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, 2020 - June 30, 2021

 

 

 

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
  CAPITAL SOUTHWEST CORPORATION        
  Security 140501107                   Meeting Type   Annual  
  Ticker Symbol CSWC                              Meeting Date   29-Jul-2020  
  ISIN US1405011073                   Agenda   935235160 - Management
  Record Date 01-Jun-2020                   Holding Recon Date   01-Jun-2020  
  City / Country     / United States             Vote Deadline Date   28-Jul-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Christine S. Battist           Split     Split          
        2 David R. Brooks           Split     Split          
        3 Bowen S. Diehl           Split     Split          
        4 Jack D. Furst           Split     Split          
        5 T. Duane Morgan           Split     Split          
        6 William R. Thomas           Split     Split          
  2.    To approve, on an advisory basis, the compensation of Capital Southwest Corporation's named executive officers. Management     Split     Split          
  3.    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, 2021. 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 20,238   0 28-Jul-2020 28-Jul-2020  
  APOLLO INVESTMENT CORPORATION        
  Security 03761U502                   Meeting Type   Annual  
  Ticker Symbol AINV                              Meeting Date   11-Aug-2020  
  ISIN US03761U5020                   Agenda   935241694 - Management
  Record Date 12-Jun-2020                   Holding Recon Date   12-Jun-2020  
  City / Country     / United States             Vote Deadline Date   10-Aug-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Jeanette W. Loeb           Split     Split          
        2 Frank C. Puleo           Split     Split          
        3 Howard T. Widra           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, 2021. 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 133,700   0 10-Aug-2020 10-Aug-2020  
  ARES CAPITAL CORPORATION        
  Security 04010L103                   Meeting Type   Special 
  Ticker Symbol ARCC                              Meeting Date   13-Aug-2020  
  ISIN US04010L1035                   Agenda   935238077 - Management
  Record Date 05-Jun-2020                   Holding Recon Date   05-Jun-2020  
  City / Country     / United States             Vote Deadline Date   12-Aug-2020  
  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     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 12-Aug-2020 12-Aug-2020  
  GOLDMAN SACHS BDC, INC.        
  Security 38147U107                   Meeting Type   Special 
  Ticker Symbol GSBD                              Meeting Date   02-Oct-2020  
  ISIN US38147U1079                   Agenda   935259615 - Management
  Record Date 03-Aug-2020                   Holding Recon Date   03-Aug-2020  
  City / Country     / United States             Vote Deadline Date   01-Oct-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    Adopt the Amended and Restated Agreement and Plan of Merger, dated as of June 11, 2020 (the "Merger Agreement"), by and among Goldman Sachs BDC, Inc., ("GSBD"), Goldman Sachs Middle Market Lending Corp., Evergreen Merger Sub Inc., a wholly owned direct subsidiary of GSBD, and Goldman Sachs Asset Management, L.P., (such proposal is referred to herein as the "GSBD Merger Proposal"), which proposal is contingent upon approval of each of the proposals listed below. Management     Split     Split          
  2.    Approve an amended and restated certificate of incorporation of GSBD, which would restrict stockholders that acquire shares of GSBD Common Stock (as defined below) pursuant to the merger from transferring such shares for certain periods of time (such proposal is referred to herein as the "GSBD Charter Amendment Proposal"), which proposal is contingent upon approval of the GSBD Merger Proposal and the proposal listed below. Management     Split     Split          
  3.    Approve the issuance of shares of GSBD common stock, $0.001 par value per share ("GSBD Common Stock"), pursuant to the Merger Agreement (such proposal is referred to herein as the "Merger Stock Issuance Proposal"), which proposal is contingent upon approval of each of the GSBD Merger Proposal and the GSBD Charter 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 108,063   0 01-Oct-2020 01-Oct-2020  
  SOLAR CAPITAL LTD        
  Security 83413U100                   Meeting Type   Annual  
  Ticker Symbol SLRC                              Meeting Date   06-Oct-2020  
  ISIN US83413U1007                   Agenda   935263626 - Management
  Record Date 11-Aug-2020                   Holding Recon Date   11-Aug-2020  
  City / Country     / United States             Vote Deadline Date   05-Oct-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Bruce Spohler           Split     Split          
        2 Steven Hochberg           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 195,709   0 05-Oct-2020 05-Oct-2020  
  PORTMAN RIDGE FINANCE CORPORATION        
  Security 73688F102                   Meeting Type   Special 
  Ticker Symbol PTMN                              Meeting Date   19-Oct-2020  
  ISIN US73688F1021                   Agenda   935269565 - Management
  Record Date 27-Aug-2020                   Holding Recon Date   27-Aug-2020  
  City / Country     / United States             Vote Deadline Date   16-Oct-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    To approve the issuance of shares of Common Stock to be issued pursuant to the Agreement and Plan of Merger, dated as of June 24, 2020, by and among the Company, Citadel Acquisition Sub Inc., Garrison Capital Inc. and Sierra Crest Investment Management LLC. Management     Split     Split          
