N-PX 1 fgb_npx.htm 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, 2018 - June 30, 2019

 

 

 

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

 

 

 

GOLDMAN SACHS BDC, INC.    
Security 38147U111           Meeting Type Special
Ticker Symbol             Meeting Date 13-Jul-2018  
ISIN             Agenda 934834979 - Management
Record Date 10-May-2018           Holding Recon Date 10-May-2018  
City / Country     / United States         Vote Deadline Date 12-Jul-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To authorize the Company, with 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 Stockholder authorization) at a price below the then-current net asset value per share, provided the number of shares issued does not exceed 25% of the Company's then-outstanding common stock. Management   For   For    
TRIANGLE CAPITAL CORPORATION    
Security 895848109           Meeting Type Special
Ticker Symbol TCAP                      Meeting Date 24-Jul-2018  
ISIN US8958481090           Agenda 934846695 - Management
Record Date 25-May-2018           Holding Recon Date 25-May-2018  
City / Country     / United States         Vote Deadline Date 23-Jul-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve the Asset Purchase Agreement, dated as of April 3, 2018 (the "Asset Purchase Agreement"), by and between the Company and BSP Asset Acquisition I, LLC (the "Asset Buyer"), and the transactions contemplated thereby, including the sale of substantially all of the Company's portfolio investments to the Asset Buyer for the price, and on the terms, set forth in the Asset Purchase Agreement (the "Asset Sale"). Management   For   For    
2.    To approve, in accordance with Section 312.03 of the New York Stock Exchange Listed Company Manual, the issuance and sale by the Company to Barings LLC ("Barings") of up to, under certain circumstances, $150 million worth of shares of common stock, par value $0.001 per share, of the Company (the "Stock Issuance") pursuant to the terms of the Stock Purchase and Transaction Agreement, dated as of April 3, 2018, by and between the Company and Barings (the "Externalization Agreement"). Management   For   For    
3.    To approve the investment advisory agreement (the "Advisory Agreement") pursuant to which Barings would be appointed as the investment adviser of the Company. Management   For   For    
4.    To approve a proposal to authorize the Company to be subject to a reduced asset coverage ratio of at least 150% under the Investment Company Act of 1940, as amended. Management   For   For    
5.    To approve on an advisory, non-binding basis, the payment of an estimated $17.2 million in the aggregate, subject to the occurrence of certain conditions regarding change of control and termination, in golden parachute payments that will or may become payable by the Company to its named executive officers pursuant to their employment and other arrangements with the Company in connection with the closing of the transactions contemplated by the Asset Purchase Agreement and the Externalization Agreement. Management   For   For    
6.    To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the Asset Purchase Agreement and related Asset Sale, the Stock Issuance or the Advisory Agreement. Management   For   For    
CYS INVESTMENTS, INC    
Security 12673A108           Meeting Type Special
Ticker Symbol CYS                       Meeting Date 27-Jul-2018  
ISIN US12673A1088           Agenda 934854919 - Management
Record Date 22-Jun-2018           Holding Recon Date 22-Jun-2018  
City / Country     / United States         Vote Deadline Date 26-Jul-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve the merger transaction in which CYS Investments, Inc., a Maryland corporation (the "Company") merges with and into Eiger Merger Subsidiary LLC, a Maryland limited liability company, ("Merger Sub") related to that certain Agreement and Plan of Merger, dated as of April 25, 2018, among Two Harbors Investment Corp., a Maryland corporation, Merger Sub and the Company, as it may be amended from time to time, a copy of which is attached as Annex A to the joint proxy statement/ prospectus accompanying this notice. (the "Merger Proposal") Management   For   For    
2.    To consider and vote on a non-binding advisory proposal to approve the compensation that may be paid or become payable to the Company's named executive officers that is based on or otherwise relates to the merger (the "CYS Non- Binding Compensation Advisory Proposal"). Management   For   For    
