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 38173M102 MEETING TYPE Annual TICKER SYMBOL GBDC MEETING DATE 06-Feb-2018 ISIN US38173M1027 AGENDA 934715383 - Management RECORD DATE 12-Dec-2017 HOLDING RECON DATE 12-Dec-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 05-Feb-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1A) Election of Directors (Majority Voting) Management For For For None 1B) Election of Directors (Majority Voting) Management For For For None 2) Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- MEDLEY CAPITAL CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 58503F106 MEETING TYPE Annual TICKER SYMBOL MCC MEETING DATE 13-Feb-2018 ISIN US58503F1066 AGENDA 934716575 - Management RECORD DATE 19-Dec-2017 HOLDING RECON DATE 19-Dec-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 12-Feb-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Mr. Jeff Tonkel For For For None 2 Mr. Mark Lerdal For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- PENNANTPARK INVESTMENT CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 708062104 MEETING TYPE Annual TICKER SYMBOL PNNT MEETING DATE 14-Mar-2018 ISIN US7080621045 AGENDA 934712779 - Management RECORD DATE 17-Nov-2017 HOLDING RECON DATE 17-Nov-2017 CITY / COUNTRY / United VOTE DEADLINE DATE 13-Mar-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 MR. ADAM BERNSTEIN For For For None 2 MR. JEFFREY FLUG For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- FS INVESTMENT CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 302635107 MEETING TYPE Special TICKER SYMBOL FSIC MEETING DATE 26-Mar-2018 ISIN US3026351078 AGENDA 934723291 - Management RECORD DATE 18-Jan-2018 HOLDING RECON DATE 18-Jan-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 23-Mar-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Approve Investment Advisory Agreement Management For For For None 2. Approve Investment Advisory Agreement Management For For For None ------------------------------------------------------------------------------------------------------------- CORPORATE CAPITAL TRUST, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 219880101 MEETING TYPE Special TICKER SYMBOL CCT MEETING DATE 26-Mar-2018 ISIN US2198801019 AGENDA 934723734 - Management RECORD DATE 22-Jan-2018 HOLDING RECON DATE 22-Jan-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 23-Mar-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Approve Investment Advisory Agreement Management For For For None 2. Approve Investment Advisory Agreement Management For For For None ------------------------------------------------------------------------------------------------------------- TRIPLEPOINT VENTURE GROWTH BDC CORP. ------------------------------------------------------------------------------------------------------------- SECURITY 89677Y100 MEETING TYPE Annual TICKER SYMBOL TPVG MEETING DATE 25-Apr-2018 ISIN US89677Y1001 AGENDA 934751187 - Management RECORD DATE 12-Mar-2018 HOLDING RECON DATE 12-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 24-Apr-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Sajal K. Srivastava For For For None 2 Stephen A. Cassani For For For None 2. Ratify Appointment of Independent Auditors Management For For For None 3. Approve Issuance of Warrants Management For For For None ------------------------------------------------------------------------------------------------------------- NEW MOUNTAIN FINANCE CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 647551100 MEETING TYPE Annual TICKER SYMBOL NMFC MEETING DATE 26-Apr-2018 ISIN US6475511001 AGENDA 934738571 - Management RECORD DATE 01-Mar-2018 HOLDING RECON DATE 01-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Apr-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 David Ogens For For For None 2 Adam B. Weinstein For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- MAIN STREET CAPITAL CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 56035L104 MEETING TYPE Annual TICKER SYMBOL MAIN MEETING DATE 30-Apr-2018 ISIN US56035L1044 AGENDA 934739826 - Management RECORD DATE 02-Mar-2018 HOLDING RECON DATE 02-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 27-Apr-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1A. Election of Directors (Majority Voting) Management For For For None 1B. Election of Directors (Majority Voting) Management For For For None 1C. Election of Directors (Majority Voting) Management For For For None 1D. Election of Directors (Majority Voting) Management For For For None 1E. Election of Directors (Majority Voting) Management For For For None 1F. Election of Directors (Majority Voting) Management For For For None 1G. Election of Directors (Majority Voting) Management For For For None 1H. Election of Directors (Majority Voting) Management For For For None 1I. Election of Directors (Majority Voting) Management For For For None 1J. Election of Directors (Majority Voting) Management For For For None 2. Ratify Appointment of Independent Auditors Management For For For None 3. 