  2.    To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Special Meeting 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 340,472   0 16-Oct-2020 16-Oct-2020  
  INVESTCORP CREDIT MANAGEMENT BDC, INC        
  Security 46090R104                   Meeting Type   Annual  
  Ticker Symbol ICMB                              Meeting Date   03-Nov-2020  
  ISIN US46090R1041                   Agenda   935279554 - Management
  Record Date 15-Sep-2020                   Holding Recon Date   15-Sep-2020  
  City / Country     / United States             Vote Deadline Date   02-Nov-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Julie Persily           Split     Split          
        2 Lee Shaiman           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 02-Nov-2020 02-Nov-2020  
  CRESCENT CAPITAL BDC, INC.        
  Security 225655109                   Meeting Type   Special 
  Ticker Symbol CCAP                              Meeting Date   17-Dec-2020  
  ISIN US2256551092                   Agenda   935303925 - Management
  Record Date 23-Oct-2020                   Holding Recon Date   23-Oct-2020  
  City / Country     / United States             Vote Deadline Date   16-Dec-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    To approve the new advisory agreement between the Corporation and Crescent Capital Advisors, LLC, the Corporation's current investment adviser (the "Advisor"), to take effect upon the consummation of the acquisition of a controlling stake in Crescent Capital Group, LP (the Advisor's parent company) by Sun Life Financial, Inc. Management     Split     Split          
  2.    To transact such other business as may properly come before the Special Meeting and any adjournment thereof. 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 16-Dec-2020 16-Dec-2020  
  BARINGS BDC, INC.        
  Security 06759L103                   Meeting Type   Special 
  Ticker Symbol BBDC                              Meeting Date   23-Dec-2020  
  ISIN US06759L1035                   Agenda   935311314 - Management
  Record Date 29-Oct-2020                   Holding Recon Date   29-Oct-2020  
  City / Country     / United States             Vote Deadline Date   22-Dec-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement"). Management     Split     Split          
  2.    To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable. Management     Split     Split          
  3.    To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC. Management     Split     Split          
  4.    To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3. 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 150,000   0 22-Dec-2020 22-Dec-2020  
  BARINGS BDC, INC.        
  Security 06759L103                   Meeting Type   Special 
  Ticker Symbol BBDC                              Meeting Date   23-Dec-2020  
  ISIN US06759L1035                   Agenda   935311314 - Management
  Record Date 29-Oct-2020                   Holding Recon Date   29-Oct-2020  
  City / Country     / United States             Vote Deadline Date   22-Dec-2020  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    To approve the issuance of shares of Barings BDC, Inc. ("Barings BDC") common stock, $0.001 par value per share ("Barings BDC Common Stock"), pursuant to the Agreement and Plan of Merger, dated as of August 10, 2020, by and among Barings BDC, Mustang Acquisition Sub, Inc., MVC Capital, Inc. and Barings LLC ("Merger Agreement"). Management     Split     Split          
  2.    To approve the issuance of shares of Barings BDC Common Stock pursuant to the Merger Agreement at a price below its then- current net asset value per share, if applicable. Management     Split     Split          
  3.    To approve an amended and restated investment advisory agreement between Barings BDC and Barings LLC. Management     Split     Split          
  4.    To approve the adjournment of the Barings BDC special meeting, if necessary or appropriate, to solicit additional proxies, in the event that there are insufficient votes at the time of the Barings BDC special meeting to approve Proposal 1, Proposal 2 or Proposal 3. 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 177,594   0 22-Dec-2020 22-Dec-2020  
  GOLUB CAPITAL BDC, INC.        
  Security 38173M102                   Meeting Type   Annual  
  Ticker Symbol GBDC                              Meeting Date   05-Feb-2021  
  ISIN US38173M1027                   Agenda   935319144 - Management
  Record Date 14-Dec-2020                   Holding Recon Date   14-Dec-2020  
  City / Country     / United States             Vote Deadline Date   04-Feb-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: John T. Baily Management     Split     Split          
  1B.   Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: Kenneth F. Bernstein 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, 2021. 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 200,000   0 04-Feb-2021 04-Feb-2021  
  GOLUB CAPITAL BDC, INC.        
  Security 38173M102                   Meeting Type   Annual  
  Ticker Symbol GBDC                              Meeting Date   05-Feb-2021  
  ISIN US38173M1027                   Agenda   935319144 - Management
  Record Date 14-Dec-2020                   Holding Recon Date   14-Dec-2020  
  City / Country     / United States             Vote Deadline Date   04-Feb-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: John T. Baily Management     Split     Split          
