N-PX 1 tv501688_n-px.htm N-PX

 

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 number 811-23179

 

The Relative Value Fund

(Exact name of registrant as specified in charter)

 

c/o UMB Fund Services, Inc.

235 West Galena Street

Milwaukee, WI 53212

(Address of principal executive offices) (Zip code)

 

Terrance P. Gallagher

235 W. Galena Street

Milwaukee, WI 53212

(414) 299-2270

(Name and address of agent for service)

 

Registrant's telephone number, including area code: 414.299.2270

 

Date of fiscal year end: March 31

 

Date of reporting period: July 1, 2017 - June 30, 2018

 

Form N-PX is to be used by a registered management investment company, other than a small business investment company registered on Form N-5 (ss.ss. 239.24 and 274.5 of this chapter), to file reports with the Commission, not later than August 31 of each year, containing the registrant's proxy voting record for the most recent twelve-month period ended June 30, pursuant to section 30 of the Investment Company Act of 1940 and rule 30b1-4 thereunder (17 CFR 270.30b1-4). The Commission may use the information provided on Form N-PX in its regulatory, disclosure review, inspection, and policymaking roles.

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, NE, Washington, DC 20549-0609. The OMB has reviewed this collection of information under the clearance requirements of 44 U.S.C. ss. 3507.

 

 

 

 

 

ITEM 1. PROXY VOTING RECORD

 

For The Relative Value Fund

 

