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, 2019 - June 30, 2020
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 | |||||||||||||||||||||||||||||||||
| ARES CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 04010L103 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | ARCC | Meeting Date | 08-Jul-2019 | ||||||||||||||||||||||||||||||
| ISIN | US04010L1035 | Agenda | 935002775 - Management | ||||||||||||||||||||||||||||||
| Record Date | 08-Apr-2019 | Holding Recon Date | 08-Apr-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-Jul-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To authorize the Company, with 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, without limitation, that the number of shares issued does not exceed 25% of the Company's then outstanding common stock). | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 450,000 | 0 | 07-Jun-2019 | 09-Jul-2019 | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 272,412 | 0 | 07-Jun-2019 | 09-Jul-2019 | ||||||||||||||||||||||||||
| PORTMAN RIDGE FINANCE CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 73688F102 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | PTMN | Meeting Date | 10-Jul-2019 | ||||||||||||||||||||||||||||||
| ISIN | US73688F1021 | Agenda | 935039758 - Management | ||||||||||||||||||||||||||||||
| Record Date | 16-May-2019 | Holding Recon Date | 16-May-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 09-Jul-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | George Grunebaum | For | For | ||||||||||||||||||||||||||||||
| 2 | Dean C. Kehler | For | For | ||||||||||||||||||||||||||||||
| 3 | David Moffitt | For | For | ||||||||||||||||||||||||||||||
| 2. | To approve, in a non-binding vote, the compensation paid to the Company's named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To ratify the selection of KPMG LLP as the independent registered public accountant of the Company for the fiscal year ending December 31, 2019. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 340,472 | 0 | 25-May-2019 | 11-Jul-2019 | ||||||||||||||||||||||||||
| STELLUS CAPITAL INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 858568108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | SCM | Meeting Date | 22-Jul-2019 | ||||||||||||||||||||||||||||||
| ISIN | US8585681088 | Agenda | 935007511 - Management | ||||||||||||||||||||||||||||||
| Record Date | 05-Apr-2019 | Holding Recon Date | 05-Apr-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Jul-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Dean D'Angelo | For | For | ||||||||||||||||||||||||||||||
| 2 | William C. Repko | 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 NAV per share. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 220,126 | 0 | 24-Apr-2019 | 23-Jul-2019 | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 66,000 | 0 | 24-Apr-2019 | 23-Jul-2019 | ||||||||||||||||||||||||||
| CAPITAL SOUTHWEST CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 140501107 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | CSWC | Meeting Date | 31-Jul-2019 | ||||||||||||||||||||||||||||||
| ISIN | US1405011073 | Agenda | 935055978 - Management | ||||||||||||||||||||||||||||||
| Record Date | 03-Jun-2019 | Holding Recon Date | 03-Jun-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 30-Jul-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | |||||||||||||||||||||||||||||||
| 1 | Christine S. Battist | For | For | ||||||||||||||||||||||||||||||
| 2 | David R. Brooks | For | For | ||||||||||||||||||||||||||||||
| 3 | Bowen S. Diehl | For | For | ||||||||||||||||||||||||||||||
| 4 | Jack D. Furst | For | For | ||||||||||||||||||||||||||||||
| 5 | T. Duane Morgan | For | For | ||||||||||||||||||||||||||||||
| 6 | William R. Thomas III | For | For | ||||||||||||||||||||||||||||||
| 2. | To approve an amendment to Capital Southwest Corporation's Articles of Incorporation (the "Charter") to change from a super-majority to a simple majority voting requirement for amendments to the Charter. | Management | For | For | |||||||||||||||||||||||||||||
| 3. | To approve an amendment to the Charter to change from a super- majority to a simple majority voting requirement for approval of sale or merger of the Company. | Management | For | For | |||||||||||||||||||||||||||||
| 4. | To approve an amendment to the Charter to change from a super-majority to a simple majority voting requirement for removal of a director for "cause." | Management | For | For | |||||||||||||||||||||||||||||
| 5. | To approve an amendment to the Charter to increase the number of authorized shares of common stock. | Management | For | For | |||||||||||||||||||||||||||||
| 6. | To approve, on an advisory basis, the compensation of Capital Southwest Corporation's named executive officers. | Management | For | For | |||||||||||||||||||||||||||||
| 7. | To ratify the appointment of RSM US LLP as Capital Southwest Corporation's independent registered public accounting firm for the fiscal year ending March 31, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 20,238 | 0 | 25-Jun-2019 | 25-Jun-2019 | ||||||||||||||||||||||||||
| APOLLO INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 03761U502 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | AINV | Meeting Date | 06-Aug-2019 | ||||||||||||||||||||||||||||||
| ISIN | US03761U5020 | Agenda | 935055699 - Management | ||||||||||||||||||||||||||||||
| Record Date | 12-Jun-2019 | Holding Recon Date | 12-Jun-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-Aug-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Elliot Stein, Jr. | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Bradley J. Wechsler | Split | Split | ||||||||||||||||||||||||||||||