  1B.   Election of Class II Director of the Company who will each serve for a term expiring in 2024 or until his successor is duly elected and qualified: Kenneth F. Bernstein 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, 2021. 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 04-Feb-2021 04-Feb-2021  
  PENNANTPARK FLOATING RATE CAPITAL LTD.        
  Security 70806A106                   Meeting Type   Annual  
  Ticker Symbol PFLT                              Meeting Date   09-Feb-2021  
  ISIN US70806A1060                   Agenda   935316679 - Management
  Record Date 01-Dec-2020                   Holding Recon Date   01-Dec-2020  
  City / Country     / United States             Vote Deadline Date   08-Feb-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Marshall Brozost Management     Split     Split          
  1B.   Election of Director: Samuel Katz Management     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, 2021. 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 20,000   0 08-Feb-2021 08-Feb-2021  
  PENNANTPARK INVESTMENT CORPORATION        
  Security 708062104                   Meeting Type   Annual  
  Ticker Symbol PNNT                              Meeting Date   09-Feb-2021  
  ISIN US7080621045                   Agenda   935316667 - Management
  Record Date 01-Dec-2020                   Holding Recon Date   01-Dec-2020  
  City / Country     / United States             Vote Deadline Date   08-Feb-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Marshall Brozost Management     Split     Split          
  1B.   Election of Director: Adam Bernstein Management     Split     Split          
  1C.   Election of Director: Jeffrey Flug Management     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, 2021. 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 455,081   0 08-Feb-2021 08-Feb-2021  
  PENNANTPARK INVESTMENT CORPORATION        
  Security 708062104                   Meeting Type   Annual  
  Ticker Symbol PNNT                              Meeting Date   09-Feb-2021  
  ISIN US7080621045                   Agenda   935316667 - Management
  Record Date 01-Dec-2020                   Holding Recon Date   01-Dec-2020  
  City / Country     / United States             Vote Deadline Date   08-Feb-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Marshall Brozost Management     Split     Split          
  1B.   Election of Director: Adam Bernstein Management     Split     Split          
  1C.   Election of Director: Jeffrey Flug Management     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, 2021. 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 200,000   0 08-Feb-2021 08-Feb-2021  
  OWL ROCK CAPITAL CORPORATION        
  Security 69121K104                   Meeting Type   Special 
  Ticker Symbol ORCC                              Meeting Date   17-Mar-2021  
  ISIN US69121K1043                   Agenda   935331037 - Management
  Record Date 15-Jan-2021                   Holding Recon Date   15-Jan-2021  
  City / Country     / United States             Vote Deadline Date   16-Mar-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    To approve the Company's entry into an amended and restated investment advisory agreement (the "New Advisory Agreement") between the Company and Owl Rock Capital Advisors LLC (the "Adviser"), pursuant to which the Adviser will continue to provide investment advisory and management services to the Company following the change in control of the Adviser with no changes to terms, as more fully described in the accompanying proxy statement (the "New Advisory Agreement Proposal"). Management     Split     Split          
  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 New Advisory Agreement Proposal (the "Adjournment 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 50,000   0 16-Mar-2021 16-Mar-2021  
  OWL ROCK CAPITAL CORPORATION        
  Security 69121K104                   Meeting Type   Special 
  Ticker Symbol ORCC                              Meeting Date   17-Mar-2021  
  ISIN US69121K1043                   Agenda   935331037 - Management
  Record Date 15-Jan-2021                   Holding Recon Date   15-Jan-2021  
  City / Country     / United States             Vote Deadline Date   16-Mar-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    To approve the Company's entry into an amended and restated investment advisory agreement (the "New Advisory Agreement") between the Company and Owl Rock Capital Advisors LLC (the "Adviser"), pursuant to which the Adviser will continue to provide investment advisory and management services to the Company following the change in control of the Adviser with no changes to terms, as more fully described in the accompanying proxy statement (the "New Advisory Agreement Proposal"). Management     Split     Split          
  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 New Advisory Agreement Proposal (the "Adjournment 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 100,000   0 16-Mar-2021 16-Mar-2021  
  PHENIXFIN CORPORATION        
  Security 71742W103                   Meeting Type   Annual  
  Ticker Symbol PFX                               Meeting Date   08-Apr-2021  
  ISIN US71742W1036                   Agenda   935343525 - Management
  Record Date 22-Feb-2021                   Holding Recon Date   22-Feb-2021  
  City / Country     / United States             Vote Deadline Date   07-Apr-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 David Lorber           Split     Split          