14A Executive Compensation Management For For For None 4. Approve Charter Amendment Management For For For None ------------------------------------------------------------------------------------------------------------- TRIANGLE CAPITAL CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 895848109 MEETING TYPE Annual TICKER SYMBOL TCAP MEETING DATE 02-May-2018 ISIN US8958481090 AGENDA 934736983 - Management RECORD DATE 22-Feb-2018 HOLDING RECON DATE 22-Feb-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 01-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1.1 Election of Directors (Majority Voting) Management For For For None 1.2 Election of Directors (Majority Voting) Management For For For None 1.3 Election of Directors (Majority Voting) Management For For For None 1.4 Election of Directors (Majority Voting) Management For For For None 1.5 Election of Directors (Majority Voting) Management For For For None 1.6 Election of Directors (Majority Voting) Management For For For None 1.7 Election of Directors (Majority Voting) Management For For For None 1.8 Election of Directors (Majority Voting) Management For For For None 2. Ratify Appointment of Independent Auditors Management For For For None 3. 14A Executive Compensation Management For For For None ------------------------------------------------------------------------------------------------------------- KCAP FINANCIAL, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 48668E101 MEETING TYPE Annual TICKER SYMBOL KCAP MEETING DATE 03-May-2018 ISIN US48668E1010 AGENDA 934748774 - Management RECORD DATE 08-Mar-2018 HOLDING RECON DATE 08-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 02-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Christopher Lacovara For For For None 2 Dayl W. Pearson For For For None 2. 14A Executive Compensation Management For For For None 3. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- CYS INVESTMENTS, INC ------------------------------------------------------------------------------------------------------------- SECURITY 12673A108 MEETING TYPE Annual TICKER SYMBOL CYS MEETING DATE 11-May-2018 ISIN US12673A1088 AGENDA 934758511 - Management RECORD DATE 15-Mar-2018 HOLDING RECON DATE 15-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 10-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Kevin E. Grant For For For None 2 Tanya S. Beder For For For None 3 Karen Hammond For For For None 4 R.A. Redlingshafer Jr For For For None 5 Dale A. Reiss For For For None 6 James A. Stern For For For None 2. 14A Executive Compensation Management For For For None 3. 14A Executive Compensation Vote Management 1 Year 1 Year For None Frequency 4. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 04010L103 MEETING TYPE Special TICKER SYMBOL ARCC MEETING DATE 14-May-2018 ISIN US04010L1035 AGENDA 934768358 - Management RECORD DATE 16-Mar-2018 HOLDING RECON DATE 16-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 11-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1 Authorize Sale of Assets Management For For For None ------------------------------------------------------------------------------------------------------------- ARES CAPITAL CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 04010L103 MEETING TYPE Annual TICKER SYMBOL ARCC MEETING DATE 14-May-2018 ISIN US04010L1035 AGENDA 934771177 - Management RECORD DATE 16-Mar-2018 HOLDING RECON DATE 16-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 11-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1a. Election of Directors (Majority Voting) Management For For For None 1b. Election of Directors (Majority Voting) Management For For For None 1c. Election of Directors (Majority Voting) Management For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- CAPSTEAD MORTGAGE CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 14067E506 MEETING TYPE Annual TICKER SYMBOL CMO MEETING DATE 16-May-2018 ISIN US14067E5069 AGENDA 934766291 - Management RECORD DATE 23-Mar-2018 HOLDING RECON DATE 23-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 15-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1A Election of Directors (Majority Voting) Management For For For None 1B Election of Directors (Majority Voting) Management For For For None 1C Election of Directors (Majority Voting) Management For For For None 1D Election of Directors (Majority Voting) Management For For For None 1E Election of Directors (Majority Voting) Management For For For None 1F Election of Directors (Majority Voting) Management For For For None 1G Election of Directors (Majority Voting) Management For For For None 1H Election of Directors (Majority Voting) Management For For For None 2. 