3.    To consider and vote on a proposal to approve the adjournment of the special meeting of stockholders of the Company (the "Special Meeting"), if necessary or appropriate, for the purpose of soliciting additional votes for the approval of the Merger Proposal (the "CYS Adjournment Proposal"). Management   For   For    
APOLLO INVESTMENT CORPORATION    
Security 03761U106           Meeting Type Annual  
Ticker Symbol AINV                      Meeting Date 08-Aug-2018  
ISIN US03761U1060           Agenda 934851812 - Management
Record Date 14-Jun-2018           Holding Recon Date 14-Jun-2018  
City / Country     / United States         Vote Deadline Date 07-Aug-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 R. Rudolph Reinfrank       For   For    
    2 Barbara Matas       For   For    
    3 John J. Hannan       For   For    
2.    To ratify the selection of PricewaterhouseCoopers LLP as Apollo Investment Corporation's (the "Company") independent registered public accounting firm for the fiscal year ending March 31, 2019. Management   For   For    
TPG SPECIALTY LENDING, INC.    
Security 87265K102           Meeting Type Special
Ticker Symbol TSLX                      Meeting Date 08-Oct-2018  
ISIN US87265K1025           Agenda 934871725 - Management
Record Date 21-Aug-2018           Holding Recon Date 21-Aug-2018  
City / Country     / United States         Vote Deadline Date 05-Oct-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve the application to the Company of a minimum asset coverage ratio of 150%, pursuant to Section 61 (a)(2) of the Investment Company Act of 1940, as amended, to become effective the date after the Special Meeting, which would permit the Company to double the maximum amount of leverage that it is permitted to incur. Management   For   For    
SOLAR CAPITAL LTD    
Security 83413U100           Meeting Type Annual  
Ticker Symbol SLRC                      Meeting Date 11-Oct-2018  
ISIN US83413U1007           Agenda 934871066 - Management
Record Date 16-Aug-2018           Holding Recon Date 16-Aug-2018  
City / Country     / United States         Vote Deadline Date 10-Oct-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Michael S. Gross       For   For    
    2 Leonard A. Potter       For   For    
2.    To approve a proposal to authorize Solar Capital Ltd. to sell shares of its common stock at a price or prices below Solar Capital Ltd.'s then current net asset value per share in one or more offerings, in each case subject to the approval of its board of directors and compliance with the conditions set forth in the proxy statement (including, without limitation, that the number of shares issued does not exceed 25% of Solar Capital Ltd.'s then outstanding common stock immediately prior to each such offering). Management   For   For    
3.    To approve of Solar Capital Ltd. immediately becoming subject to a minimum asset coverage ratio of at least 150%, permitting Solar Capital Ltd. to double its amount of debt incurrence earlier than the current effective date of August 2, 2019, pursuant to the Small Business Credit Availability Act Management   For   For    
CORPORATE CAPITAL TRUST, INC.    
Security 219880101           Meeting Type Annual  
Ticker Symbol CCT                       Meeting Date 03-Dec-2018  
ISIN US2198801019           Agenda 934884811 - Management
Record Date 14-Sep-2018           Holding Recon Date 14-Sep-2018  
City / Country     / United States         Vote Deadline Date 30-Nov-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve CCT's adoption of the Agreement and Plan of Merger, dated as of July 22, 2018 (the "Merger Agreement"), by and among CCT, FS Investment Corporation, IC Acquisition, Inc. and FS/KKR Advisor, LLC and the transactions contemplated thereby. Management   For   For    
2.    To elect Laurie Simon Hodrick as a director of CCT for a term expiring at the earlier of (a) the completion of the mergers contemplated by the Merger Agreement and (b) the 2021 annual meeting of the stockholders of CCT and until her successor is duly elected and qualified. Management   For   For    
3.    To ratify the appointment of Deloitte & Touche LLP as CCT's independent registered public accounting firm for the fiscal year ending December 31, 2018. Management   For   For    
FS KKR CAPITAL CORP.    
Security 302635107           Meeting Type Annual  
Ticker Symbol FSIC                      Meeting Date 03-Dec-2018  