        2 Howard Amster           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, 2021. 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 23,335   0 07-Apr-2021 07-Apr-2021  
  NEW MOUNTAIN FINANCE CORPORATION        
  Security 647551100                   Meeting Type   Annual  
  Ticker Symbol NMFC                              Meeting Date   30-Apr-2021  
  ISIN US6475511001                   Agenda   935349008 - Management
  Record Date 01-Mar-2021                   Holding Recon Date   01-Mar-2021  
  City / Country     / United States             Vote Deadline Date   29-Apr-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 John R. Kline           Split     Split          
        2 David Ogens           Split     Split          
        3 Adam B. Weinstein           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, 2021. 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 100,000   0 29-Apr-2021 29-Apr-2021  
  NEW MOUNTAIN FINANCE CORPORATION        
  Security 647551100                   Meeting Type   Annual  
  Ticker Symbol NMFC                              Meeting Date   30-Apr-2021  
  ISIN US6475511001                   Agenda   935349008 - Management
  Record Date 01-Mar-2021                   Holding Recon Date   01-Mar-2021  
  City / Country     / United States             Vote Deadline Date   29-Apr-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 John R. Kline           Split     Split          
        2 David Ogens           Split     Split          
        3 Adam B. Weinstein           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, 2021. 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 277,564   0 29-Apr-2021 29-Apr-2021  
  BERKSHIRE HATHAWAY INC.        
  Security 084670702                   Meeting Type   Annual  
  Ticker Symbol BRKB                              Meeting Date   01-May-2021  
  ISIN US0846707026                   Agenda   935351128 - Management
  Record Date 03-Mar-2021                   Holding Recon Date   03-Mar-2021  
  City / Country     / United States             Vote Deadline Date   30-Apr-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Warren E. Buffett           Split     Split          
        2 Charles T. Munger           Split     Split          
        3 Gregory E. Abel           Split     Split          
        4 Howard G. Buffett           Split     Split          
        5 Stephen B. Burke           Split     Split          
        6 Kenneth I. Chenault           Split     Split          
        7 Susan L. Decker           Split     Split          
        8 David S. Gottesman           Split     Split          
        9 Charlotte Guyman           Split     Split          
        10 Ajit Jain           Split     Split          
        11 Thomas S. Murphy           Split     Split          
        12 Ronald L. Olson           Split     Split          
        13 Walter Scott, Jr.           Split     Split          
        14 Meryl B. Witmer           Split     Split          
  2.    Shareholder proposal regarding the reporting of climate- related risks and opportunities. Shareholder     Split     Split          
  3.    Shareholder proposal regarding diversity and inclusion reporting. Shareholder     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 4,500   0 30-Apr-2021 30-Apr-2021  
  MAIN STREET CAPITAL CORPORATION        
  Security 56035L104                   Meeting Type   Annual  
  Ticker Symbol MAIN                              Meeting Date   03-May-2021  
  ISIN US56035L1044                   Agenda   935346165 - Management
  Record Date 02-Mar-2021                   Holding Recon Date   02-Mar-2021  
  City / Country     / United States             Vote Deadline Date   30-Apr-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.1   Election of Director: Arthur L. French Management     Split     Split          
  1.2   Election of Director: J. Kevin Griffin Management     Split     Split          
  1.3   Election of Director: John E. Jackson Management     Split     Split          
  1.4   Election of Director: Brian E. Lane Management     Split     Split          
  1.5   Election of Director: Kay Matthews Management     Split     Split          
  1.6   Election of Director: Dunia A. Shive Management     Split     Split          
  1.7   Election of Director: Stephen B. Solcher Management     Split     Split          
  1.8   Election of Director: Vincent D. Foster Management     Split     Split          
  1.9   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, 2021. 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 110,063   0 30-Apr-2021 30-Apr-2021  
  MAIN STREET CAPITAL CORPORATION        
  Security 56035L104                   Meeting Type   Annual  
  Ticker Symbol MAIN                              Meeting Date   03-May-2021  
  ISIN US56035L1044                   Agenda   935346165 - Management
  Record Date 02-Mar-2021                   Holding Recon Date   02-Mar-2021  
  City / Country     / United States             Vote Deadline Date   30-Apr-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.1   Election of Director: Arthur L. French Management     Split     Split          
  1.2   Election of Director: J. Kevin Griffin Management     Split     Split          
  1.3   Election of Director: John E. Jackson Management     Split     Split          
  1.4   Election of Director: Brian E. Lane Management     Split     Split          
  1.5   Election of Director: Kay Matthews Management     Split     Split          
  1.6   Election of Director: Dunia A. Shive Management     Split     Split          