| 3 | James C. Zelter | Split | Split | ||||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 50,000 | 0 | 05-Aug-2019 | 05-Aug-2019 | ||||||||||||||||||||||||||
| APOLLO INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 03761U502 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | AINV | Meeting Date | 06-Aug-2019 | ||||||||||||||||||||||||||||||
| ISIN | US03761U5020 | Agenda | 935055699 - Management | ||||||||||||||||||||||||||||||
| Record Date | 12-Jun-2019 | Holding Recon Date | 12-Jun-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 05-Aug-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Elliot Stein, Jr. | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Bradley J. Wechsler | Split | Split | ||||||||||||||||||||||||||||||
| 3 | James C. Zelter | Split | Split | ||||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 283,700 | 0 | 05-Aug-2019 | 05-Aug-2019 | ||||||||||||||||||||||||||
| CM FINANCE INC. | |||||||||||||||||||||||||||||||||
| Security | 12574Q103 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | CMFN | Meeting Date | 28-Aug-2019 | ||||||||||||||||||||||||||||||
| ISIN | US12574Q1031 | Agenda | 935062620 - Management | ||||||||||||||||||||||||||||||
| Record Date | 26-Jun-2019 | Holding Recon Date | 26-Jun-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-Aug-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | Approval of a new investment advisory agreement between CM finance Inc and CM investment partners LLC (the "New Advisory Agreement"). | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | 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 New Advisory Agreement. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 130,340 | 0 | 27-Aug-2019 | 27-Aug-2019 | ||||||||||||||||||||||||||
| GOLUB CAPITAL BDC, INC. | |||||||||||||||||||||||||||||||||
| Security | 38173M102 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | GBDC | Meeting Date | 04-Sep-2019 | ||||||||||||||||||||||||||||||
| ISIN | US38173M1027 | Agenda | 935063610 - Management | ||||||||||||||||||||||||||||||
| Record Date | 12-Jul-2019 | Holding Recon Date | 12-Jul-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Sep-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To approve an amendment to the GBDC certificate of incorporation to increase the number of authorized shares of capital stock from 101,000,000 shares to 201,000,000 shares, consisting of 200,000,000 shares of GBDC common stock, par value $0.001 per share ("GBDC Common Stock"), and 1,000,000 shares of preferred stock, par value $0.001 per share (the "Certificate of Incorporation Amendment Proposal"). | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | Contingent upon approval of Certificate of Incorporation Amendment Proposal, to approve issuance of shares of GBDC Common Stock pursuant to Agreement and Plan of Merger dated as of November 27, 2018 (as amended, "Merger Agreement") by and among GBDC, Fifth Ave Subsidiary Inc., a wholly owned subsidiary of GBDC (Merger Sub), Golub Capital Investment Corporation, a Maryland corporation (GCIC), GC Advisors LLC (GC Advisors), and, for certain limited purposes, Golub Capital LLC (such proposal is referred to as the "Merger Stock issuance Proposal") | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | Contingent upon approval of each of the Certificate of Incorporation Amendment Proposal and the Merger Stock Issuance Proposal, to approve the amendment of the investment advisory agreement between GBDC and GC Advisors (as amended, the "New Investment Advisory Agreement") on the terms described in the accompanying proxy statement (such proposal is referred to as the "Advisory Agreement Amendment Proposal"). | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 29,730 | 0 | 03-Sep-2019 | 03-Sep-2019 | ||||||||||||||||||||||||||
| GOLUB CAPITAL BDC, INC. | |||||||||||||||||||||||||||||||||
| Security | 38173M102 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | GBDC | Meeting Date | 04-Sep-2019 | ||||||||||||||||||||||||||||||
| ISIN | US38173M1027 | Agenda | 935063610 - Management | ||||||||||||||||||||||||||||||
| Record Date | 12-Jul-2019 | Holding Recon Date | 12-Jul-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Sep-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To approve an amendment to the GBDC certificate of incorporation to increase the number of authorized shares of capital stock from 101,000,000 shares to 201,000,000 shares, consisting of 200,000,000 shares of GBDC common stock, par value $0.001 per share ("GBDC Common Stock"), and 1,000,000 shares of preferred stock, par value $0.001 per share (the "Certificate of Incorporation Amendment Proposal"). | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | Contingent upon approval of Certificate of Incorporation Amendment Proposal, to approve issuance of shares of GBDC Common Stock pursuant to Agreement and Plan of Merger dated as of November 27, 2018 (as amended, "Merger Agreement") by and among GBDC, Fifth Ave Subsidiary Inc., a wholly owned subsidiary of GBDC (Merger Sub), Golub Capital Investment Corporation, a Maryland corporation (GCIC), GC Advisors LLC (GC Advisors), and, for certain limited purposes, Golub Capital LLC (such proposal is referred to as the "Merger Stock issuance Proposal") | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | Contingent upon approval of each of the Certificate of Incorporation Amendment Proposal and the Merger Stock Issuance Proposal, to approve the amendment of the investment advisory agreement between GBDC and GC Advisors (as amended, the "New Investment Advisory Agreement") on the terms described in the accompanying proxy statement (such proposal is referred to as the "Advisory Agreement Amendment Proposal"). | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 400,000 | 0 | 03-Sep-2019 | 03-Sep-2019 | ||||||||||||||||||||||||||