The Relative Value Fund- Proxy Voting Record  7/1/2017 - 6/30/2018          
               
  SHARE-
HOLDER		     VOTE
NAME OF ISSUER

TICKER

SYMBOL

CUSIP

NUMBER

 MEETING DATE MATTER VOTED ON

VOTE

INSTRUCTION

 VOTED

AGAINST

MANAGEMENT

Primo Water Corporation PRMW 74165N105 5/3/2018 Elect Director Malcolm McQuilkin For Yes No
Primo Water Corporation PRMW 74165N105 5/3/2018 Elect Director Matthew T. Sheehan For Yes No
Primo Water Corporation PRMW 74165N105 5/3/2018 Elect Director David L. Warnock For Yes No
Primo Water Corporation PRMW 74165N105 5/3/2018 Ratify BDO USA, LLP as Auditors For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Warren E. Buffett For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Charles T. Munger For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Gregory E. Abel For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Howard G. Buffett For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Stephen B. Burke For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Susan L. Decker For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director William H. Gates, III For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director David S. Gottesman For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Charlotte Guyman For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Ajit Jain For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Thomas S. Murphy For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Ronald L. Olson For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Walter Scott, Jr. For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Elect Director Meryl B. Witmer For Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Report on Methane Emissions Management, Including Reduction Targets Against Yes No
Berkshire Hathaway Inc. BRK.B 084670702 5/5/2018 Report on Sustainability Against Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Randall C. Stuewe For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Charles Adair For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director D. Eugene Ewing For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Linda Goodspeed For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Dirk Kloosterboer For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Mary R. Korby For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Cynthia Pharr Lee For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Charles Macaluso For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Gary W. Mize For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Michael E. Rescoe For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Ratify KPMG LLP as Auditors For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Randall C. Stuewe For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Charles Adair For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director D. Eugene Ewing For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Linda Goodspeed For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Dirk Kloosterboer For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Mary R. Korby For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Cynthia Pharr Lee For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Charles Macaluso For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Gary W. Mize For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Elect Director Michael E. Rescoe For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Ratify KPMG LLP as Auditors For Yes No
Darling Ingredients Inc. DAR 237266101 5/8/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Elect Director James L. Pokluda, III For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Elect Director Michael T. Campbell For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Elect Director Roy W. Haley For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Elect Director William H. Sheffield For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Elect Director G. Gary Yetman For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Ratify Ernst & Young LLP as Auditors For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Houston Wire & Cable Company HWCC 44244K109 5/8/2018 Approve Omnibus Stock Plan For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director W. Don Cornwell For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Brian Duperreault For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director John H. Fitzpatrick For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director William G. Jurgensen For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Christopher S. Lynch For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Henry S. Miller For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Linda A. Mills For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Suzanne Nora Johnson For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Ronald A. Rittenmeyer For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Douglas M. Steenland For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Theresa M. Stone For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director W. Don Cornwell For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Brian Duperreault For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director John H. Fitzpatrick For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director William G. Jurgensen For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Christopher S. Lynch For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Henry S. Miller For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Linda A. Mills For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Suzanne Nora Johnson For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Ronald A. Rittenmeyer For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Douglas M. Steenland For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Elect Director Theresa M. Stone For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
American International Group, Inc. AIG 026874784 5/9/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Green Plains Inc. GPRE 393222104 5/9/2018 Elect Director Todd A. Becker For Yes No
Green Plains Inc. GPRE 393222104 5/9/2018 Elect Director Thomas Manuel For Yes No
Green Plains Inc. GPRE 393222104 5/9/2018 Elect Director Brian Peterson For Yes No
Green Plains Inc. GPRE 393222104 5/9/2018 Elect Director Alain Treuer For Yes No
Green Plains Inc. GPRE 393222104 5/9/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Karel K. Czanderna For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Dominic DiNapoli For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Kim S. Fennebresque For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Mitchell B. Lewis For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Alan H. Schumacher For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director J. David Smith For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Ratify BDO USA, LLP as Auditors For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Amend Omnibus Stock Plan For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Karel K. Czanderna For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Dominic DiNapoli For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Kim S. Fennebresque For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Mitchell B. Lewis For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director Alan H. Schumacher For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Elect Director J. David Smith For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Ratify BDO USA, LLP as Auditors For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Amend Omnibus Stock Plan For Yes No
BlueLinx Holdings Inc. BXC 09624H208 5/17/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Elect Director Charles H.R. Bracken For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Elect Director Balan Nair For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Elect Director Eric L. Zinterhofer For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Advisory Vote on Say on Pay Frequency Three Years Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Elect Director Charles H.R. Bracken For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Elect Director Balan Nair For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Elect Director Eric L. Zinterhofer For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Approve KPMG LLP as Auditors and Authorize Board to Fix Their Remuneration For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Liberty Latin America Ltd. LILAK   5/17/2018 Advisory Vote on Say on Pay Frequency Three Years Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Daniel Allen For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director L. Gordon Crovitz For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Jean S. Desravines For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Lawrence K. Fish For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Jill A. Greenthal For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director John F. Killian For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director John J. Lynch, Jr. For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director John R. McKernan, Jr. For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director E. Rogers Novak, Jr. For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Tracey D. Weber For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Daniel Allen For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director L. Gordon Crovitz For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Jean S. Desravines For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Lawrence K. Fish For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Jill A. Greenthal For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director John F. Killian For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director John J. Lynch, Jr. For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director John R. McKernan, Jr. For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director E. Rogers Novak, Jr. For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Elect Director Tracey D. Weber For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Houghton Mifflin Harcourt Company HMHC 44157R109 5/22/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Accept Financial Statements and Statutory Reports For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Approve Director's Remuneration Report For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Approve Directors' Remuneration Policy For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Alok Maskara For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Adam Cohn For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Clive Snowdon For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Joseph Bonn For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Brian Kushner For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director David Landless For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Authorize Board to Fix Remuneration of Auditors For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Amend Articles of Association For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Accept Financial Statements and Statutory Reports For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Approve Director's Remuneration Report For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Approve Directors' Remuneration Policy For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Alok Maskara For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Adam Cohn For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Clive Snowdon For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Joseph Bonn For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director Brian Kushner For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Elect Director David Landless For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Authorize Board to Fix Remuneration of Auditors For Yes No
Luxfer Holdings PLC LXFR   5/22/2018 Amend Articles of Association For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Daniel N. Leib For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Lois M. Martin For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Charles D. Drucker For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Gary G. Greenfield For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Oliver R. Sockwell For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Ratify Deloitte & Touche LLP as Auditors For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Daniel N. Leib For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Lois M. Martin For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Charles D. Drucker For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Gary G. Greenfield For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Elect Director Oliver R. Sockwell For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Donnelley Financial Solutions, Inc. DFIN 25787G100 5/24/2018 Ratify Deloitte & Touche LLP as Auditors For Yes No
Luther Burbank Corporation LBC 550550107 5/24/2018 Elect Director Victor S. Trione For Yes No
Luther Burbank Corporation LBC 550550107 5/24/2018 Elect Director John G. Biggs For Yes No
Luther Burbank Corporation LBC 550550107 5/24/2018 Elect Director John C. Erickson For Yes No
Luther Burbank Corporation LBC 550550107 5/24/2018 Elect Director Jack Krouskup For Yes No
Luther Burbank Corporation LBC 550550107 5/24/2018 Elect Director Anita Gentle Newcomb For Yes No