  1.7   Election of Director: Stephen B. Solcher Management     Split     Split          
  1.8   Election of Director: Vincent D. Foster Management     Split     Split          
  1.9   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, 2021. 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 44   0 30-Apr-2021 30-Apr-2021  
  CAPSTEAD MORTGAGE CORPORATION        
  Security 14067E506                   Meeting Type   Annual  
  Ticker Symbol CMO                               Meeting Date   11-May-2021  
  ISIN US14067E5069                   Agenda   935372401 - Management
  Record Date 17-Mar-2021                   Holding Recon Date   17-Mar-2021  
  City / Country     / United States             Vote Deadline Date   10-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.1   Election of Director: Pat Augustine Management     Split     Split          
  1.2   Election of Director: Jack Biegler Management     Split     Split          
  1.3   Election of Director: Michelle P. Goolsby Management     Split     Split          
  1.4   Election of Director: Gary Keiser Management     Split     Split          
  1.5   Election of Director: Christopher W. Mahowald Management     Split     Split          
  1.6   Election of Director: Michael G. O'Neil Management     Split     Split          
  1.7   Election of Director: Phillip A. Reinsch Management     Split     Split          
  1.8   Election of Director: Mark S. Whiting Management     Split     Split          
  2.    To approve on an advisory (non-binding) basis our 2020 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, 2021. 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 2,700   0 10-May-2021 10-May-2021  
  CRESCENT CAPITAL BDC, INC.        
  Security 225655109                   Meeting Type   Annual  
  Ticker Symbol CCAP                              Meeting Date   11-May-2021  
  ISIN US2256551092                   Agenda   935367359 - Management
  Record Date 08-Mar-2021                   Holding Recon Date   08-Mar-2021  
  City / Country     / United States             Vote Deadline Date   10-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class III Director to serve for a three-year term expiring at the 2024 Annual Meeting: Stephen F. Strandberg Management     Split     Split          
  1B.   Election of Class III Director to serve for a three-year term expiring at the 2024 Annual Meeting: Christopher G. Wright 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, 2021. 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 10-May-2021 10-May-2021  
  PRUDENTIAL FINANCIAL, INC.        
  Security 744320102                   Meeting Type   Annual  
  Ticker Symbol PRU                               Meeting Date   11-May-2021  
  ISIN US7443201022                   Agenda   935369163 - Management
  Record Date 12-Mar-2021                   Holding Recon Date   12-Mar-2021  
  City / Country     / United States             Vote Deadline Date   10-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1a.   Election of Director: Thomas J. Baltimore, Jr. Management     Split     Split          
  1b.   Election of Director: Gilbert F. Casellas Management     Split     Split          
  1c.   Election of Director: Robert M. Falzon Management     Split     Split          
  1d.   Election of Director: Martina Hund-Mejean Management     Split     Split          
  1e.   Election of Director: Wendy Jones Management     Split     Split          
  1f.   Election of Director: Karl J. Krapek Management     Split     Split          
  1g.   Election of Director: Peter R. Lighte Management     Split     Split          
  1h.   Election of Director: Charles F. Lowrey Management     Split     Split          
  1i.   Election of Director: George Paz Management     Split     Split          
  1j.   Election of Director: Sandra Pianalto Management     Split     Split          
  1k.   Election of Director: Christine A. Poon Management     Split     Split          
  1l.   Election of Director: Douglas A. Scovanner Management     Split     Split          
  1m.   Election of Director: Michael A. Todman Management     Split     Split          
  2.    Ratification of the appointment of PricewaterhouseCoopers LLP as our independent registered public accounting firm for 2021. Management     Split     Split          
  3.    Advisory vote to approve named executive officer compensation. Management     Split     Split          
  4.    Approval of the Prudential Financial, Inc. 2021 Omnibus Incentive Plan. Management     Split     Split          
  5.    Shareholder proposal regarding an Independent Board Chairman. Shareholder     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 11,000   0 10-May-2021 10-May-2021  
  TRIPLEPOINT VENTURE GROWTH BDC CORP.        
  Security 89677Y100                   Meeting Type   Annual  
  Ticker Symbol TPVG                              Meeting Date   13-May-2021  
  ISIN US89677Y1001                   Agenda   935351558 - Management
  Record Date 08-Mar-2021                   Holding Recon Date   08-Mar-2021  
  City / Country     / United States             Vote Deadline Date   12-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class I Director to serve until the term 2024 Annual meeting: Sajal K. Srivastava Management     Split     Split          
  1B.   Election of Class I Director to serve until the term 2024 Annual meeting: Stephen A. Cassani 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, 2021. 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 63,845   0 12-May-2021 12-May-2021  
  TRIPLEPOINT VENTURE GROWTH BDC CORP.        