| SOLAR CAPITAL LTD | |||||||||||||||||||||||||||||||||
| Security | 83413U100 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | SLRC | Meeting Date | 08-Oct-2019 | ||||||||||||||||||||||||||||||
| ISIN | US83413U1007 | Agenda | 935072443 - Management | ||||||||||||||||||||||||||||||
| Record Date | 13-Aug-2019 | Holding Recon Date | 13-Aug-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 07-Oct-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | David S. Wachter | Split | Split | ||||||||||||||||||||||||||||||
| 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 | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 295,709 | 0 | 07-Oct-2019 | 07-Oct-2019 | ||||||||||||||||||||||||||
| INVESTCORP CREDIT MANAGEMENT BDC, INC | |||||||||||||||||||||||||||||||||
| Security | 46090R104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | ICMB | Meeting Date | 05-Dec-2019 | ||||||||||||||||||||||||||||||
| ISIN | US46090R1041 | Agenda | 935092673 - Management | ||||||||||||||||||||||||||||||
| Record Date | 17-Sep-2019 | Holding Recon Date | 17-Sep-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 04-Dec-2019 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Michael C. Mauer | Split | Split | ||||||||||||||||||||||||||||||
| 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. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 130,340 | 0 | 05-Nov-2019 | 04-Dec-2019 | ||||||||||||||||||||||||||
| ALCENTRA CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 01374T102 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | ABDC | Meeting Date | 29-Jan-2020 | ||||||||||||||||||||||||||||||
| ISIN | US01374T1025 | Agenda | 935115837 - Management | ||||||||||||||||||||||||||||||
| Record Date | 29-Nov-2019 | Holding Recon Date | 29-Nov-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Jan-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To approve the merger of a wholly-owned subsidiary of Crescent Capital BDC, Inc. with and into the Company, as contemplated by the Agreement and Plan of Merger, dated August 12, 2019, as amended, by and among Crescent Capital BDC, Inc., Atlantis Acquisition Sub, Inc., the Company and Crescent Cap Advisors, LLC ("Proposal 1"). | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | To approve the adjournment of the Special Meeting to another time and place to permit further solicitation of proxies, if necessary or appropriate, to obtain additional proxies if there are not sufficient votes to approve Proposal 1. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 62,877 | 0 | 28-Jan-2020 | 28-Jan-2020 | ||||||||||||||||||||||||||
| ALCENTRA CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 01374T102 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | ABDC | Meeting Date | 29-Jan-2020 | ||||||||||||||||||||||||||||||
| ISIN | US01374T1025 | Agenda | 935115837 - Management | ||||||||||||||||||||||||||||||
| Record Date | 29-Nov-2019 | Holding Recon Date | 29-Nov-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-Jan-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To approve the merger of a wholly-owned subsidiary of Crescent Capital BDC, Inc. with and into the Company, as contemplated by the Agreement and Plan of Merger, dated August 12, 2019, as amended, by and among Crescent Capital BDC, Inc., Atlantis Acquisition Sub, Inc., the Company and Crescent Cap Advisors, LLC ("Proposal 1"). | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | To approve the adjournment of the Special Meeting to another time and place to permit further solicitation of proxies, if necessary or appropriate, to obtain additional proxies if there are not sufficient votes to approve Proposal 1. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 109,910 | 0 | 28-Jan-2020 | 28-Jan-2020 | ||||||||||||||||||||||||||
| GOLUB CAPITAL BDC, INC. | |||||||||||||||||||||||||||||||||
| Security | 38173M102 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | GBDC | Meeting Date | 04-Feb-2020 | ||||||||||||||||||||||||||||||
| ISIN | US38173M1027 | Agenda | 935116649 - Management | ||||||||||||||||||||||||||||||
| Record Date | 10-Dec-2019 | Holding Recon Date | 10-Dec-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Feb-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class I Director: David B. Golub | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Class I Director: Anita R. Rosenberg | Management | Split | Split | |||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 400,000 | 0 | 04-Feb-2020 | 04-Feb-2020 | ||||||||||||||||||||||||||
| GOLUB CAPITAL BDC, INC. | |||||||||||||||||||||||||||||||||
| Security | 38173M102 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | GBDC | Meeting Date | 04-Feb-2020 | ||||||||||||||||||||||||||||||
| ISIN | US38173M1027 | Agenda | 935116649 - Management | ||||||||||||||||||||||||||||||
| Record Date | 10-Dec-2019 | Holding Recon Date | 10-Dec-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Feb-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class I Director: David B. Golub | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Class I Director: Anita R. Rosenberg | Management | Split | Split | |||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 29,730 | 0 | 04-Feb-2020 | 04-Feb-2020 | ||||||||||||||||||||||||||
| PENNANTPARK FLOATING RATE CAPITAL LTD. | |||||||||||||||||||||||||||||||||
| Security | 70806A106 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | PFLT | Meeting Date | 04-Feb-2020 | ||||||||||||||||||||||||||||||
| ISIN | US70806A1060 | Agenda | 935115697 - Management | ||||||||||||||||||||||||||||||
| Record Date | 20-Nov-2019 | Holding Recon Date | 20-Nov-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 03-Feb-2020 | ||||||||||||||||||||||||||||