Luther Burbank Corporation LBC 550550107 5/24/2018 Elect Director Bradley M. Shuster For Yes No
Luther Burbank Corporation LBC 550550107 5/24/2018 Elect Director Thomas C. Wajnert For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Pete Bassi For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Joseph Boehm For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Ann-Marie Campbell For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Susan Chapman-Hughes For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Sue Collyns For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Dan Ginsberg For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Marla Gottschalk For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Alan Johnson For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Harvey Kanter For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Benjamin Rosenzweig For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Ratify Deloitte & Touche LLP as Auditors For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Amend Omnibus Stock Plan For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Pete Bassi For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Joseph Boehm For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Ann-Marie Campbell For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Susan Chapman-Hughes For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Sue Collyns For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Dan Ginsberg For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Marla Gottschalk For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Alan Johnson For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Harvey Kanter For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Elect Director Benjamin Rosenzweig For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Ratify Deloitte & Touche LLP as Auditors For Yes No
Potbelly Corporation PBPB 73754Y100 5/24/2018 Amend Omnibus Stock Plan For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Michael J. Saylor For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Margaret A. Breya For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Stephen X. Graham For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Jarrod M. Patten For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Leslie J. Rechan For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Carl J. Rickertsen For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Amend Omnibus Stock Plan For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Ratify KPMG LLP as Auditors For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Michael J. Saylor For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Margaret A. Breya For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Stephen X. Graham For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Jarrod M. Patten For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Leslie J. Rechan For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Elect Director Carl J. Rickertsen For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Amend Omnibus Stock Plan For Yes No
MicroStrategy Incorporated MSTR 594972408 5/30/2018 Ratify KPMG LLP as Auditors For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Neil S. Braun For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Eric A. Demirian For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Kevin Douglas For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Richard L. Gelfond For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director David W. Leebron For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Michael Lynne For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Michael MacMillan For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Dana Settle For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Darren Throop For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Bradley J. Wechsler For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Approve PricewaterhouseCoopers LLP and Authorize Board to Fix Their Remuneration For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Neil S. Braun For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Eric A. Demirian For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Kevin Douglas For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Richard L. Gelfond For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director David W. Leebron For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Michael Lynne For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Michael MacMillan For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Dana Settle For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Darren Throop For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Elect Director Bradley J. Wechsler For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Approve PricewaterhouseCoopers LLP and Authorize Board to Fix Their Remuneration For Yes No
IMAX Corporation IMAX 45245E109 6/5/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Elect Director Perry A. Sook For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Elect Director Geoff Armstrong For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Elect Director Jay M. Grossman For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Elect Director Perry A. Sook For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Elect Director Geoff Armstrong For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Elect Director Jay M. Grossman For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Ratify PricewaterhouseCoopers LLP as Auditors For Yes No
Nexstar Media Group, Inc. NXST 65336K103 6/6/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Walter T. Beach For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Jeffrey P. Cohen For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Andrew L. Farkas For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director William B. Hart For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Gary Ickowicz For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Steven J. Kessler For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Murray S. Levin For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director P. Sherrill Neff For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Henry R. Silverman For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Stephanie H. Wiggins For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Ratify Grant Thornton LLP as Auditors For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Walter T. Beach For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Jeffrey P. Cohen For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Andrew L. Farkas For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director William B. Hart For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Gary Ickowicz For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Steven J. Kessler For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Murray S. Levin For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director P. Sherrill Neff For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Henry R. Silverman For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Elect Director Stephanie H. Wiggins For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Exantas Capital Corp. XAN 30068N105 6/20/2018 Ratify Grant Thornton LLP as Auditors For Yes No
Novadaq Technologies Inc. NDQ 66987G102 8/4/2017 Approve Acquisition by Stryker Corporation through Stryker Canada Operations ULC For Yes No
C. R. Bard, Inc. BCR 067383109 8/8/2017 Approve Merger Agreement For Yes No
C. R. Bard, Inc. BCR 067383109 8/8/2017 Advisory Vote on Golden Parachutes For Yes No
C. R. Bard, Inc. BCR 067383109 8/8/2017 Adjourn Meeting For Yes No
Allied World Assurance Company Holdings, AG AWHH.F G0219G203 8/16/2017 Approve Merger Agreement with Fairfax (Switzerland) GmbH For Yes No
Allied World Assurance Company Holdings, AG AWHH.F G0219G203 8/16/2017 Approve the 2017 Compensation for Executives as Required under Swiss Law For Yes No
Allied World Assurance Company Holdings, AG AWHH.F G0219G203 8/16/2017 Approve the 2017 Compensation for Directors as Required  under Swiss Law For Yes No
Allied World Assurance Company Holdings, AG AWHH.F G0219G203 8/16/2017 Transact Other Business (Voting) For Yes No
Whole Foods Market, Inc. WFM 966837106 8/23/2017 Approve Merger Agreement For Yes No
Whole Foods Market, Inc. WFM 966837106 8/23/2017 Advisory Vote on Golden Parachutes For Yes No
Whole Foods Market, Inc. WFM 966837106 8/23/2017 Reduce Authorized Common Stock For Yes No
Whole Foods Market, Inc. WFM 966837106 8/23/2017 Adjourn Meeting For Yes No
NeuroDerm Ltd. NDRM   9/12/2017 Approve Merger Agreement For Yes No
NeuroDerm Ltd. NDRM   9/12/2017 Vote FOR if you are NOT a controlling shareholder and do NOT have a personal interest in one or several resolutions, as indicated in the proxy card; otherwise, vote AGAINST For Yes No
DUPONT FABROS TECHNOLOGY, INC. DFT 26613Q403 9/13/2017 Approve Merger Agreement For Yes No
DUPONT FABROS TECHNOLOGY, INC. DFT 26613Q403 9/13/2017 Advisory Vote on Golden Parachutes For Yes No
DUPONT FABROS TECHNOLOGY, INC. DFT 26613Q403 9/13/2017 Adjourn Meeting For Yes No
DUPONT FABROS TECHNOLOGY, INC. DFT 26613Q403 9/13/2017 Approve Merger Agreement For Yes No
DUPONT FABROS TECHNOLOGY, INC. DFT 26613Q403 9/13/2017 Advisory Vote on Golden Parachutes For Yes No
DUPONT FABROS TECHNOLOGY, INC. DFT 26613Q403 9/13/2017 Adjourn Meeting For Yes No
VTTI Energy Partners LP VTTI   9/13/2017 Approve Merger Plan For Yes No
VTTI Energy Partners LP VTTI   9/13/2017 Adjourn Meeting For Yes No
VTTI Energy Partners LP VTTI   9/13/2017 Approve Merger Plan For Yes No
VTTI Energy Partners LP VTTI   9/13/2017 Adjourn Meeting For Yes No
PAREXEL International Corporation PRXL 699462107 9/15/2017 Approve Merger Agreement For Yes No
PAREXEL International Corporation PRXL 699462107 9/15/2017 Advisory Vote on Golden Parachutes For Yes No
PAREXEL International Corporation PRXL 699462107 9/15/2017 Adjourn Meeting For Yes No
Dominion Diamond Corporation DDC 257287102 9/19/2017 Approve Acquisition by Northwest Acquisitions ULC For Yes No
Parkway, Inc. PKY 70156Q107 9/25/2017 Approve Merger Agreement For Yes No
Parkway, Inc. PKY 70156Q107 9/25/2017 Adjourn Meeting For Yes No
Parkway, Inc. PKY 70156Q107 9/25/2017 Approve Merger Agreement For Yes No
Parkway, Inc. PKY 70156Q107 9/25/2017 Adjourn Meeting For Yes No
First Potomac Realty Trust FPO 33610F109 9/26/2017 Approve Merger Agreement For Yes No
First Potomac Realty Trust FPO 33610F109 9/26/2017 Advisory Vote on Golden Parachutes For Yes No
First Potomac Realty Trust FPO 33610F109 9/26/2017 Adjourn Meeting For Yes No
State National Companies, Inc. SNC 85711T305 10/24/2017 Approve Merger Agreement For Yes No
State National Companies, Inc. SNC 85711T305 10/24/2017 Advisory Vote on Golden Parachutes For Yes No
State National Companies, Inc. SNC 85711T305 10/24/2017 Adjourn Meeting For Yes No
Western Refining Logistics, LP WNRL 95931Q205 10/27/2017 Approve Merger Agreement For Yes No
Western Refining Logistics, LP WNRL 95931Q205 10/27/2017 Advisory Vote on Golden Parachutes For Yes No
Rice Energy Inc. RICE 762760106 11/9/2017 Approve Merger Agreement For Yes No
Rice Energy Inc. RICE 762760106 11/9/2017 Advisory Vote on Golden Parachutes For Yes No
Rice Energy Inc. RICE 762760106 11/9/2017 Adjourn Meeting For Yes No
The Advisory Board Company ABCO 00762W107 11/15/2017 Approve Merger Agreement For Yes No
The Advisory Board Company ABCO 00762W107 11/15/2017 Adjourn Meeting For Yes No
The Advisory Board Company ABCO 00762W107 11/15/2017 Advisory Vote on Golden Parachutes For Yes No
Orbital ATK, Inc. OA 68557N103 11/29/2017 Approve Merger Agreement For Yes No
Orbital ATK, Inc. OA 68557N103 11/29/2017 Advisory Vote on Golden Parachutes For Yes No
Orbital ATK, Inc. OA 68557N103 11/29/2017 Adjourn Meeting For Yes No
HSN, Inc. HSNI 404303109 12/29/2017 Approve Merger Agreement For Yes No
HSN, Inc. HSNI 404303109 12/29/2017 Adjourn Meeting For Yes No
HSN, Inc. HSNI 404303109 12/29/2017 Advisory Vote on Golden Parachutes For Yes No
Silver Spring Networks, Inc. SSNI 82817Q103 1/3/2018 Approve Merger Agreement For Yes No
Silver Spring Networks, Inc. SSNI 82817Q103 1/3/2018 Adjourn Meeting For Yes No
BroadSoft, Inc. BSFT 11133B409 1/25/2018 Approve Merger Agreement For Yes No
BroadSoft, Inc. BSFT 11133B409 1/25/2018 Advisory Vote on Golden Parachutes For Yes No
BroadSoft, Inc. BSFT 11133B409 1/25/2018 Adjourn Meeting For Yes No
BroadSoft, Inc. BSFT 11133B409 1/25/2018 Approve Merger Agreement For Yes No
BroadSoft, Inc. BSFT 11133B409 1/25/2018 Advisory Vote on Golden Parachutes For Yes No
BroadSoft, Inc. BSFT 11133B409 1/25/2018 Adjourn Meeting For Yes No
Bazaarvoice, Inc. BV 073271108 1/29/2018 Approve Merger Agreement For Yes No
Bazaarvoice, Inc. BV 073271108 1/29/2018 Adjourn Meeting For Yes No
Bazaarvoice, Inc. BV 073271108 1/29/2018 Advisory Vote on Golden Parachutes For Yes No
Buffalo Wild Wings, Inc. BWLD 119848109 2/2/2018 Approve Merger Agreement For Yes No
Buffalo Wild Wings, Inc. BWLD 119848109 2/2/2018 Advisory Vote on Golden Parachutes For Yes No
Buffalo Wild Wings, Inc. BWLD 119848109 2/2/2018 Adjourn Meeting For Yes No
Buffalo Wild Wings, Inc. BWLD 119848109 2/2/2018 Approve Merger Agreement For Yes No
Buffalo Wild Wings, Inc. BWLD 119848109 2/2/2018 Advisory Vote on Golden Parachutes For Yes No
Buffalo Wild Wings, Inc. BWLD 119848109 2/2/2018 Adjourn Meeting For Yes No
Straight Path Communications Inc. STRP 862578101 2/6/2018 Elect Director Davidi Jonas For Yes No
Straight Path Communications Inc. STRP 862578101 2/6/2018 Elect Director K. Chris Todd For Yes No