ISIN US3026351078           Agenda 934884809 - Management
Record Date 14-Sep-2018           Holding Recon Date 14-Sep-2018  
City / Country     / United States         Vote Deadline Date 30-Nov-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve the issuance of Shares pursuant to the Agreement and Plan of Merger, dated as of July 22, 2018 (the "Merger Agreement"), by and among FSIC, Corporate Capital Trust, Inc., IC Acquisition, Inc. and FS/KKR Advisor, LLC ("FS/KKR Advisor"). Management   For   For    
2.    DIRECTOR Management            
    1 Todd Builione       For   For    
    2 Richard Goldstein       For   For    
    3 Brian R. Ford       For   For    
    4 Barbara Adams       For   For    
    5 Jerel A. Hopkins       For   For    
    6 Frederick Arnold       For   For    
    7 James H. Kropp       For   For    
3.    To authorize flexibility for FSIC, with the approval of FSIC'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 joint proxy statement/prospectus. Management   For   For    
4.    To approve a new investment advisory agreement, by and between FSIC and FS/KKR Advisor, pursuant to which FSIC's current investment advisor, FS/KKR Advisor, will continue to act as investment adviser to FSIC. Management   For   For    
HERCULES CAPITAL INC    
Security 427096508           Meeting Type Special
Ticker Symbol HTGC                      Meeting Date 06-Dec-2018  
ISIN US4270965084           Agenda 934886803 - Management
Record Date 04-Oct-2018           Holding Recon Date 04-Oct-2018  
City / Country     / United States         Vote Deadline Date 05-Dec-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve the application of the reduced asset coverage requirements in Section 61(a)(2) of the Investment Company Act of 1940, as amended, to the Company, which would permit the Company to double the maximum amount of leverage that it is currently permitted to incur by reducing the asset coverage requirements applicable to the Company from 200% to 150% to become effective the day after the Special Meeting (without giving effect to any exemptive relief with respect to Small Business Administration debentures). Management   For   For    
CM FINANCE INC.    
Security 12574Q103           Meeting Type Annual  
Ticker Symbol CMFN                      Meeting Date 18-Dec-2018  
ISIN US12574Q1031           Agenda 934881221 - Management
Record Date 14-Sep-2018           Holding Recon Date 14-Sep-2018  
City / Country     / United States         Vote Deadline Date 17-Dec-2018  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Christopher E. Jansen       For   For    
    2 Robert Wagner       For   For    
2.    To approve a proposal to 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 ("NAV"). Management   For   For    
GOLUB CAPITAL BDC, INC.    
Security 38173M102           Meeting Type Annual  
Ticker Symbol GBDC                      Meeting Date 05-Feb-2019  
ISIN US38173M1027           Agenda 934915844 - Management
Record Date 12-Dec-2018           Holding Recon Date 12-Dec-2018  
City / Country     / United States         Vote Deadline Date 04-Feb-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1a.   Election of Class III Director: Lawrence E. Golub Management   For   For    
1b.   Election of Class III Director: William M. Webster IV Management   For   For    
2.    To ratify the selection of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. Management   For   For    
3.    To approve the Company becoming subject to the minimum asset coverage ratio under the Small Business Credit Availability Act of at least 150%, which would permit the Company to double the maximum amount of leverage that it is currently permitted to incur. Management   For   For    
PENNANTPARK INVESTMENT CORPORATION    
Security 708062104           Meeting Type Annual  
Ticker Symbol PNNT                      Meeting Date 05-Feb-2019  
ISIN US7080621045           Agenda 934913737 - Management
Record Date 19-Nov-2018           Holding Recon Date 19-Nov-2018  
City / Country     / United States         Vote Deadline Date 04-Feb-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Arthur H. Penn       For   For    
2.    To ratify the selection of RSM US LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. Management   For   For    
3.    To approve of the Company immediately becoming subject to a minimum asset coverage ratio of at least 150%, permitting the Company (without giving effect to any exempt relieve with respect to Small Business Administration debentures) to double its amount of debt incurrence earlier than the current effective date of November 13, 2019, pursuant to the Small Business Credit Availability Act. Management   For   For    