| 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, 2020. | Management | For | For | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 20,000 | 0 | 18-Dec-2019 | 18-Dec-2019 | ||||||||||||||||||||||||||
| PENNANTPARK INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 708062104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | PNNT | Meeting Date | 17-Mar-2020 | ||||||||||||||||||||||||||||||
| ISIN | US7080621045 | Agenda | 935118768 - Management | ||||||||||||||||||||||||||||||
| Record Date | 20-Nov-2019 | Holding Recon Date | 20-Nov-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Mar-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Marshall Brozost | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Samuel Katz | Split | Split | ||||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 619,501 | 0 | 03-Feb-2020 | 16-Mar-2020 | ||||||||||||||||||||||||||
| PENNANTPARK INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 708062104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | PNNT | Meeting Date | 17-Mar-2020 | ||||||||||||||||||||||||||||||
| ISIN | US7080621045 | Agenda | 935118768 - Management | ||||||||||||||||||||||||||||||
| Record Date | 20-Nov-2019 | Holding Recon Date | 20-Nov-2019 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Mar-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Marshall Brozost | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Samuel Katz | Split | Split | ||||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 135,580 | 0 | 03-Feb-2020 | 16-Mar-2020 | ||||||||||||||||||||||||||
| NEW MOUNTAIN FINANCE CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 647551100 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | NMFC | Meeting Date | 22-Apr-2020 | ||||||||||||||||||||||||||||||
| ISIN | US6475511001 | Agenda | 935144876 - Management | ||||||||||||||||||||||||||||||
| Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Steven B. Klinsky | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Daniel B. Hébert | Split | Split | ||||||||||||||||||||||||||||||
| 3 | Rome G. Arnold III | Split | Split | ||||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 565,164 | 0 | 21-Apr-2020 | 21-Apr-2020 | ||||||||||||||||||||||||||
| NEW MOUNTAIN FINANCE CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 647551100 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | NMFC | Meeting Date | 22-Apr-2020 | ||||||||||||||||||||||||||||||
| ISIN | US6475511001 | Agenda | 935144876 - Management | ||||||||||||||||||||||||||||||
| Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 21-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Steven B. Klinsky | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Daniel B. Hébert | Split | Split | ||||||||||||||||||||||||||||||
| 3 | Rome G. Arnold III | Split | Split | ||||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 12,400 | 0 | 21-Apr-2020 | 21-Apr-2020 | ||||||||||||||||||||||||||
| BARINGS BDC, INC. | |||||||||||||||||||||||||||||||||
| Security | 06759L103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 30-Apr-2020 | ||||||||||||||||||||||||||||||
| ISIN | US06759L1035 | Agenda | 935146046 - Management | ||||||||||||||||||||||||||||||
| Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class II Director: Michael Freno | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Class II Director: John A. Switzer | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 400,000 | 0 | 29-Apr-2020 | 29-Apr-2020 | ||||||||||||||||||||||||||
| BARINGS BDC, INC. | |||||||||||||||||||||||||||||||||
| Security | 06759L103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | BBDC | Meeting Date | 30-Apr-2020 | ||||||||||||||||||||||||||||||
| ISIN | US06759L1035 | Agenda | 935146046 - Management | ||||||||||||||||||||||||||||||
| Record Date | 03-Mar-2020 | Holding Recon Date | 03-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class II Director: Michael Freno | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Class II Director: John A. Switzer | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | To authorize the Company, with subsequent approval of its Board of Directors, to issue and sell shares of its common stock at a price below its then current net asset value per share in one or more offerings, subject to certain limitations (including, without limitation, that the number of shares does not exceed 25% of its then outstanding common stock immediately prior to each such offering). | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 227,594 | 0 | 29-Apr-2020 | 29-Apr-2020 | ||||||||||||||||||||||||||
| BLACKROCK CAPITAL INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 092533108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | BKCC | Meeting Date | 01-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US0925331086 | Agenda | 935153027 - Management | ||||||||||||||||||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 30-Apr-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | John R. Baron | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Jerrold B. Harris | Split | Split | ||||||||||||||||||||||||||||||
| 2. | To consider and vote upon a proposal to allow the Company 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 Annual Meeting, which would permit the Company to double the maximum amount of leverage that it is currently permitted to incur. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 308,858 | 0 | 30-Apr-2020 | 30-Apr-2020 | ||||||||||||||||||||||||||
| CRESCENT CAPITAL BDC INC | |||||||||||||||||||||||||||||||||
| Security | 225655109 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | CCAP | Meeting Date | 04-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US2256551092 | Agenda | 935186684 - Management | ||||||||||||||||||||||||||||||