Straight Path Communications Inc. STRP 862578101 2/6/2018 Elect Director William F. Weld For Yes No
Straight Path Communications Inc. STRP 862578101 2/6/2018 Elect Director Fred S. Zeidman For Yes No
Barracuda Networks, Inc. CUDA 068323104 2/7/2018 Approve Merger Agreement For Yes No
Barracuda Networks, Inc. CUDA 068323104 2/7/2018 Adjourn Meeting For Yes No
Barracuda Networks, Inc. CUDA 068323104 2/7/2018 Approve Merger Agreement For Yes No
Barracuda Networks, Inc. CUDA 068323104 2/7/2018 Adjourn Meeting For Yes No
CalAtlantic Group, Inc. CAA 128195104 2/12/2018 Approve Merger Agreement For Yes No
CalAtlantic Group, Inc. CAA 128195104 2/12/2018 Advisory Vote on Golden Parachutes For Yes No
CalAtlantic Group, Inc. CAA 128195104 2/12/2018 Adjourn Meeting For Yes No
General Cable Corporation BGC 369300108 2/16/2018 Approve Merger Agreement For Yes No
General Cable Corporation BGC 369300108 2/16/2018 Advisory Vote on Golden Parachutes For Yes No
General Cable Corporation BGC 369300108 2/16/2018 Adjourn Meeting For Yes No
Atlantic Coast Financial Corporation ACFC 048426100 3/21/2018 Approve Merger Agreement For Yes No
Atlantic Coast Financial Corporation ACFC 048426100 3/21/2018 Advisory Vote on Golden Parachutes For Yes No
Atlantic Coast Financial Corporation ACFC 048426100 3/21/2018 Adjourn Meeting For Yes No
DST Systems, Inc. DST 233326107 3/28/2018 Approve Merger Agreement For Yes No
DST Systems, Inc. DST 233326107 3/28/2018 Advisory Vote on Golden Parachutes For Yes No
DST Systems, Inc. DST 233326107 3/28/2018 Adjourn Meeting For Yes No
DST Systems, Inc. DST 233326107 3/28/2018 Approve Merger Agreement For Yes No
DST Systems, Inc. DST 233326107 3/28/2018 Advisory Vote on Golden Parachutes For Yes No
DST Systems, Inc. DST 233326107 3/28/2018 Adjourn Meeting For Yes No
Callidus Software Inc. CALD 13123E500 3/29/2018 Approve Merger Agreement For Yes No
Callidus Software Inc. CALD 13123E500 3/29/2018 Advisory Vote on Golden Parachutes For Yes No
Callidus Software Inc. CALD 13123E500 3/29/2018 Adjourn Meeting For Yes No
Blackhawk Network Holdings, Inc. HAWK 09238E104 3/30/2018 Approve Merger Agreement For Yes No
Blackhawk Network Holdings, Inc. HAWK 09238E104 3/30/2018 Advisory Vote on Golden Parachutes For Yes No
Blackhawk Network Holdings, Inc. HAWK 09238E104 3/30/2018 Adjourn Meeting For Yes No
Blackhawk Network Holdings, Inc. HAWK 09238E104 3/30/2018 Approve Merger Agreement For Yes No
Blackhawk Network Holdings, Inc. HAWK 09238E104 3/30/2018 Advisory Vote on Golden Parachutes For Yes No
Blackhawk Network Holdings, Inc. HAWK 09238E104 3/30/2018 Adjourn Meeting For Yes No
Archrock Partners, L.P. APLP 03957U100 4/25/2018 Approve Merger Agreement For Yes No
Archrock Partners, L.P. APLP 03957U100 4/25/2018 Adjourn Meeting For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Reduce Supermajority Vote Requirement to Approve Merger For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Approve Merger Agreement For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Advisory Vote on Golden Parachutes For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Adjourn Meeting For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Reduce Supermajority Vote Requirement to Approve Merger For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Approve Merger Agreement For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Advisory Vote on Golden Parachutes For Yes No
Validus Holdings, Ltd. VR G9319H102 4/27/2018 Adjourn Meeting For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Shellye L. Archambeau For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Mark T. Bertolini For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Richard L. Carrion For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Melanie L. Healey For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director M. Frances Keeth For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Lowell C. McAdam For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Clarence Otis, Jr. For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Rodney E. Slater For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Kathryn A. Tesija For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Gregory D. Wasson For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Elect Director Gregory G. Weaver For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Ratify Ernst & Young as Auditors For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Amend Bylaws -- Call Special Meetings Against Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Report on Lobbying Payments and Policy Against Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Require Independent Board Chairman Against Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Assess Feasibility of Cyber Security and Data Privacy as a Performance Measure for Senior Executive Compensation Against Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Clawback of Incentive Payments Against Yes No
Verizon Communications Inc. VZ 92343V104 5/3/2018 Eliminate Above-Market Earnings in Executive Retirement Plans Against Yes No
Microsemi Corporation MSCC 595137100 5/22/2018 Approve Merger Agreement For Yes No
Microsemi Corporation MSCC 595137100 5/22/2018 Advisory Vote on Golden Parachutes For Yes No
Microsemi Corporation MSCC 595137100 5/22/2018 Adjourn Meeting For Yes No
Microsemi Corporation MSCC 595137100 5/22/2018 Approve Merger Agreement For Yes No
Microsemi Corporation MSCC 595137100 5/22/2018 Advisory Vote on Golden Parachutes For Yes No
Microsemi Corporation MSCC 595137100 5/22/2018 Adjourn Meeting For Yes No
XL Group Ltd XL G98255105 6/6/2018 Approve Merger Agreement For Yes No
XL Group Ltd XL G98255105 6/6/2018 Advisory Vote on Golden Parachutes For Yes No
XL Group Ltd XL G98255105 6/6/2018 Adjourn Meeting For Yes No
XL Group Ltd XL G98255105 6/6/2018 Approve Merger Agreement For Yes No
XL Group Ltd XL G98255105 6/6/2018 Advisory Vote on Golden Parachutes For Yes No
XL Group Ltd XL G98255105 6/6/2018 Adjourn Meeting For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Jonathan R. Furer For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Matthew H. Paull For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Maurice S. Reznik For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Roger W. Stone For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Ratify Ernst & Young LLP as Auditors For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Jonathan R. Furer For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Matthew H. Paull For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Maurice S. Reznik For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Elect Director Roger W. Stone For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Ratify Ernst & Young LLP as Auditors For Yes No
KapStone Paper and Packaging Corporation KS 48562P103 6/14/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Open Meeting   Yes No
NXP Semiconductors NV NXPI   6/22/2018 Discussion of the Implementation of the Remuneration Policy   Yes No
NXP Semiconductors NV NXPI   6/22/2018 Receive Explanation on Company's Reserves and Dividend Policy   Yes No
NXP Semiconductors NV NXPI   6/22/2018 Adopt Financial Statements and Statutory Reports For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Discharge of Board Members For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Richard L. Clemmer as Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Peter Bonfield as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Johannes P. Huth as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Kenneth A. Goldman as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Josef Kaeser as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Eric Meurice as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Peter Smitham as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Julie Southern as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Gregory Summe as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Steve Mollenkopf as Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of George S. Davis as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Donald J. Rosenberg as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Brian Modoff as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Rob ter Haar as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Steven Perrick as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital Plus Additional 10 Percent in Case of Takeover/Merger For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Authorize Board to Exclude Preemptive Rights from Share Issuances For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Authorize Repurchase of Up to 10 Percent of Issued Share Capital For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Cancellation of Ordinary Shares For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Ratify KPMG as Auditors For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Open Meeting   Yes No
NXP Semiconductors NV NXPI   6/22/2018 Discussion of the Implementation of the Remuneration Policy   Yes No
NXP Semiconductors NV NXPI   6/22/2018 Receive Explanation on Company's Reserves and Dividend Policy   Yes No
NXP Semiconductors NV NXPI   6/22/2018 Adopt Financial Statements and Statutory Reports For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Discharge of Board Members For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Richard L. Clemmer as Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Peter Bonfield as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Johannes P. Huth as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Kenneth A. Goldman as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Josef Kaeser as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Eric Meurice as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Peter Smitham as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Julie Southern as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Reelect Gregory Summe as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Steve Mollenkopf as Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of George S. Davis as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Donald J. Rosenberg as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Brian Modoff as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Rob ter Haar as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Conditional Appointment of Steven Perrick as Non-Executive Director For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Grant Board Authority to Issue Shares Up To 10 Percent of Issued Capital Plus Additional 10 Percent in Case of Takeover/Merger For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Authorize Board to Exclude Preemptive Rights from Share Issuances For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Authorize Repurchase of Up to 10 Percent of Issued Share Capital For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Approve Cancellation of Ordinary Shares For Yes No
NXP Semiconductors NV NXPI   6/22/2018 Ratify KPMG as Auditors For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Issue Shares in Connection with Merger For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Amend Certificate of Incorporation For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Advisory Vote on Golden Parachutes For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Adjourn Meeting For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director David E. Alexander For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Antonio Carrillo For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Jose M. Gutierrez For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Pamela H. Patsley For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Ronald G. Rogers For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Wayne R. Sanders For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Dunia A. Shive For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director M. Anne Szostak For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Larry D. Young For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Ratify Deloitte & Touche LLP as Auditors For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Report on Risks Related to Obesity Against Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Issue Shares in Connection with Merger For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Amend Certificate of Incorporation For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Advisory Vote on Golden Parachutes For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Adjourn Meeting For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director David E. Alexander For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Antonio Carrillo For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Jose M. Gutierrez For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Pamela H. Patsley For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Ronald G. Rogers For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Wayne R. Sanders For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Dunia A. Shive For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director M. Anne Szostak For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Elect Director Larry D. Young For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Ratify Deloitte & Touche LLP as Auditors For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Advisory Vote to Ratify Named Executive Officers' Compensation For Yes No
Dr Pepper Snapple Group, Inc. DPS 26138E109 6/29/2018 Report on Risks Related to Obesity Against Yes No