BLACKROCK TCP CAPITAL CORP.    
Security 09259E108           Meeting Type Special
Ticker Symbol TCPC                      Meeting Date 08-Feb-2019  
ISIN US09259E1082           Agenda 934919157 - Management
Record Date 31-Dec-2018           Holding Recon Date 31-Dec-2018  
City / Country     / United States         Vote Deadline Date 07-Feb-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To authorize the Company, with approval of its Board of Directors, to increase leverage by approving the application to the Company of a minimum asset coverage ratio of 150%, pursuant to Section 61(a)(2) of the Investment Company Act of 1940, to become effective the date after the Special Meeting. Management   For   For    
2.    To approve, subject to the effectiveness of the modified minimum asset coverage ratio, an amended investment management agreement between the Company and Tennenbaum Capital Partners, LLC, to permit Tennenbaum Capital Partners, LLC to serve as investment advisor. Management   For   For    
KCAP FINANCIAL, INC.    
Security 48668E101           Meeting Type Special
Ticker Symbol KCAP                      Meeting Date 19-Feb-2019  
ISIN US48668E1010           Agenda 934922306 - Management
Record Date 31-Dec-2018           Holding Recon Date 31-Dec-2018  
City / Country     / United States         Vote Deadline Date 15-Feb-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve an investment advisory agreement (the "Advisory Agreement") pursuant to which Sierra Crest Investment Management LLC (the "Adviser"), an affiliate of BC Partners LLP, would be appointed as the investment adviser of the Company Management   For   For    
2.    To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the Advisory Agreement Management   For   For    
NEW MOUNTAIN FINANCE CORPORATION    
Security 647551100           Meeting Type Annual  
Ticker Symbol NMFC                      Meeting Date 29-Mar-2019  
ISIN US6475511001           Agenda 934935947 - Management
Record Date 19-Feb-2019           Holding Recon Date 19-Feb-2019  
City / Country     / United States         Vote Deadline Date 28-Mar-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Robert A. Hamwee       For   For    
    2 Alfred F. Hurley, Jr.       For   For    
2.    To ratify the appointment of Deloitte & Touche LLP to serve as New Mountain Finance Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2019. Management   For   For    
3.    To amend the Amended and Restated Certificate of Incorporation of New Mountain Finance Corporation to increase the number of authorized shares of common stock. Management   For   For    
MEDLEY CAPITAL CORPORATION    
Security 58503F106           Meeting Type Special
Ticker Symbol MCC                       Meeting Date 19-Apr-2019  
ISIN US58503F1066           Agenda 934918244 - Management
Record Date 21-Dec-2018           Holding Recon Date 21-Dec-2018  
City / Country     / United States         Vote Deadline Date 18-Apr-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve the adoption of the Agreement and Plan of Merger (the "MCC Merger Agreement"), dated as of August 9, 2018, by and between Medley Capital Corporation ("MCC") and Sierra Income Corporation ("Sierra"), pursuant to which MCC will merge with and into Sierra, with Sierra continuing as the surviving company in the merger. Management   For   For    
2.    To approve the adjournment of the special meeting of stockholders of MCC (the "MCC Special Meeting"), if necessary or appropriate, to solicit additional proxies if there are not sufficient votes at the time of the MCC Special Meeting to approve the adoption of the MCC Merger Agreement. Management   For   For    
TRIPLEPOINT VENTURE GROWTH BDC CORP.    
Security 89677Y100           Meeting Type Annual  
Ticker Symbol TPVG                      Meeting Date 26-Apr-2019  
ISIN US89677Y1001           Agenda 934956357 - Management
Record Date 13-Mar-2019           Holding Recon Date 13-Mar-2019  
City / Country     / United States         Vote Deadline Date 25-Apr-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Gilbert E. Ahye       For   For    
    2 Steven P. Bird       For   For    
2.    To ratify the selection of Deloitte & Touche LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Management   For   For    