14A Executive Compensation Management For For For None 3. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- TPG SPECIALTY LENDING, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 87265K102 MEETING TYPE Special TICKER SYMBOL TSLX MEETING DATE 17-May-2018 ISIN US87265K1025 AGENDA 934771038 - Management RECORD DATE 19-Mar-2018 HOLDING RECON DATE 19-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Authorize Sale of Assets Management For For For None ------------------------------------------------------------------------------------------------------------- TPG SPECIALTY LENDING, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 87265K102 MEETING TYPE Annual TICKER SYMBOL TSLX MEETING DATE 17-May-2018 ISIN US87265K1025 AGENDA 934771317 - Management RECORD DATE 19-Mar-2018 HOLDING RECON DATE 19-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 16-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Richard Higginbotham For For For None 2 Ronald Tanemura For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- ANNALY CAPITAL MANAGEMENT, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 035710409 MEETING TYPE Annual TICKER SYMBOL NLY MEETING DATE 23-May-2018 ISIN US0357104092 AGENDA 934772004 - Management RECORD DATE 26-Mar-2018 HOLDING RECON DATE 26-Mar-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 22-May-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1a. Election of Directors (Majority Voting) Management For For For None 1b. Election of Directors (Majority Voting) Management For For For None 1c. Election of Directors (Majority Voting) Management For For For None 1d. Election of Directors (Majority Voting) Management For For For None 1e. Election of Directors (Majority Voting) Management For For For None 2. 14A Executive Compensation Management For For For None 3. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- OFS CAPITAL CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 67103B100 MEETING TYPE Annual TICKER SYMBOL OFS MEETING DATE 05-Jun-2018 ISIN US67103B1008 AGENDA 934789201 - Management RECORD DATE 10-Apr-2018 HOLDING RECON DATE 10-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 04-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Marc Abrams For For For None 2 Jeffrey A. Cerny For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- THL CREDIT, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 872438106 MEETING TYPE Annual TICKER SYMBOL TCRD MEETING DATE 07-Jun-2018 ISIN US8724381061 AGENDA 934804801 - Management RECORD DATE 17-Apr-2018 HOLDING RECON DATE 17-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 06-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Christopher J. Flynn For For For None 2 E. P. Giambastiani, Jr. For For For None 3 Nancy Hawthorne For For For None 4 James D. Kern For For For None 5 Deborah McAneny For For For None 6 Jane Musser Nelson For For For None 2. Stock Issuance Management For For For None 3. Approve Issuance of Warrants Management For For For None 4. Approve Charter Amendment Management For For For None 5. Amend Articles-Board Related Management For For For None 6. Approve Motion to Adjourn Meeting Management For For For None ------------------------------------------------------------------------------------------------------------- NEW MOUNTAIN FINANCE CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 647551100 MEETING TYPE Special TICKER SYMBOL NMFC MEETING DATE 08-Jun-2018 ISIN US6475511001 AGENDA 934827734 - Management RECORD DATE 16-Apr-2018 HOLDING RECON DATE 16-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 07-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Miscellaneous Corporate Actions Management For For For None ------------------------------------------------------------------------------------------------------------- HARVEST CAPITAL CREDIT CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 41753F109 MEETING TYPE Annual TICKER SYMBOL HCAP MEETING DATE 12-Jun-2018 ISIN US41753F1093 AGENDA 934799935 - Management RECORD DATE 17-Apr-2018 HOLDING RECON DATE 17-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 11-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors (Majority Voting) Management For For For None 2. Ratify Appointment of Independent Auditors Management For For For None ------------------------------------------------------------------------------------------------------------- GOLDMAN SACHS BDC, INC. ------------------------------------------------------------------------------------------------------------- SECURITY 38147U107 MEETING TYPE Annual TICKER SYMBOL GSBD MEETING DATE 15-Jun-2018 ISIN US38147U1079 AGENDA 934835539 - Management RECORD DATE 10-May-2018 HOLDING RECON DATE 10-May-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 