 

 

 

 

Vote Summary
  TCG BDC INC.  
  Security 872280102             Meeting Type Special 
  Ticker Symbol CGBD                        Meeting Date 15-Sep-2017
  ISIN US8722801029             Agenda 934662924 - Management
  Record Date 20-Jul-17             Holding Recon Date 20-Jul-2017
  City / Country     / United
States		         Vote Deadline Date 14-Sep-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1)    TO CONSIDER AND VOTE UPON A
PROPOSAL TO APPROVE THE
AMENDED AND RESTATED
INVESTMENT ADVISORY AGREEMENT
BY AND BETWEEN THE COMPANY AND
ITS INVESTMENT ADVISER, CARLYLE
GMS INVESTMENT MANAGEMENT L.L.C.		 Management Split   For Split  
  DEUTSCHE HIGH INC OPPORTUNITIES FUND INC  
  Security 25158Y102             Meeting Type Annual  
  Ticker Symbol DHG                         Meeting Date 20-Sep-2017
  ISIN US25158Y1029             Agenda 934671783 - Management
  Record Date 20-Jul-2017             Holding Recon Date 20-Jul-2017
  City / Country     / United
States		         Vote Deadline Date 19-Sep-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management          
      1 JOHN W. BALLANTINE     For    
      2 DAWN-MARIE DRISCOLL     For    
      3 KENNETH C. FROEWISS     For    
      4 REBECCA W. RIMEL     For    
  GUGGENHEIM FUNDS  
  Security 007639107             Meeting Type Annual  
  Ticker Symbol AGC                         Meeting Date 27-Sep-2017
  ISIN US0076391079             Agenda 934674791 - Management
  Record Date 15-Aug-2017             Holding Recon Date 15-Aug-2017
  City / Country     / United
States		         Vote Deadline Date 26-Sep-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   ELECTION OF CLASS II TRUSTEE: MR.
DANIEL L. BLACK		 Management     For    
  1B.   ELECTION OF CLASS II TRUSTEE: MR.
MICHAEL A. SMART		 Management     For    
  GUGGENHEIM FUNDS  
  Security 00764C109             Meeting Type Annual  
  Ticker Symbol AVK                         Meeting Date 27-Sep-2017
  ISIN US00764C1099             Agenda 934674804 - Management
  Record Date 15-Aug-2017             Holding Recon Date 15-Aug-2017
  City / Country     / United
States		         Vote Deadline Date 26-Sep-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   ELECTION OF CLASS II TRUSTEE: MR.
DANIEL L. BLACK		 Management     For    
  1B.   ELECTION OF CLASS II TRUSTEE: MR.
MICHAEL A. SMART		 Management     For    
  GUGGENHEIM FUNDS  
  Security 00765E104             Meeting Type Annual  
  Ticker Symbol LCM                         Meeting Date 27-Sep-2017
  ISIN US00765E1047             Agenda 934674816 - Management
  Record Date 15-Aug-2017             Holding Recon Date 15-Aug-2017
  City / Country     / United
States		         Vote Deadline Date 26-Sep-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   ELECTION OF CLASS I TRUSTEE: MR.
DANIEL L. BLACK		 Management     For    
  1B.   ELECTION OF CLASS I TRUSTEE: MR.
MICHAEL A. SMART		 Management     For    
  LEGG MASON  
  Security 95766B109             Meeting Type Annual  
  Ticker Symbol EHI                         Meeting Date 29-Sep-2017
  ISIN US95766B1098             Agenda 934674309 - Management
  Record Date 25-Jul-2017             Holding Recon Date 25-Jul-2017
  City / Country     / United
States		         Vote Deadline Date 28-Sep-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management          
      1 CAROL L. COLMAN     For    
      2 DANIEL P. CRONIN     For    
      3 PAOLO M. CUCCHI     For    
  ANDINA ACQUISITION CORP II  
  Security G0441P104             Meeting Type Special 
  Ticker Symbol ANDA                        Meeting Date 31-Oct-2017
  ISIN KYG0441P1046             Agenda 934690860 - Management
  Record Date 03-Oct-2017             Holding Recon Date 03-Oct-2017
  City / Country     / United
States		         Vote Deadline Date 30-Oct-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    EXTENSION OF CORPORATE LIFE:
AMEND THE COMPANY'S AMENDED
AND RESTATED MEMORANDUM AND
ARTICLES OF ASSOCIATION TO
EXTEND THE DATE THAT THE
COMPANY HAS TO CONSUMMATE A
BUSINESS COMBINATION TO
FEBRUARY 1, 2018		 Management For   For For  
  1A.   ONLY IF YOU HOLD ORDINARY SHARES
OF THE COMPANY ISSUED IN THE
COMPANY'S INITIAL PUBLIC OFFERING,
OR PUBLIC SHARES, MAY YOU
EXERCISE YOUR CONVERSION RIGHTS
WITH RESPECT TO ALL OR A PORTION
OF YOUR PUBLIC SHARES BY MARKING
THE "FOR" BOX BELOW AND
INDICATING HOW MANY PUBLIC ...(DUE
TO SPACE LIMITS, SEE PROXY
STATEMENT FOR FULL PROPOSAL).		 Management Against   Take No Action    
  MVC CAPITAL, INC.  
  Security 553829102             Meeting Type Annual  
  Ticker Symbol MVC                         Meeting Date 31-Oct-2017
  ISIN US5538291023             Agenda 934681304 - Management
  Record Date 01-Sep-2017             Holding Recon Date 01-Sep-2017
  City / Country     / United
States		         Vote Deadline Date 30-Oct-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 EMILIO DOMINIANNI Split   For Split  
      2 PHILLIP GOLDSTEIN Split   For Split  
      3 GERALD HELLERMAN Split   For Split  
      4 WARREN HOLTSBERG Split   For Split  
      5 ROBERT KNAPP Split   For Split  
      6 WILLIAM TAYLOR Split   For Split  
      7 MICHAEL TOKARZ Split   For Split  
  2.    TO RATIFY THE SELECTION OF GRANT
THORNTON LLP AS THE FUND'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR FISCAL YEAR
2017.		 Management Split   For Split  
  3.    SHAREHOLDER PROPOSAL TO CEASE
TO MAKE ANY NEW INVESTMENTS, AND
FOR THE COMPANY TO RETURN ANY
CAPITAL IN EXCESS OF THE
COMPANY'S NORMAL WORKING
CAPITAL REQUIREMENTS TO
SHAREHOLDERS IN THE MOST TAX-
EFFICIENT MANNER AS LONG AS THE
STOCK PRICE DISCOUNT TO NET
ASSET VALUE EXCEEDS 10%.		 Shareholder Split   Against Split  
  INSIGHT INVESTMENTS  
  Security 56165R103             Meeting Type Annual  
  Ticker Symbol MZF                         Meeting Date 06-Dec-2017
  ISIN US56165R1032             Agenda 934685516 - Management
  Record Date 18-Sep-2017             Holding Recon Date 18-Sep-2017
  City / Country     / United
States		         Vote Deadline Date 05-Dec-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 ELLEN D. HARVEY Split   For Split  
  INSIGHT INVESTMENTS  
  Security 56165R103             Meeting Type Annual  
  Ticker Symbol MZF                         Meeting Date 06-Dec-2017
  ISIN US56165R1032             Agenda 934685516 - Management
  Record Date 18-Sep-2017             Holding Recon Date 18-Sep-2017
  City / Country     / United
States		         Vote Deadline Date 05-Dec-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 ELLEN D. HARVEY Split   For Split  
  SPECIAL OPPORTUNITIES FUND, INC  
  Security 84741T104             Meeting Type Annual  
  Ticker Symbol SPE                         Meeting Date 07-Dec-2017
  ISIN US84741T1043             Agenda 934698981 - Management
  Record Date 18-Oct-2017             Holding Recon Date 18-Oct-2017
  City / Country     / United
States		         Vote Deadline Date 06-Dec-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 MR. ANDREW DAKOS Split   For Split  
      2 MR. GERALD HELLERMAN Split   For Split  
      3 MR. CHARLES WALDEN Split   For Split  
      4 MR. BEN HARRIS Split   For Split  
  AMERICAN CAPITAL SENIOR FLOATING LTD  
  Security 02504D108             Meeting Type Annual  
  Ticker Symbol ACSF                        Meeting Date 14-Dec-2017
  ISIN US02504D1081             Agenda 934696723 - Management
  Record Date 19-Oct-2017             Holding Recon Date 19-Oct-2017
  City / Country     / United
States		         Vote Deadline Date 13-Dec-2017
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   ELECTION OF DIRECTOR: PHYLLIS R.
CALDWELL		 Management Split   For Split  
  1B.   ELECTION OF DIRECTOR: GIL
CRAWFORD		 Management Split   For Split  
  1C.   ELECTION OF DIRECTOR: LARRY K.
HARVEY		 Management Split   For Split  
  1D.   ELECTION OF DIRECTOR: KEVIN R.
BRADDISH		 Management Split   For Split  
  2.    TO RATIFY THE SELECTION OF ERNST
& YOUNG LLP AS THE COMPANY'S
INDEPENDENT REGISTERED PUBLIC
ACCOUNTING FIRM FOR THE FISCAL
YEAR ENDING DECEMBER 31, 2017.		 Management Split   For Split  
  ANDINA ACQUISITION CORP II  
  Security G0441P104             Meeting Type Special 
  Ticker Symbol ANDA                        Meeting Date 31-Jan-2018
  ISIN KYG0441P1046             Agenda 934720435 - Management
  Record Date 10-Jan-2018             Holding Recon Date 10-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 30-Jan-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    Extension of Corporate Life. Amend the
Company's amended and restated
memorandum and articles of association to
extend the date that the Company has to
consummate a business combination to
April 1, 2018.		 Management For   For For  
  1a.   TO CONVERT ORDINARY SHARES OF
THE COMPANY		 Management Against   Take No Action    
  EATON VANCE SHORT DURATION DIV INCOME FD  
  Security 27828V104             Meeting Type Annual  
  Ticker Symbol EVG                         Meeting Date 15-Feb-2018
  ISIN US27828V1044             Agenda 934716296 - Management
  Record Date 05-Dec-2017             Holding Recon Date 05-Dec-2017
  City / Country     / United
States		         Vote Deadline Date 14-Feb-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 THOMAS E. FAUST JR. Split   For Split  
      2 CYNTHIA E. FROST Split   For Split  
      3 SCOTT E. WENNERHOLM Split   For Split  
  LEGG MASON  
  Security 10537L104             Meeting Type Annual  
  Ticker Symbol BWG                         Meeting Date 23-Feb-2018
  ISIN US10537L1044             Agenda 934723506 - Management