BLACKROCK CAPITAL INVESTMENT CORPORATION    
Security 092533108           Meeting Type Annual  
Ticker Symbol BKCC                      Meeting Date 03-May-2019  
ISIN US0925331086           Agenda 934960988 - Management
Record Date 05-Mar-2019           Holding Recon Date 05-Mar-2019  
City / Country     / United States         Vote Deadline Date 02-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Mark S. Lies       For   For    
    2 Maureen K. Usifer       For   For    
    3 James E. Keenan       For   For    
2.    To ratify the selection of Deloitte & Touche LLP to serve as the Company's independent registered public accounting firm for the year ending December 31, 2019 Management   For   For    
MAIN STREET CAPITAL CORPORATION    
Security 56035L104           Meeting Type Annual  
Ticker Symbol MAIN                      Meeting Date 06-May-2019  
ISIN US56035L1044           Agenda 934941659 - Management
Record Date 06-Mar-2019           Holding Recon Date 06-Mar-2019  
City / Country     / United States         Vote Deadline Date 03-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1a.   Election of Director: Michael Appling, Jr. Management   For   For    
1b.   Election of Director: Valerie L. Banner Management   For   For    
1c.   Election of Director: Joseph E. Canon Management   For   For    
1d.   Election of Director: Arthur L. French Management   For   For    
1e.   Election of Director: J. Kevin Griffin Management   For   For    
1f.   Election of Director: John E. Jackson Management   For   For    
1g.   Election of Director: Brian E. Lane Management   For   For    
1h.   Election of Director: Stephen B. Solcher Management   For   For    
1i.   Election of Director: Vincent D. Foster Management   For   For    
1j.   Election of Director: Dwayne L. Hyzak Management   For   For    
2.    Proposal to ratify the appointment of Grant Thornton LLP as our independent registered public accounting firm for the year ended December 31, 2019. Management   For   For    
3.    Advisory non-binding approval of executive compensation. Management   For   For    
4.    Proposal to approve an amendment to our Articles of Amendment and Restatement to allow our stockholders to amend our bylaws. Management   For   For    
BLACKROCK CAPITAL INVESTMENT CORPORATION    
Security 092533108           Meeting Type Special
Ticker Symbol BKCC                      Meeting Date 08-May-2019  
ISIN US0925331086           Agenda 934960990 - Management
Record Date 05-Mar-2019           Holding Recon Date 05-Mar-2019  
City / Country     / United States         Vote Deadline Date 07-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To Approve a proposal to 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. Management   For   For    
BARINGS BDC, INC.    
Security 06759L103           Meeting Type Annual  
Ticker Symbol BBDC                      Meeting Date 09-May-2019  
ISIN US06759L1035           Agenda 934952107 - Management
Record Date 05-Mar-2019           Holding Recon Date 05-Mar-2019  
City / Country     / United States         Vote Deadline Date 08-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.1   Election of Class I Director: Eric Lloyd Management   For   For    
1.2   Election of Class I Director: Mark F. Mulhern Management   For   For    
2.    To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Management   For   For    
CAPSTEAD MORTGAGE CORPORATION    
Security 14067E506           Meeting Type Annual  
Ticker Symbol CMO                       Meeting Date 15-May-2019  
ISIN US14067E5069           Agenda 934975751 - Management
Record Date 22-Mar-2019           Holding Recon Date 22-Mar-2019  
City / Country     / United States         Vote Deadline Date 14-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1A    Election of Director: John L. (Jack) Bernard Management   For   For    
1B    Election of Director: Jack Biegler Management   For   For    
1C    Election of Director: Michelle P. Goolsby Management   For   For    
1D    Election of Director: Gary Keiser Management   For   For    
1E    Election of Director: Christopher W. Mahowald Management   For   For    
1F    Election of Director: Michael G. O'Neil Management   For   For    
1G    Election of Director: Phillip A. Reinsch Management   For   For    
1H    Election of Director: Mark S. Whiting Management   For   For    
2.    To approve on an advisory (non-binding) basis our 2018 executive compensation. Management   For   For    
3.    To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2019. Management   For   For    