| Record Date | 30-Mar-2020 | Holding Recon Date | 30-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class I Director for a two-year term: Kathleen S. Briscoe | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Class II Director for a three-year term: Michael S. Segal | Management | Split | Split | |||||||||||||||||||||||||||||
| 1C. | Election of Class II Director for a three-year term: John S. Bowman | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | To ratify the selection of Ernst & Young LLP ("E&Y") as the Corporation's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | To consider and vote upon a proposal to allow the Corporation to increase leverage by approving the application to the Corporation 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 Annual Meeting, which would permit the Corporation to double the maximum amount of leverage that it is currently permitted to incur. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 25,408 | 0 | 01-May-2020 | 01-May-2020 | ||||||||||||||||||||||||||
| MAIN STREET CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 56035L104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | MAIN | Meeting Date | 04-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US56035L1044 | Agenda | 935139471 - Management | ||||||||||||||||||||||||||||||
| Record Date | 04-Mar-2020 | Holding Recon Date | 04-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Valerie L. Banner | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Arthur L. French | Management | Split | Split | |||||||||||||||||||||||||||||
| 1C. | Election of Director: J. Kevin Griffin | Management | Split | Split | |||||||||||||||||||||||||||||
| 1D. | Election of Director: John E. Jackson | Management | Split | Split | |||||||||||||||||||||||||||||
| 1E. | Election of Director: Brian E. Lane | Management | Split | Split | |||||||||||||||||||||||||||||
| 1F. | Election of Director: Kay Matthews | Management | Split | Split | |||||||||||||||||||||||||||||
| 1G. | Election of Director: Dunia A. Shive | Management | Split | Split | |||||||||||||||||||||||||||||
| 1H. | Election of Director: Stephen B. Solcher | Management | Split | Split | |||||||||||||||||||||||||||||
| 1I. | Election of Director: Vincent D. Foster | Management | Split | Split | |||||||||||||||||||||||||||||
| 1J. | Election of Director: Dwayne L. Hyzak | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | Proposal to ratify the appointment of Grant Thornton LLP as our independent registered public accounting firm for the year ended December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | Advisory non-binding approval of executive compensation. | Management | Split | Split | |||||||||||||||||||||||||||||
| 4. | Proposal to approve an amendment to our Articles of Amendment and Restatement to allow our stockholders to amend our bylaws. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 39,044 | 0 | 01-May-2020 | 01-May-2020 | ||||||||||||||||||||||||||
| MAIN STREET CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 56035L104 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | MAIN | Meeting Date | 04-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US56035L1044 | Agenda | 935139471 - Management | ||||||||||||||||||||||||||||||
| Record Date | 04-Mar-2020 | Holding Recon Date | 04-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 01-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Valerie L. Banner | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Arthur L. French | Management | Split | Split | |||||||||||||||||||||||||||||
| 1C. | Election of Director: J. Kevin Griffin | Management | Split | Split | |||||||||||||||||||||||||||||
| 1D. | Election of Director: John E. Jackson | Management | Split | Split | |||||||||||||||||||||||||||||
| 1E. | Election of Director: Brian E. Lane | Management | Split | Split | |||||||||||||||||||||||||||||
| 1F. | Election of Director: Kay Matthews | Management | Split | Split | |||||||||||||||||||||||||||||
| 1G. | Election of Director: Dunia A. Shive | Management | Split | Split | |||||||||||||||||||||||||||||
| 1H. | Election of Director: Stephen B. Solcher | Management | Split | Split | |||||||||||||||||||||||||||||
| 1I. | Election of Director: Vincent D. Foster | Management | Split | Split | |||||||||||||||||||||||||||||
| 1J. | Election of Director: Dwayne L. Hyzak | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | Proposal to ratify the appointment of Grant Thornton LLP as our independent registered public accounting firm for the year ended December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | Advisory non-binding approval of executive compensation. | Management | Split | Split | |||||||||||||||||||||||||||||
| 4. | Proposal to approve an amendment to our Articles of Amendment and Restatement to allow our stockholders to amend our bylaws. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 10,063 | 0 | 01-May-2020 | 01-May-2020 | ||||||||||||||||||||||||||
| CAPSTEAD MORTGAGE CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 14067E506 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | CMO | Meeting Date | 12-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US14067E5069 | Agenda | 935157556 - Management | ||||||||||||||||||||||||||||||
| Record Date | 18-Mar-2020 | Holding Recon Date | 18-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1.1 | Election of Director: Jack Biegler | Management | Split | Split | |||||||||||||||||||||||||||||
| 1.2 | Election of Director: Michelle P. Goolsby | Management | Split | Split | |||||||||||||||||||||||||||||
| 1.3 | Election of Director: Gary Keiser | Management | Split | Split | |||||||||||||||||||||||||||||
| 1.4 | Election of Director: Christopher W. Mahowald | Management | Split | Split | |||||||||||||||||||||||||||||