  Record Date 03-Jan-2018             Holding Recon Date 03-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 22-Feb-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Robert D. Agdern Split   For Split  
      2 Eileen Kamerick Split   For Split  
      3 Riordan Roett Split   For Split  
  PRUDENTIAL INVESTMENTS CLOSED END FUNDS  
  Security 74442F107             Meeting Type Annual  
  Ticker Symbol ISD                         Meeting Date 09-Mar-2018
  ISIN US74442F1075             Agenda 934717755 - Management
  Record Date 15-Dec-2017             Holding Recon Date 15-Dec-2017
  City / Country     / United
States		         Vote Deadline Date 08-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 SCOTT E. BENJAMIN Split   For Split  
      2 LINDA W. BYNOE Split   For Split  
      3 LAURIE SIMON HODRICK Split   For Split  
      4 MICHAEL S. HYLAND, CFA Split   For Split  
  PRUDENTIAL INVESTMENTS CLOSED END FUNDS  
  Security 74433A109             Meeting Type Annual  
  Ticker Symbol GHY                         Meeting Date 09-Mar-2018
  ISIN US74433A1097             Agenda 934717767 - Management
  Record Date 15-Dec-2017             Holding Recon Date 15-Dec-2017
  City / Country     / United
States		         Vote Deadline Date 08-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 SCOTT E. BENJAMIN Split   For Split  
      2 LINDA W. BYNOE Split   For Split  
      3 LAURIE SIMON HODRICK Split   For Split  
      4 MICHAEL S. HYLAND, CFA Split   For Split  
  PRUDENTIAL INVESTMENTS CLOSED END FUNDS  
  Security 74433A109             Meeting Type Annual  
  Ticker Symbol GHY                         Meeting Date 09-Mar-2018
  ISIN US74433A1097             Agenda 934717767 - Management
  Record Date 15-Dec-2017             Holding Recon Date 15-Dec-2017
  City / Country     / United
States		         Vote Deadline Date 08-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 SCOTT E. BENJAMIN Split   For Split  
      2 LINDA W. BYNOE Split   For Split  
      3 LAURIE SIMON HODRICK Split   For Split  
      4 MICHAEL S. HYLAND, CFA Split   For Split  
  ALPINE TOTAL DYNAMIC DIVIDEND FUND  
  Security 021060207             Meeting Type Contested-Special 
  Ticker Symbol AOD                         Meeting Date 14-Mar-2018
  ISIN US0210602076             Agenda 934719420 - Management
  Record Date 14-Dec-2017             Holding Recon Date 14-Dec-2017
  City / Country     / United
States		         Vote Deadline Date 13-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To approve a new investment advisory
agreement between the Fund and
Aberdeen Asset Managers Limited.		 Management Split   For    
  2.    DIRECTOR Management Split        
      1 John Sievwright Split   For    
      2 P. Gerald Malone Split   For    
      3 Nancy Yao Maasbach Split   For    
      4 Martin Gilbert Split   For    
  ALPINE TOTAL DYNAMIC DIVIDEND FUND  
  Security 021060207             Meeting Type Contested-Special 
  Ticker Symbol AOD                         Meeting Date 14-Mar-2018
  ISIN US0210602076             Agenda 934727047 - Opposition
  Record Date 14-Dec-2017             Holding Recon Date 14-Dec-2017
  City / Country     / United
States		         Vote Deadline Date 13-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To approve a new investment advisory
agreement between the Fund and
Aberdeen Asset Managers Limited.		 Management Split   Against    
  2A    John Sievwright - To elect as Trustee to
serve for a term from one to three years or
until his or her successor has been duly
elected and qualified, and to take office only
if Proposal 1 is approved by shareholders of
the Fund and only after resignation of the
current Trustees is effective. (ABSTAIN =
WITHOLD)		 Management Split   Abstain    
  2B    P. Gerald Malone - To elect as Trustee to
serve for a term from one to three years or
until his or her successor has been duly
elected and qualified, and to take office only
if Proposal 1 is approved by shareholders of
the Fund and only after resignation of the
current Trustees is effective. (ABSTAIN =
WITHOLD)		 Management Split   Abstain    
  2C    Nancy Yao Maasbach - To elect as Trustee
to serve for a term from one to three years
or until his or her successor has been duly
elected and qualified, and to take office only
if Proposal 1 is approved by shareholders of
the Fund and only after resignation of the
current Trustees is effective. (ABSTAIN =
WITHOLD)		 Management Split   Abstain    
  2D    Martin Gilbert - To elect as Trustee to serve
for a term from one to three years or until
his or her successor has been duly elected
and qualified, and to take office only if
Proposal 1 is approved by shareholders of
the Fund and only after resignation of the
current Trustees is effective. (ABSTAIN =
WITHOLD)		 Management Split   Abstain    
  ANDINA ACQUISITION CORP II  
  Security G0441P104             Meeting Type Special 
  Ticker Symbol ANDA                        Meeting Date 15-Mar-2018
  ISIN KYG0441P1046             Agenda 934730068 - Management
  Record Date 12-Feb-2018             Holding Recon Date 12-Feb-2018
  City / Country     / United
States		         Vote Deadline Date 14-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   The merger of Andina with and into Andina
II Holdco Corp. ("Holdco"), with Holdco
surviving and becoming a new public
company.		 Management For   For For  
  1B.   The subsequent merger of Andina II Merger
Sub Inc. with and into Lazy Days' R.V.
Center, Inc. ("Lazydays"), with Lazydays
surviving and becoming a direct wholly
owned subsidiary of Holdco.		 Management For   For For  
  1C.   I HEREBY EXERCISE MY CONVERSION
RIGHTS.		 Management For   Take No Action    
  2A.   Class A Director to serve until 2019: Jordan
Gnat		 Management For   For For  
  2B.   Class B Director to serve until 2020: Bryan
Rich, Jr.		 Management For   For For  
  2C.   Class B Director to serve until 2020: Jerry
Comstock		 Management For   For For  
  2D.   Class B Director to serve until 2020: B.
Luke Weil		 Management For   For For  
  2E.   Class C Director to serve until 2021: William
Murnane		 Management For   For For  
  2F.   Class C Director to serve until 2021:
Christopher S. Shackelton		 Management For   For For  
  2G.   Class C Director to serve until 2021: Jim
Fredlake		 Management For   For For  
  3A.   To approve the following material
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association:
The name of the new public entity will be
"Lazydays Holdings, Inc." as opposed to
"Andina Acquisition Corp. II".		 Management For   For For  
  3B.   To approve the following material
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association:
Holdco will have 100,000,000 authorized
shares of common stock and 5,000,000
authorized shares of preferred stock, as
opposed to Andina having 100,000,000
authorized ordinary shares and 1,000,000
authorized preferred share		 Management For   For For  
  3C.   To approve the following material
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association:
Holdco's corporate existence will be
perpetual as opposed to Andina's corporate
existence terminating if a business
combination is not consummated by Andina
within a specified period of time.		 Management For   For For  
  3D.   To approve the following material
differences between the constitutional
documents of Holdco that will be in effect
upon the closing of the transactions and
Andina's current amended and restated
memorandum and articles of association:
Holdco's constitutional documents will not
include the various provisions applicable
only to special purpose acquisition
corporations that Andina's amended and
restated memorandum and articles of
association contains		 Management For   For For  
  4.    To approve the adoption of the Holdco 2018
Long-Term Incentive Equity Plan.		 Management For   For For  
  5.    To approve the sale of convertible preferred
stock, common stock, and warrants of
Holdco for an aggregate purchase price of
$94.8 million in private placements which
will close simultaneously with the
consummation of the mergers.		 Management For   For For  
  6.    To adjourn the extraordinary general
meeting to a later date or dates, if
necessary, if Andina is unable to
consummate the mergers for any reason.		 Management For   For For  
  CORPORATE CAPITAL TRUST, INC.  
  Security 219880101             Meeting Type Special 
  Ticker Symbol CCT                         Meeting Date 26-Mar-2018
  ISIN US2198801019             Agenda 934723734 - Management
  Record Date 22-Jan-2018             Holding Recon Date 22-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 23-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To approve a new investment advisory
agreement by and between the Company
and KKR Credit Advisors (US) LLC ("KKR
Credit") ("KKR Investment Co-Advisory
Agreement") and a new investment
advisory agreement by and between the
Company and an affiliate of Franklin Square
Holdings, L.P. ("FS Investments" and, such
adviser, "FS Adviser") (the "FS Adviser
Investment Co-Advisory Agreement" and,
together with the KKR Investment Co-
Advisory Agreement, the "Investment Co-
Advisory Agreements").		 Management Split   For Split  
  2.    To approve a new investment advisory by
and between the Company and FS/KKR
Advisor, LLC, a newly-formed investment
adviser jointly operated by KKR Credit and
an affiliate of FS Investments (the "Joint
Advisor") (the "Joint Advisor Investment
Advisory Agreement"), pursuant to which
the Joint Advisor will act as investment
adviser to the Company.		 Management Split   For Split  
  FS INVESTMENT CORPORATION  
  Security 302635107             Meeting Type Special 
  Ticker Symbol FSIC                        Meeting Date 26-Mar-2018