  Security 89677Y100                   Meeting Type   Annual  
  Ticker Symbol TPVG                              Meeting Date   13-May-2021  
  ISIN US89677Y1001                   Agenda   935351558 - Management
  Record Date 08-Mar-2021                   Holding Recon Date   08-Mar-2021  
  City / Country     / United States             Vote Deadline Date   12-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class I Director to serve until the term 2024 Annual meeting: Sajal K. Srivastava Management     Split     Split          
  1B.   Election of Class I Director to serve until the term 2024 Annual meeting: Stephen A. Cassani 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, 2021. 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 21,298   0 12-May-2021 12-May-2021  
  GOLDMAN SACHS BDC, INC.        
  Security 38147U107                   Meeting Type   Annual  
  Ticker Symbol GSBD                              Meeting Date   14-May-2021  
  ISIN US38147U1079                   Agenda   935399469 - Management
  Record Date 01-Apr-2021                   Holding Recon Date   01-Apr-2021  
  City / Country     / United States             Vote Deadline Date   13-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Carlos E. Evans           Split     Split          
        2 Timothy J. Leach           Split     Split          
        3 Susan B. McGee           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, 2021. 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 13-May-2021 13-May-2021  
  GOLDMAN SACHS BDC, INC.        
  Security 38147U107                   Meeting Type   Annual  
  Ticker Symbol GSBD                              Meeting Date   14-May-2021  
  ISIN US38147U1079                   Agenda   935399469 - Management
  Record Date 01-Apr-2021                   Holding Recon Date   01-Apr-2021  
  City / Country     / United States             Vote Deadline Date   13-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Carlos E. Evans           Split     Split          
        2 Timothy J. Leach           Split     Split          
        3 Susan B. McGee           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, 2021. 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 26,937   0 13-May-2021 13-May-2021  
  ANNALY CAPITAL MANAGEMENT, INC.        
  Security 035710409                   Meeting Type   Annual  
  Ticker Symbol NLY                               Meeting Date   19-May-2021  
  ISIN US0357104092                   Agenda   935377449 - Management
  Record Date 22-Mar-2021                   Holding Recon Date   22-Mar-2021  
  City / Country     / United States             Vote Deadline Date   18-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Director: Francine J. Bovich Management     Split     Split          
  1B.   Election of Director: Wellington J. Denahan Management     Split     Split          
  1C.   Election of Director: Katie Beirne Fallon Management     Split     Split          
  1D.   Election of Director: David L. Finkelstein Management     Split     Split          
  1E.   Election of Director: Thomas Hamilton Management     Split     Split          
  1F.   Election of Director: Kathy Hopinkah Hannan Management     Split     Split          
  1G.   Election of Director: Michael Haylon Management     Split     Split          
  1H.   Election of Director: Eric A. Reeves Management     Split     Split          
  1I.   Election of Director: John H. Schaefer Management     Split     Split          
  1J.   Election of Director: Glenn A. Votek Management     Split     Split          
  1K.   Election of Director: Vicki Williams Management     Split     Split          
  2.    Advisory approval of the Company's executive compensation. Management     Split     Split          
  3.    Ratification of the appointment of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2021. 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 200,000   0 18-May-2021 18-May-2021  
  BARINGS BDC, INC.        
  Security 06759L103                   Meeting Type   Annual  
  Ticker Symbol BBDC                              Meeting Date   20-May-2021  
  ISIN US06759L1035                   Agenda   935375104 - Management
  Record Date 12-Mar-2021                   Holding Recon Date   12-Mar-2021  
  City / Country     / United States             Vote Deadline Date   19-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick Management     Split     Split          
  1B.   Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel Management     Split     Split          
  1C.   Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead 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 30% 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 150,000   0 19-May-2021 19-May-2021  
  BARINGS BDC, INC.        
  Security 06759L103                   Meeting Type   Annual  
  Ticker Symbol BBDC                              Meeting Date   20-May-2021  
  ISIN US06759L1035                   Agenda   935375104 - Management
  Record Date 12-Mar-2021                   Holding Recon Date   12-Mar-2021  
  City / Country     / United States             Vote Deadline Date   19-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class III Director to serve until the 2024 Annual Meeting: David Mihalick Management     Split     Split          
  1B.   Election of Class III Director to serve until the 2024 Annual Meeting: Thomas W. Okel Management     Split     Split          
  1C.   Election of Class III Director to serve until the 2024 Annual Meeting: Jill Olmstead 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 30% 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 177,594   0 19-May-2021 19-May-2021  