| 1.5 | Election of Director: Michael G. O'Neil | Management | Split | Split | |||||||||||||||||||||||||||||
| 1.6 | Election of Director: Phillip A. Reinsch | Management | Split | Split | |||||||||||||||||||||||||||||
| 1.7 | Election of Director: Mark S. Whiting | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | To approve on an advisory (non-binding) basis our 2019 executive compensation. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | To ratify the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 108,500 | 0 | 11-May-2020 | 11-May-2020 | ||||||||||||||||||||||||||
| BLACKROCK CAPITAL INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 092533108 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | BKCC | Meeting Date | 15-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US0925331086 | Agenda | 935153229 - Management | ||||||||||||||||||||||||||||||
| Record Date | 02-Mar-2020 | Holding Recon Date | 02-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 14-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | 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 of stockholders (including that the cumulative number of shares sold pursuant to such authority does not exceed 25% of the Company's then outstanding common stock immediately prior to each such sale). | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 308,858 | 0 | 30-Apr-2020 | 14-May-2020 | ||||||||||||||||||||||||||
| TWO HARBORS INVESTMENT CORP. | |||||||||||||||||||||||||||||||||
| Security | 90187B408 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | TWO | Meeting Date | 21-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US90187B4086 | Agenda | 935171354 - Management | ||||||||||||||||||||||||||||||
| Record Date | 27-Mar-2020 | Holding Recon Date | 27-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 20-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: E. Spencer Abraham | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Director: James J. Bender | Management | Split | Split | |||||||||||||||||||||||||||||
| 1C. | Election of Director: Karen Hammond | Management | Split | Split | |||||||||||||||||||||||||||||
| 1D. | Election of Director: Stephen G. Kasnet | Management | Split | Split | |||||||||||||||||||||||||||||
| 1E. | Election of Director: W. Reid Sanders | Management | Split | Split | |||||||||||||||||||||||||||||
| 1F. | Election of Director: Thomas E. Siering | Management | Split | Split | |||||||||||||||||||||||||||||
| 1G. | Election of Director: James A. Stern | Management | Split | Split | |||||||||||||||||||||||||||||
| 1H. | Election of Director: Hope B. Woodhouse | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | Advisory vote on the compensation of our executive officers. | Management | Split | Split | |||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 334,949 | 0 | 20-May-2020 | 20-May-2020 | ||||||||||||||||||||||||||
| BLACKROCK TCP CAPITAL CORP. | |||||||||||||||||||||||||||||||||
| Security | 09259E108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | TCPC | Meeting Date | 27-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US09259E1082 | Agenda | 935184488 - Management | ||||||||||||||||||||||||||||||
| Record Date | 30-Mar-2020 | Holding Recon Date | 30-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Kathleen A. Corbet | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Eric J. Draut | Split | Split | ||||||||||||||||||||||||||||||
| 3 | M. Freddie Reiss | Split | Split | ||||||||||||||||||||||||||||||
| 4 | Peter E. Schwab | Split | Split | ||||||||||||||||||||||||||||||
| 5 | Karyn L. Williams | Split | Split | ||||||||||||||||||||||||||||||
| 6 | Brian F. Wruble | Split | Split | ||||||||||||||||||||||||||||||
| 7 | Howard M. Levkowitz | Split | Split | ||||||||||||||||||||||||||||||
| 8 | Rajneesh Vig | Split | Split | ||||||||||||||||||||||||||||||
| 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 | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 50,000 | 0 | 26-May-2020 | 26-May-2020 | ||||||||||||||||||||||||||
| BLACKROCK TCP CAPITAL CORP. | |||||||||||||||||||||||||||||||||
| Security | 09259E108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | TCPC | Meeting Date | 27-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US09259E1082 | Agenda | 935184488 - Management | ||||||||||||||||||||||||||||||
| Record Date | 30-Mar-2020 | Holding Recon Date | 30-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 26-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Kathleen A. Corbet | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Eric J. Draut | Split | Split | ||||||||||||||||||||||||||||||
| 3 | M. Freddie Reiss | Split | Split | ||||||||||||||||||||||||||||||
| 4 | Peter E. Schwab | Split | Split | ||||||||||||||||||||||||||||||
| 5 | Karyn L. Williams | Split | Split | ||||||||||||||||||||||||||||||
| 6 | Brian F. Wruble | Split | Split | ||||||||||||||||||||||||||||||
| 7 | Howard M. Levkowitz | Split | Split | ||||||||||||||||||||||||||||||
| 8 | Rajneesh Vig | Split | Split | ||||||||||||||||||||||||||||||
| 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 | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 281,863 | 0 | 26-May-2020 | 26-May-2020 | ||||||||||||||||||||||||||
| TPG SPECIALTY LENDING, INC. | |||||||||||||||||||||||||||||||||
| Security | 87265K102 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | TSLX | Meeting Date | 28-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US87265K1025 | Agenda | 935183335 - Management | ||||||||||||||||||||||||||||||
| Record Date | 30-Mar-2020 | Holding Recon Date | 30-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | ||||||||||||||||||||||||||||
| 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 | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 106,751 | 0 | 27-May-2020 | 27-May-2020 | ||||||||||||||||||||||||||