TPG SPECIALTY LENDING, INC.    
Security 87265K102           Meeting Type Annual  
Ticker Symbol TSLX                      Meeting Date 16-May-2019  
ISIN US87265K1025           Agenda 934969140 - Management
Record Date 22-Mar-2019           Holding Recon Date 22-Mar-2019  
City / Country     / United States         Vote Deadline Date 15-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Jennifer Gordon       For   For    
    2 John Ross       For   For    
2.    To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Management   For   For    
TWO HARBORS INVESTMENT CORP.    
Security 90187B408           Meeting Type Annual  
Ticker Symbol TWO                       Meeting Date 16-May-2019  
ISIN US90187B4086           Agenda 934973632 - Management
Record Date 22-Mar-2019           Holding Recon Date 22-Mar-2019  
City / Country     / United States         Vote Deadline Date 15-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1a.   Election of Director: E. Spencer Abraham Management   For   For    
1b.   Election of Director: James J. Bender Management   For   For    
1c.   Election of Director: Karen Hammond Management   For   For    
1d.   Election of Director: Stephen G. Kasnet Management   For   For    
1e.   Election of Director: William Roth Management   For   For    
1f.   Election of Director: W. Reid Sanders Management   For   For    
1g.   Election of Director: Thomas E. Siering Management   For   For    
1h.   Election of Director: James A. Stern Management   For   For    
1i.   Election of Director: Hope B. Woodhouse Management   For   For    
2.    Advisory vote on the compensation of our executive officers. Management   For   For    
3.    Ratification of the appointment of Ernst & Young LLP to serve as our independent registered public accounting firm for our fiscal year ending December 31, 2019. Management   For   For    
GOLDMAN SACHS BDC, INC.    
Security 38147U107           Meeting Type Annual  
Ticker Symbol GSBD                      Meeting Date 17-May-2019  
ISIN US38147U1079           Agenda 934967502 - Management
Record Date 18-Mar-2019           Holding Recon Date 18-Mar-2019  
City / Country     / United States         Vote Deadline Date 16-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Kaysie Uniacke       For   For    
    2 Jaime Ardila       For   For    
2.    To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public  accounting firm for the fiscal year ending December 31, 2019. Management   For   For    
ANNALY CAPITAL MANAGEMENT, INC.    
Security 035710409           Meeting Type Annual  
Ticker Symbol NLY                       Meeting Date 22-May-2019  
ISIN US0357104092           Agenda 934966132 - Management
Record Date 25-Mar-2019           Holding Recon Date 25-Mar-2019  
City / Country     / United States         Vote Deadline Date 21-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1a.   Election of Director: Kevin G. Keyes Management   For   For    
1b.   Election of Director: Thomas Hamilton Management   For   For    
1c.   Election of Director: Kathy Hopinkah Hannan Management   For   For    
1d.   Election of Director: Vicki Williams Management   For   For    
2.    Advisory approval of the company's executive compensation. Management   For   For    
3.    Approval of an amendment of our charter to increase the number of authorized shares of capital stock to 3,000,000,000 shares. Management   For   For    
4.    Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for 2019. Management   For   For    
BLACKROCK TCP CAPITAL CORP.    
Security 09259E108           Meeting Type Annual  
Ticker Symbol TCPC                      Meeting Date 30-May-2019  
ISIN US09259E1082           Agenda 934993735 - Management
Record Date 01-Apr-2019           Holding Recon Date 01-Apr-2019  
City / Country     / United States         Vote Deadline Date 29-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Kathleen A. Corbet       For   For    
    2 Eric J. Draut       For   For    
    3 M. Freddie Reiss       For   For    
    4 Peter E. Schwab       For   For    
    5 Karyn L. Williams       For   For    
    6 Brian F. Wruble       For   For    
    7 Howard M. Levkowitz       For   For    
    8 Rajneesh Vig       For   For    
2.    To consider and vote on a proposal to renew the Company's authorization, with approval of its Board of Directors, to sell shares of the Company's common stock (for up to 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 (including, without limitation, that the number of shares sold on any given date does not exceed 25% of the Company's then outstanding common stock immediately prior to such sale). Management   For   For    