  ISIN US3026351078             Agenda 934723291 - Management
  Record Date 18-Jan-2018             Holding Recon Date 18-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 23-Mar-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To approve a new investment advisory
agreement, by and between the Company
and FB Income Advisor, LLC ("FB Income
Advisor") (the "FB Income Advisor
Investment Co-Advisory Agreement"), and a
new investment advisory agreement, by
and between the Company and KKR Credit
Advisors (US) LLC ("KKR Credit") (the
"KKR Investment Co-Advisory Agreement"
and, together with the FB Income Advisor
Investment Co-Advisory Agreement, the
"Investment Co-Advisory Agreements").		 Management Split   For Split  
  2.    To approve a new investment advisory
agreement, by and between the Company
and FS/KKR Advisor, LLC, a newly-formed
investment adviser jointly operated by an
affiliate of Franklin Square Holdings, L.P.
and KKR Credit (the "Joint Advisor") (the
"Joint Advisor Investment Advisory
Agreement"), pursuant to which the Joint
Advisor will act as investment adviser to the
Company.		 Management Split   For Split  
  NUVEEN FUNDS  
  Security 670677103             Meeting Type Annual  
  Ticker Symbol NIQ                         Meeting Date 11-Apr-2018
  ISIN US6706771036             Agenda 934734511 - Management
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 10-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   DIRECTOR Management Split     Split  
      1 Margo L. Cook Split   For Split  
      2 Jack B. Evans Split   For Split  
      3 Albin F. Moschner Split   For Split  
  NUVEEN FUNDS  
  Security 67074R100             Meeting Type Annual  
  Ticker Symbol JMT                         Meeting Date 11-Apr-2018
  ISIN US67074R1005             Agenda 934734523 - Management
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 10-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1B.   DIRECTOR Management Split     Split  
      1 Margo L. Cook Split   For Split  
      2 Jack B. Evans Split   For Split  
      3 Albin F. Moschner Split   For Split  
      4 William J. Schneider Split   For Split  
  NUVEEN FUNDS  
  Security 670735109             Meeting Type Annual  
  Ticker Symbol JLS                         Meeting Date 11-Apr-2018
  ISIN US6707351093             Agenda 934734523 - Management
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 10-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1B.   DIRECTOR Management Split     Split  
      1 Margo L. Cook Split   For Split  
      2 Jack B. Evans Split   For Split  
      3 Albin F. Moschner Split   For Split  
      4 William J. Schneider Split   For Split  
  NUVEEN FUNDS  
  Security 67077P101             Meeting Type Annual  
  Ticker Symbol JEMD                        Meeting Date 11-Apr-2018
  ISIN US67077P1012             Agenda 934734523 - Management
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 10-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1B.   DIRECTOR Management Split     Split  
      1 Margo L. Cook Split   For Split  
      2 Jack B. Evans Split   For Split  
      3 Albin F. Moschner Split   For Split  
      4 William J. Schneider Split   For Split  
  NUVEEN PREFERED & CONVERTIBLE INCOME 2  
  Security 67073D102             Meeting Type Annual  
  Ticker Symbol JQC                         Meeting Date 11-Apr-2018
  ISIN US67073D1028             Agenda 934734523 - Management
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018
  City / Country     / United
States		         Vote Deadline Date 10-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1B.   DIRECTOR Management Split     Split  
      1 Margo L. Cook Split   For Split  
      2 Jack B. Evans Split   For Split  
      3 Albin F. Moschner Split   For Split  
      4 William J. Schneider Split   For Split  
  Reaves  
  Security 756158101             Meeting Type Annual  
  Ticker Symbol UTG                         Meeting Date 11-Apr-2018
  ISIN US7561581015             Agenda 934737822 - Management
  Record Date 12-Feb-2018             Holding Recon Date 12-Feb-2018
  City / Country     / United
States		         Vote Deadline Date 10-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 E. Wayne Nordberg Split   For Split  
      2 Larry W. Papasan Split   For Split  
  CORNERSTONE STRATEGIC VALUE FUND, INC.  
  Security 21924B302             Meeting Type Annual  
  Ticker Symbol CLM                         Meeting Date 17-Apr-2018
  ISIN US21924B3024             Agenda 934735688 - Management
  Record Date 20-Feb-2018             Holding Recon Date 20-Feb-2018
  City / Country     / United
States		         Vote Deadline Date 16-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Robert E. Dean Split   For Split  
      2 Matthew W. Morris Split   For Split  
      3 Scott B. Rogers Split   For Split  
  2.    In their discretion, the proxies are
authorized to consider and vote upon such
other matters as may properly come before
the said Meeting or any adjournment
thereof.		 Management Split   For Split  
  EATON VANCE FLOATING RATE 2022  
  Security 27831H100             Meeting Type Annual  
  Ticker Symbol EFL                         Meeting Date 19-Apr-2018
  ISIN US27831H1005             Agenda 934732593 - Management
  Record Date 06-Feb-2018             Holding Recon Date 06-Feb-2018
  City / Country     / United
States		         Vote Deadline Date 18-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Thomas E. Faust Jr. Split   For Split  
      2 Mark R. Fetting Split   For Split  
  LAZARD WORLD DIVIDEND & INCOME FD, INC.  
  Security 521076109             Meeting Type Annual  
  Ticker Symbol LOR                         Meeting Date 20-Apr-2018
  ISIN US5210761095             Agenda 934747722 - Management
  Record Date 09-Mar-2018             Holding Recon Date 09-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 19-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Franci J. Blassberg Split   For Split  
      2 Richard Reiss, Jr. Split   For Split  
      3 Ashish Bhutani Split   For Split  
  MORGAN STANLEY TRUSTS  
  Security 61745P874             Meeting Type Special 
  Ticker Symbol ICB                         Meeting Date 20-Apr-2018
  ISIN US61745P8749             Agenda 934746504 - Management
  Record Date 23-Feb-2018             Holding Recon Date 23-Feb-2018
  City / Country     / United
States		         Vote Deadline Date 19-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To consider and vote upon a proposal to
approve the actions and transactions
described in that certain Agreement and
Plan of Reorganization, dated January 22,
2018, between Morgan Stanley Income
Securities Inc. (the "Acquired Fund") and
Morgan Stanley Institutional Fund Trust, on
behalf of the Corporate Bond Portfolio (the
"Acquiring Fund") (the "Reorganization").		 Management Split   For Split  
  PIMCO  
  Security 72202D106             Meeting Type Annual  
  Ticker Symbol PCI                         Meeting Date 27-Apr-2018
  ISIN US72202D1063             Agenda 934750363 - Management
  Record Date 26-Feb-2018             Holding Recon Date 26-Feb-2018
  City / Country     / United
States		         Vote Deadline Date 26-Apr-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Craig A. Dawson Split   For Split  
      2 Bradford K. Gallagher Split   For Split  
      3 James A. Jacobson Split   For Split  
  GARRISON CAPITAL INC.  
  Security 366554103             Meeting Type Annual  
  Ticker Symbol GARS                        Meeting Date 02-May-2018
  ISIN US3665541039             Agenda 934741491 - Management
  Record Date 07-Mar-2018             Holding Recon Date 07-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 01-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   Election of Director: Brian Chase Management Split   For Split  
  1B.   Election of Director: Joseph Morea Management Split   For Split  
  2.    Ratification of selection of RSM US LLP to
serve as independent registered public
accounting firm for fiscal year ending
December 31, 2018.		 Management Split   For Split  
  GARRISON CAPITAL INC.  
  Security 366554103             Meeting Type Annual  
  Ticker Symbol GARS                        Meeting Date 02-May-2018
  ISIN US3665541039             Agenda 934741491 - Management
  Record Date 07-Mar-2018             Holding Recon Date 07-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 01-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1A.   Election of Director: Brian Chase Management Split   For Split  
  1B.   Election of Director: Joseph Morea Management Split   For Split  
  2.    Ratification of selection of RSM US LLP to
serve as independent registered public
accounting firm for fiscal year ending
December 31, 2018.		 Management Split   For Split  
  THE GABELLI EQUITY TRUST INC.  
  Security 362397101             Meeting Type Annual  
  Ticker Symbol GAB                         Meeting Date 14-May-2018
  ISIN US3623971013             Agenda 934764867 - Management
  Record Date 16-Mar-2018             Holding Recon Date 16-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 11-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Michael J. Ferrantino Split   For Split  
  TORTOISE ENERGY INFRASTRUCTURE CORP.  
  Security 89147L100             Meeting Type Annual  
  Ticker Symbol TYG                         Meeting Date 18-May-2018
  ISIN US89147L1008             Agenda 934782550 - Management
  Record Date 13-Mar-2018             Holding Recon Date 13-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 17-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Rand C. Berney Split   For Split  