| TPG SPECIALTY LENDING, INC. | |||||||||||||||||||||||||||||||||
| Security | 87265K102 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | TSLX | Meeting Date | 28-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US87265K1025 | Agenda | 935185175 - Management | ||||||||||||||||||||||||||||||
| Record Date | 30-Mar-2020 | Holding Recon Date | 30-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 27-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Hurley Doddy | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Joshua Easterly | Split | Split | ||||||||||||||||||||||||||||||
| 3 | Michael Fishman | Split | Split | ||||||||||||||||||||||||||||||
| 2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 106,751 | 0 | 27-May-2020 | 27-May-2020 | ||||||||||||||||||||||||||
| TRIPLEPOINT VENTURE GROWTH BDC CORP. | |||||||||||||||||||||||||||||||||
| Security | 89677Y100 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | TPVG | Meeting Date | 29-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US89677Y1001 | Agenda | 935183133 - Management | ||||||||||||||||||||||||||||||
| Record Date | 06-Apr-2020 | Holding Recon Date | 06-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class III Director to serve until the 2023 Annual Meeting: James P. Labe | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Class III Director to serve until the 2023 Annual Meeting: Cynthia M. Fornelli | Management | Split | Split | |||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 473,845 | 0 | 30-Apr-2020 | 28-May-2020 | ||||||||||||||||||||||||||
| TRIPLEPOINT VENTURE GROWTH BDC CORP. | |||||||||||||||||||||||||||||||||
| Security | 89677Y100 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | TPVG | Meeting Date | 29-May-2020 | ||||||||||||||||||||||||||||||
| ISIN | US89677Y1001 | Agenda | 935183133 - Management | ||||||||||||||||||||||||||||||
| Record Date | 06-Apr-2020 | Holding Recon Date | 06-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 28-May-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Class III Director to serve until the 2023 Annual Meeting: James P. Labe | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Class III Director to serve until the 2023 Annual Meeting: Cynthia M. Fornelli | Management | Split | Split | |||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 10,000 | 0 | 30-Apr-2020 | 28-May-2020 | ||||||||||||||||||||||||||
| OFS CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 67103B100 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | OFS | Meeting Date | 09-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US67103B1008 | Agenda | 935200787 - Management | ||||||||||||||||||||||||||||||
| Record Date | 15-Apr-2020 | Holding Recon Date | 15-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 08-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Robert J. Cresci | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Bilal Rashid | Split | Split | ||||||||||||||||||||||||||||||
| 2. | The ratification of the selection of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 287,084 | 0 | 08-Jun-2020 | 08-Jun-2020 | ||||||||||||||||||||||||||
| HERCULES CAPITAL INC | |||||||||||||||||||||||||||||||||
| Security | 427096508 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | HTGC | Meeting Date | 12-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US4270965084 | Agenda | 935208377 - Management | ||||||||||||||||||||||||||||||
| Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | To authorize Hercules Capital, Inc., with 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 certain limitations set forth in the proxy statement (including without limitation, that the number of shares issued does not exceed 25% of its then outstanding common stock). | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 350,000 | 0 | 11-Jun-2020 | 11-Jun-2020 | ||||||||||||||||||||||||||
| HERCULES CAPITAL INC | |||||||||||||||||||||||||||||||||
| Security | 427096508 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | HTGC | Meeting Date | 12-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US4270965084 | Agenda | 935213948 - Management | ||||||||||||||||||||||||||||||
| Record Date | 20-Apr-2020 | Holding Recon Date | 20-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 11-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Robert P. Badavas | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Carol L. Foster | Split | Split | ||||||||||||||||||||||||||||||
| 2. | Approve, on an advisory basis, the compensation of the Company's named executive officers. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | Ratify the selection of PricewaterhouseCoopers LLP to serve as our independent public accounting firm for the year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 350,000 | 0 | 11-Jun-2020 | 11-Jun-2020 | ||||||||||||||||||||||||||
| GOLDMAN SACHS BDC, INC. | |||||||||||||||||||||||||||||||||
| Security | 38147U107 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | GSBD | Meeting Date | 17-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US38147U1079 | Agenda | 935220866 - Management | ||||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 16-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Ross J. Kari | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Ann B. Lane | Split | Split | ||||||||||||||||||||||||||||||
| 2. | To ratify the selection of PricewaterhouseCoopers LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 108,063 | 0 | 16-Jun-2020 | 16-Jun-2020 | ||||||||||||||||||||||||||
| ARES CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 04010L103 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | ARCC | Meeting Date | 22-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US04010L1035 | Agenda | 935167999 - Management | ||||||||||||||||||||||||||||||