  BLACKROCK TCP CAPITAL CORP.        
  Security 09259E108                   Meeting Type   Annual  
  Ticker Symbol TCPC                              Meeting Date   26-May-2021  
  ISIN US09259E1082                   Agenda   935393760 - Management
  Record Date 29-Mar-2021                   Holding Recon Date   29-Mar-2021  
  City / Country     / United States             Vote Deadline Date   25-May-2021  
  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 Andrea L. Petro           Split     Split          
        4 M. Freddie Reiss           Split     Split          
        5 Peter E. Schwab           Split     Split          
        6 Karyn L. Williams           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 70,000   0 25-May-2021 25-May-2021  
  BLACKROCK TCP CAPITAL CORP.        
  Security 09259E108                   Meeting Type   Annual  
  Ticker Symbol TCPC                              Meeting Date   26-May-2021  
  ISIN US09259E1082                   Agenda   935393760 - Management
  Record Date 29-Mar-2021                   Holding Recon Date   29-Mar-2021  
  City / Country     / United States             Vote Deadline Date   25-May-2021  
  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 Andrea L. Petro           Split     Split          
        4 M. Freddie Reiss           Split     Split          
        5 Peter E. Schwab           Split     Split          
        6 Karyn L. Williams           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 261,863   0 25-May-2021 25-May-2021  
  SIXTH STREET SPECIALTY LENDING        
  Security 83012A109                   Meeting Type   Annual  
  Ticker Symbol TSLX                              Meeting Date   26-May-2021  
  ISIN US83012A1097                   Agenda   935389797 - Management
  Record Date 31-Mar-2021                   Holding Recon Date   31-Mar-2021  
  City / Country     / United States             Vote Deadline Date   25-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Richard Higginbotham           Split     Split          
        2 David Stiepleman           Split     Split          
        3 Ronald Tanemura           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, 2021. 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 146,751   0 25-May-2021 25-May-2021  
  SIXTH STREET SPECIALTY LENDING        
  Security 83012A109                   Meeting Type   Special 
  Ticker Symbol TSLX                              Meeting Date   26-May-2021  
  ISIN US83012A1097                   Agenda   935396829 - Management
  Record Date 31-Mar-2021                   Holding Recon Date   31-Mar-2021  
  City / Country     / United States             Vote Deadline Date   25-May-2021  
  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 146,751   0 25-May-2021 25-May-2021  
  OFS CAPITAL CORPORATION        
  Security 67103B100                   Meeting Type   Annual  
  Ticker Symbol OFS                               Meeting Date   01-Jun-2021  
  ISIN US67103B1008                   Agenda   935394142 - Management
  Record Date 06-Apr-2021                   Holding Recon Date   06-Apr-2021  
  City / Country     / United States             Vote Deadline Date   28-May-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Marc I. Abrams           Split     Split          
        2 Jeffrey A. Cerny           Split     Split          
  2.    The ratification of the selection of KPMG LLP as our independent registered public accounting firm for the year ending December 31, 2021. 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 28-May-2021 28-May-2021  
  ARES CAPITAL CORPORATION        
  Security 04010L103                   Meeting Type   Annual  
  Ticker Symbol ARCC                              Meeting Date   07-Jun-2021  
  ISIN US04010L1035                   Agenda   935404599 - Management
  Record Date 08-Apr-2021                   Holding Recon Date   08-Apr-2021  
  City / Country     / United States             Vote Deadline Date   04-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class II Director to serve until the 2024 Annual Meeting: Michael K. Parks Management     Split     Split          
  1B.   Election of Class II Director to serve until the 2024 Annual Meeting: Robert L. Rosen Management     Split     Split          
  1C.   Election of Class II Director to serve until the 2024 Annual Meeting: Bennett Rosenthal 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, 2021. 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 100,000   0 04-Jun-2021 04-Jun-2021  
  ARES CAPITAL CORPORATION        
  Security 04010L103                   Meeting Type   Annual  
  Ticker Symbol ARCC                              Meeting Date   07-Jun-2021  
  ISIN US04010L1035                   Agenda   935404599 - Management
  Record Date 08-Apr-2021                   Holding Recon Date   08-Apr-2021  
  City / Country     / United States             Vote Deadline Date   04-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1A.   Election of Class II Director to serve until the 2024 Annual Meeting: Michael K. Parks Management     Split     Split          
  1B.   Election of Class II Director to serve until the 2024 Annual Meeting: Robert L. Rosen Management     Split     Split          
  1C.   Election of Class II Director to serve until the 2024 Annual Meeting: Bennett Rosenthal 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, 2021. 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 150,000   0 04-Jun-2021 04-Jun-2021  