HERCULES CAPITAL INC    
Security 427096508           Meeting Type Annual  
Ticker Symbol HTGC                      Meeting Date 30-May-2019  
ISIN US4270965084           Agenda 935017625 - Management
Record Date 24-Apr-2019           Holding Recon Date 24-Apr-2019  
City / Country     / United States         Vote Deadline Date 29-May-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Joseph F. Hoffman       For   For    
    2 Doreen Woo Ho       For   For    
2.    Approve, on an advisory basis, the compensation of the Company's named executive officers. Management   For   For    
3.    Ratify the selection of PricewaterhouseCoopers LLP to serve as our independent public accounting firm for the year ending December 31, 2019. Management   For   For    
MEDLEY CAPITAL CORPORATION    
Security 58503F106           Meeting Type Contested-Annual  
Ticker Symbol MCC                       Meeting Date 04-Jun-2019  
ISIN US58503F1066           Agenda 935031447 - Management
Record Date 09-Apr-2019           Holding Recon Date 09-Apr-2019  
City / Country     / United States         Vote Deadline Date 03-Jun-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Seth Taube                
    2 Arthur S. Ainsberg                
2.    To ratify the appointment of Ernst & Young LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending September 30, 2019. Management            
MEDLEY CAPITAL CORPORATION    
Security 58503F106           Meeting Type Contested-Annual  
Ticker Symbol MCC                       Meeting Date 04-Jun-2019  
ISIN US58503F1066           Agenda 935032312 - Opposition
Record Date 09-Apr-2019           Holding Recon Date 09-Apr-2019  
City / Country     / United States         Vote Deadline Date 03-Jun-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    DIRECTOR Management            
    1 Stephen A. Mongillo                
    2 Mark T. Goglia                
2.    TO RATIFY THE APPOINTMENT OF ERNST & YOUNG LLP TO SERVE AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING SEPTEMBER 30, 2019. Management            
OFS CAPITAL CORPORATION    
Security 67103B100           Meeting Type Annual  
Ticker Symbol OFS                       Meeting Date 04-Jun-2019  
ISIN US67103B1008           Agenda 934997036 - Management
Record Date 09-Apr-2019           Holding Recon Date 09-Apr-2019  
City / Country     / United States         Vote Deadline Date 03-Jun-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1a.   Election of Class I Director: Elaine E. Healy Management   For   For    
2.    The ratification of the selection by the Audit Committee of our board of directors of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2019. Management   For   For    
ARES CAPITAL CORPORATION    
Security 04010L103           Meeting Type Annual  
Ticker Symbol ARCC                      Meeting Date 10-Jun-2019  
ISIN US04010L1035           Agenda 934999636 - Management
Record Date 08-Apr-2019           Holding Recon Date 08-Apr-2019  
City / Country     / United States         Vote Deadline Date 07-Jun-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1a.   Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: R. Kipp deVeer Management   For   For    
1b.   Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: Daniel G. Kelly, Jr. Management   For   For    
1c.   Election of Class III director of the Company to serve until the 2022 annual meeting of stockholders: Eric B. Siegel Management   For   For    
2.    To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2019. Management   For   For    
TPG SPECIALTY LENDING, INC.    
Security 87265K102           Meeting Type Special
Ticker Symbol TSLX                      Meeting Date 14-Jun-2019  
ISIN US87265K1025           Agenda 934975282 - Management
Record Date 22-Mar-2019           Holding Recon Date 22-Mar-2019  
City / Country     / United States         Vote Deadline Date 13-Jun-2019  
SEDOL(s)         Quick Code    
Item Proposal   Proposed by   Vote   For/Against Management    
1.    To approve a proposal to 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. Management   For   For    
                                 

 

 

 

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 19, 2019      

 

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