| Record Date | 25-Mar-2020 | Holding Recon Date | 25-Mar-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 19-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1A. | Election of Director: Michael J Arougheti | Management | Split | Split | |||||||||||||||||||||||||||||
| 1B. | Election of Director: Ann Torre Bates | Management | Split | Split | |||||||||||||||||||||||||||||
| 1C. | Election of Director: Steven B McKeever | Management | Split | Split | |||||||||||||||||||||||||||||
| 2. | To ratify the selection of KPMG LLP as the Company's independent registered public accounting firm for the year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 250,000 | 0 | 19-Jun-2020 | 19-Jun-2020 | ||||||||||||||||||||||||||
| OFS CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 67103B100 | Meeting Type | Special | ||||||||||||||||||||||||||||||
| Ticker Symbol | OFS | Meeting Date | 23-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US67103B1008 | Agenda | 935204975 - Management | ||||||||||||||||||||||||||||||
| Record Date | 15-Apr-2020 | Holding Recon Date | 15-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 22-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | 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 of stockholders (including that the cumulative number of shares sold pursuant to such authority does not exceed 25% of the Company's then outstanding common stock immediately prior to each such sale). | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 287,084 | 0 | 08-Jun-2020 | 22-Jun-2020 | ||||||||||||||||||||||||||
| PORTMAN RIDGE FINANCE CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 73688F102 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | PTMN | Meeting Date | 24-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US73688F1021 | Agenda | 935213354 - Management | ||||||||||||||||||||||||||||||
| Record Date | 27-Apr-2020 | Holding Recon Date | 27-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 23-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Graeme Dell | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Robert Warshauer | Split | Split | ||||||||||||||||||||||||||||||
| 2. | To ratify the appointment of KPMG LLP as the independent registered public accountant of the Company for the fiscal year ending December 31, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | To approve, in a non-binding vote, the compensation paid to the Company's named executive officers for the fiscal year ended December 31, 2019. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 340,472 | 0 | 23-Jun-2020 | 23-Jun-2020 | ||||||||||||||||||||||||||
| STELLUS CAPITAL INVESTMENT CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 858568108 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | SCM | Meeting Date | 25-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US8585681088 | Agenda | 935197308 - Management | ||||||||||||||||||||||||||||||
| Record Date | 03-Apr-2020 | Holding Recon Date | 03-Apr-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 24-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Joshua T. Davis | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Bruce R. Bilger | Split | Split | ||||||||||||||||||||||||||||||
| 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 NAV per share. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | To approve the adjournment of the Annual Meeting, if necessary or appropriate, to solicit additional proxies. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736385 | FT SFFO FUND FBO BNP | 736385 | BNY MELLON | 286,126 | 0 | 24-Jun-2020 | 24-Jun-2020 | ||||||||||||||||||||||||||
| MEDLEY CAPITAL CORPORATION | |||||||||||||||||||||||||||||||||
| Security | 58503F106 | Meeting Type | Annual | ||||||||||||||||||||||||||||||
| Ticker Symbol | MCC | Meeting Date | 30-Jun-2020 | ||||||||||||||||||||||||||||||
| ISIN | US58503F1066 | Agenda | 935233813 - Management | ||||||||||||||||||||||||||||||
| Record Date | 11-May-2020 | Holding Recon Date | 11-May-2020 | ||||||||||||||||||||||||||||||
| City / | Country | / | United States | Vote Deadline Date | 29-Jun-2020 | ||||||||||||||||||||||||||||
| SEDOL(s) | Quick Code | ||||||||||||||||||||||||||||||||
| Item | Proposal | Proposed by | Vote | For/Against Management | |||||||||||||||||||||||||||||
| 1. | DIRECTOR | Management | Split | Split | |||||||||||||||||||||||||||||
| 1 | Brook Taube | Split | Split | ||||||||||||||||||||||||||||||
| 2 | Karin Hirtler-Garvey | Split | Split | ||||||||||||||||||||||||||||||
| 3 | Lowell W. Robinson | Split | Split | ||||||||||||||||||||||||||||||
| 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, 2020. | Management | Split | Split | |||||||||||||||||||||||||||||
| 3. | To grant discretionary authority to the board of directors of the Company (the "Board") to amend the Company's Certificate of Incorporation to effect a reverse stock split of its common stock of 1-20 and with the reverse stock split to be effective at such time and date, if at all, as determined by the Board, but not later than 60 days after stockholder approval thereof and, if and when the reverse stock split is effected, reduce the number of authorized shares of common stock by the approved reverse stock split ratio. | Management | Split | Split | |||||||||||||||||||||||||||||
| Account Number | Account Name | Internal Account | Custodian | Ballot Shares | Unavailable Shares | Vote Date | Date Confirmed | ||||||||||||||||||||||||||
| 000736386 | FT SPEC FIN & FINANCIAL OPP FUND | 000736386 | BNY MELLON | 466,714 | 0 | 29-Jun-2020 | 29-Jun-2020 | ||||||||||||||||||||||||||
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 9, 2020 | |||
* Print the name and title of each signing officer under his or her signature.