14-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1.1 Election of Directors (Majority Voting) Management For For For None 2. Ratify Appointment of Independent Auditors Management For For For None 3. Miscellaneous Corporate Actions Management For For For None ------------------------------------------------------------------------------------------------------------- TCP CAPITAL CORP. ------------------------------------------------------------------------------------------------------------- SECURITY 87238Q103 MEETING TYPE Annual TICKER SYMBOL TCPC MEETING DATE 19-Jun-2018 ISIN US87238Q1031 AGENDA 934826477 - Management RECORD DATE 20-Apr-2018 HOLDING RECON DATE 20-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 18-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Kathleen A. Corbet For For For None 2 Eric J. Draut For For For None 3 M. Freddie Reiss For For For None 4 Peter E. Schwab For For For None 5 Brian F. Wruble For For For None 6 Howard M. Levkowitz For For For None 7 Rajneesh Vig For For For None 2a. Approve Investment Advisory Agreement Management For For For None 2b. Approve Investment Advisory Agreement Management For For For None 3. Miscellaneous Corporate Actions Management For For For None 4. Stock Issuance Management For For For None ------------------------------------------------------------------------------------------------------------- TRIPLEPOINT VENTURE GROWTH BDC CORP. ------------------------------------------------------------------------------------------------------------- SECURITY 89677Y100 MEETING TYPE Special TICKER SYMBOL TPVG MEETING DATE 21-Jun-2018 ISIN US89677Y1001 AGENDA 934837696 - Management RECORD DATE 18-May-2018 HOLDING RECON DATE 18-May-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 20-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Miscellaneous Corporate Actions Management For For For None ------------------------------------------------------------------------------------------------------------- ALCENTRA CAPITAL CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 01374T102 MEETING TYPE Annual TICKER SYMBOL ABDC MEETING DATE 26-Jun-2018 ISIN US01374T1025 AGENDA 934840869 - Management RECORD DATE 18-Apr-2018 HOLDING RECON DATE 18-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 25-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 David Scopelliti For For For None 2 Edward Grebow For For For None 2. Ratify Appointment of Independent Auditors Management For For For None 3. Approve Charter Amendment Management For For For None ------------------------------------------------------------------------------------------------------------- STELLUS CAPITAL INVESTMENT CORPORATION ------------------------------------------------------------------------------------------------------------- SECURITY 858568108 MEETING TYPE Annual TICKER SYMBOL SCM MEETING DATE 28-Jun-2018 ISIN US8585681088 AGENDA 934814701 - Management RECORD DATE 05-Apr-2018 HOLDING RECON DATE 05-Apr-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 27-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Robert T. Ladd For For For None 2 J. Tim Arnoult For For For None 3 Paul Keglevic For For For None 2. Stock Issuance Management For For For None 3. Amend Articles/Charter to Reflect Changes Management For For For None in Capital 4. Approve Motion to Adjourn Meeting Management For For For None ------------------------------------------------------------------------------------------------------------- HERCULES CAPITAL INC ------------------------------------------------------------------------------------------------------------- SECURITY 427096508 MEETING TYPE Annual TICKER SYMBOL HTGC MEETING DATE 28-Jun-2018 ISIN US4270965084 AGENDA 934846087 - Management RECORD DATE 21-May-2018 HOLDING RECON DATE 21-May-2018 CITY / COUNTRY / United VOTE DEADLINE DATE 27-Jun-2018 States SEDOL(S) QUICK CODE ------------------------------------------------------------------------------------------------------------------------------------ PROPOSED MANAGEMENT FOR/AGAINST PREFERRED PROVIDER ITEM PROPOSAL BY VOTE RECOMMENDATION MANAGEMENT RECOMMENDATION ------------------------------------------------------------------------------------------------------------------------------------ 1. Election of Directors Management 1 Thomas J. Fallon For For For None 2 Brad Koenig For For For None 2. 14A Executive Compensation Management For For For None 3. Amend Stock Compensation Plan Management For For For None 4. Adopt Non-Employee Director Plan Management For For For None 5. Ratify Appointment of Independent Auditors Management For For For None

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 13, 2018 ------------------------- * Print the name and title of each signing officer under his or her signature.