  PORTMAN RIDGE FINANCE CORPORATION        
  Security 73688F102                   Meeting Type   Annual  
  Ticker Symbol PTMN                              Meeting Date   07-Jun-2021  
  ISIN US73688F1021                   Agenda   935407494 - Management
  Record Date 12-Apr-2021                   Holding Recon Date   12-Apr-2021  
  City / Country     / United States             Vote Deadline Date   04-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Alexander Duka           Split     Split          
        2 Ted Goldthorpe           Split     Split          
        3 Christopher Lacovara           Split     Split          
  2.    To ratify the selection of Deloitte & Touche LLP as the independent registered public accountant of the Company for the fiscal year ending December 31, 2021. Management     Split     Split          
  3.    To grant discretionary authority to the Board of Directors of the Company to amend the Company's Certificate of Incorporation to effect a reverse stock split of its common stock within the range of 1-5 to 1-15, the exact ratio (the "Reverse Stock Split Ratio"), if any, to be determined by the Board of Directors, but not later than one year after stockholder approval thereof (the "Reverse Stock Split"). Management     Split     Split          
  4.    To approve an amendment to the Company's Certificate of Incorporation to decrease, concurrent with and conditioned upon the effectiveness of the Reverse Stock Split, the number of authorized shares of common stock by one half of the Reverse Stock Split Ratio ("Reduction in Shares 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 340,472   0 04-Jun-2021 04-Jun-2021  
  OFS CAPITAL CORPORATION        
  Security 67103B100                   Meeting Type   Special 
  Ticker Symbol OFS                               Meeting Date   15-Jun-2021  
  ISIN US67103B1008                   Agenda   935399700 - Management
  Record Date 06-Apr-2021                   Holding Recon Date   06-Apr-2021  
  City / Country     / United States             Vote Deadline Date   14-Jun-2021  
  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 28-May-2021 14-Jun-2021  
  HERCULES CAPITAL INC        
  Security 427096508                   Meeting Type   Annual  
  Ticker Symbol HTGC                              Meeting Date   24-Jun-2021  
  ISIN US4270965084                   Agenda   935434958 - Management
  Record Date 23-Apr-2021                   Holding Recon Date   23-Apr-2021  
  City / Country     / United States             Vote Deadline Date   23-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Gayle Crowell           Split     Split          
        2 Thomas J. Fallon           Split     Split          
        3 Brad Koenig           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, 2021. 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 23-Jun-2021 23-Jun-2021  
  HERCULES CAPITAL INC        
  Security 427096508                   Meeting Type   Annual  
  Ticker Symbol HTGC                              Meeting Date   24-Jun-2021  
  ISIN US4270965084                   Agenda   935434958 - Management
  Record Date 23-Apr-2021                   Holding Recon Date   23-Apr-2021  
  City / Country     / United States             Vote Deadline Date   23-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Gayle Crowell           Split     Split          
        2 Thomas J. Fallon           Split     Split          
        3 Brad Koenig           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, 2021. 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 100,000   0 23-Jun-2021 23-Jun-2021  
  STELLUS CAPITAL INVESTMENT CORPORATION        
  Security 858568108                   Meeting Type   Annual  
  Ticker Symbol SCM                               Meeting Date   24-Jun-2021  
  ISIN US8585681088                   Agenda   935426393 - Management
  Record Date 05-Apr-2021                   Holding Recon Date   05-Apr-2021  
  City / Country     / United States             Vote Deadline Date   23-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Robert T. Ladd           Split     Split          
        2 J. Tim Arnoult           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 161,126   0 23-Jun-2021 23-Jun-2021  
  STELLUS CAPITAL INVESTMENT CORPORATION        
  Security 858568108                   Meeting Type   Annual  
  Ticker Symbol SCM                               Meeting Date   24-Jun-2021  
  ISIN US8585681088                   Agenda   935426393 - Management
  Record Date 05-Apr-2021                   Holding Recon Date   05-Apr-2021  
  City / Country     / United States             Vote Deadline Date   23-Jun-2021  
  SEDOL(s)               Quick Code      
  Item Proposal       Proposed by   Vote   For/Against Management          
  1.    DIRECTOR Management     Split     Split          
        1 Robert T. Ladd           Split     Split          
        2 J. Tim Arnoult           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  
  000736386 FT SPEC FIN & FINANCIAL OPP FUND 000736386 BNY MELLON 125,000   0 23-Jun-2021 23-Jun-2021  

 

 

SIGNATURES

 

 

Pursuant to the requirements of the Investment Company Act of 1940, the registrant has duly caused this report to be signed on its behalf by the undersigned, thereunto duly authorized.

 

 

(Registrant) FIRST TRUST SPECIALTY FINANCE AND FINANCIAL OPPORTUNITIES FUND  
         
By (Signature and Title)* /s/ James M. Dykas    
  James M. Dykas, President and Chief Executive Officer    
         
Date July 13, 2021      

 

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