  2.    Ratification of Ernst & Young LLP as the
Company's independent registered public
accounting firm to audit the financial
statements of the Company for the fiscal
year ending November 30, 2018.		 Management Split   For Split  
  VIRTUS MUTUAL FUNDS  
  Security 92837G100             Meeting Type Annual  
  Ticker Symbol ZF                          Meeting Date 22-May-2018
  ISIN US92837G1004             Agenda 934795331 - Management
  Record Date 02-Apr-2018             Holding Recon Date 02-Apr-2018
  City / Country     / United
States		         Vote Deadline Date 21-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1e.   DIRECTOR Management Split     Split  
      1 James M. Oates Split   For Split  
      2 James B. Rogers, Jr. Split   For Split  
  EAGLE GROWTH & INCOME OPPORTUNITIES FD  
  Security 26958J105             Meeting Type Annual  
  Ticker Symbol EGIF                        Meeting Date 24-May-2018
  ISIN US26958J1051             Agenda 934792474 - Management
  Record Date 05-Apr-2018             Holding Recon Date 05-Apr-2018
  City / Country     / United
States		         Vote Deadline Date 23-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.1   Election of Class II Trustee: Ronald J.
Burton		 Management Split   For Split  
  1.2   Election of Class II Trustee: Steven A.
Baffico		 Management Split   For Split  
  WESTERN ASSET/CLAYMORE LINKED OPP & INC  
  Security 95766R104             Meeting Type Annual  
  Ticker Symbol WIW                         Meeting Date 30-May-2018
  ISIN US95766R1041             Agenda 934788615 - Management
  Record Date 27-Mar-2018             Holding Recon Date 27-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 29-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1a.   Election of Trustee: Ronald A. Nyberg Management Split   For Split  
  2a.   a new investment advisory agreement
between the Fund and Western Asset
Management Company ("Western Asset")		 Management Split   For Split  
  2b.   a new sub-advisory agreement between
Western Asset and Western Asset
Management Company Limited with respect
to the Fund		 Management Split   For Split  
  2c.   a new sub-advisory agreement between
Western Asset and Western Asset
Management Company Ltd with respect to
the Fund		 Management Split   For Split  
  2d.   a new sub-advisory agreement between
Western Asset and Western Asset
Management Company Pte. Ltd. with
respect to the Fund		 Management Split   For Split  
  LIBERTY ALL-STAR EQUITY FUND  
  Security 530158104             Meeting Type Special 
  Ticker Symbol USA                         Meeting Date 31-May-2018
  ISIN US5301581048             Agenda 934799620 - Management
  Record Date 02-Mar-2018             Holding Recon Date 02-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 30-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To approve new fund management
agreements between each Fund and ALPS
Advisors.		 Management Split   For Split  
  2c.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows:
Sustainable Growth Advisers, LP		 Management Split   For Split  
  2d.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows: Aristotle
Capital Management, LLC		 Management Split   For Split  
  2e.   To approve new portfolio management
agreements: Macquarie Investment
Management		 Management Split   For Split  
  2f.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows: Pzena
Investment Management, LLC		 Management Split   For Split  
  2g.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows: TCW
Investment Management Company		 Management Split   For Split  
  3.    To approve a new portfolio management
agreement among each Fund, ALPS
Advisors and Sustainable Growth Advisers,
LP, a current portfolio manager of the
Funds.		 Management Split   For Split  
  LIBERTY ALL-STAR EQUITY FUND  
  Security 530158104             Meeting Type Special 
  Ticker Symbol USA                         Meeting Date 31-May-2018
  ISIN US5301581048             Agenda 934799620 - Management
  Record Date 02-Mar-2018             Holding Recon Date 02-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 30-May-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To approve new fund management
agreements between each Fund and ALPS
Advisors.		 Management Split   For Split  
  2c.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows:
Sustainable Growth Advisers, LP		 Management Split   For Split  
  2d.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows: Aristotle
Capital Management, LLC		 Management Split   For Split  
  2e.   To approve new portfolio management
agreements: Macquarie Investment
Management		 Management Split   For Split  
  2f.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows: Pzena
Investment Management, LLC		 Management Split   For Split  
  2g.   To approve new portfolio management
agreements among each Fund, ALPS
Advisors and each of the current portfolio
managers of the Funds, as follows: TCW
Investment Management Company		 Management Split   For Split  
  3.    To approve a new portfolio management
agreement among each Fund, ALPS
Advisors and Sustainable Growth Advisers,
LP, a current portfolio manager of the
Funds.		 Management Split   For Split  
  THE INDIA FUND, INC.  
  Security 454089103             Meeting Type Annual  
  Ticker Symbol IFN                         Meeting Date 20-Jun-2018
  ISIN US4540891037             Agenda 934822734 - Management
  Record Date 27-Apr-2018             Holding Recon Date 27-Apr-2018
  City / Country     / United
States		         Vote Deadline Date 19-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.1   Election of Class I Director: Nisha Kumar Management Split   For Split  
  1.2   Election of Class I Director: Martin Gilbert Management Split   For Split  
  1.3   Election of Class I Director: Jeswald
Salacuse		 Management Split   For Split  
  MORGAN STANLEY EMER MKTS DEBT FUND, INC.  
  Security 61744H105             Meeting Type Annual  
  Ticker Symbol MSD                         Meeting Date 21-Jun-2018
  ISIN US61744H1059             Agenda 934825831 - Management
  Record Date 06-Apr-2018             Holding Recon Date 06-Apr-2018
  City / Country     / United
States		         Vote Deadline Date 20-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management          
      1 Nancy C. Everett     For    
      2 Michael F. Klein     For    
      3 W. Allen Reed     For    
  MORGAN STANLEY EMERGING MARKETS FD, INC.  
  Security 61744G107             Meeting Type Annual  
  Ticker Symbol MSF                         Meeting Date 21-Jun-2018
  ISIN US61744G1076             Agenda 934825831 - Management
  Record Date 06-Apr-2018             Holding Recon Date 06-Apr-2018
  City / Country     / United
States		         Vote Deadline Date 20-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management          
      1 Nancy C. Everett     For    
      2 Michael F. Klein     For    
      3 W. Allen Reed     For    
  HIGHLAND FUNDS  
  Security 43010E404             Meeting Type Annual  
  Ticker Symbol HFRO                        Meeting Date 22-Jun-2018
  ISIN US43010E4044             Agenda 934841075 - Management
  Record Date 21-May-2018             Holding Recon Date 21-May-2018
  City / Country     / United
States		         Vote Deadline Date 21-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management          
      1 John Honis     For    
      2 Dustin Norris     For    
  NEXPOINT FUNDS  
  Security 65340G205             Meeting Type Annual  
  Ticker Symbol NHF                         Meeting Date 22-Jun-2018
  ISIN US65340G2057             Agenda 934841099 - Management
  Record Date 21-May-2018             Holding Recon Date 21-May-2018
  City / Country     / United
States		         Vote Deadline Date 21-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management          
      1 John Honis     For    
      2 Dustin Norris     For    
  AMERICAN CAPITAL SENIOR FLOATING LTD  
  Security 02504D108             Meeting Type Special 
  Ticker Symbol ACSF                        Meeting Date 28-Jun-2018
  ISIN US02504D1081             Agenda 934840251 - Management
  Record Date 17-May-2018             Holding Recon Date 17-May-2018
  City / Country     / United
States		         Vote Deadline Date 27-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    To consider and vote upon a proposal to
approve the Plan of Complete Liquidation
and Dissolution of the Company (the
"Plan"), including the sale of all or
substantially all of the Company's assets
and the dissolution of the Company
pursuant to the Plan.		 Management For   For For  
  Kayne  
  Security 486606106             Meeting Type Annual  
  Ticker Symbol KYN                         Meeting Date 28-Jun-2018
  ISIN US4866061066             Agenda 934844312 - Management
  Record Date 21-May-2018             Holding Recon Date 21-May-2018
  City / Country     / United
States		         Vote Deadline Date 27-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1a.   THE ELECTION OF ALBERT L. RICHEY
AS DIRECTOR FOR A TERM OF ONE
YEAR AND UNTIL HIS SUCCESSOR IS
ELECTED AND QUALIFIED.		 Management Split   For Split  
  1b.   THE ELECTION OF WILLIAM R. CORDES
AS DIRECTOR FOR A TERM OF TWO
YEARS AND UNTIL HIS SUCCESSOR IS
ELECTED AND QUALIFIED.		 Management Split   For Split  
  1c.   THE ELECTION OF BARRY R. PEARL AS
DIRECTOR FOR A TERM OF TWO
YEARS AND UNTIL HIS SUCCESSOR IS
ELECTED AND QUALIFIED.		 Management Split   For Split  
  1d.   THE ELECTION OF KEVIN S. MCCARTHY
AS DIRECTOR FOR A TERM OF THREE
YEARS AND UNTIL HIS SUCCESSOR IS
ELECTED AND QUALIFIED.		 Management Split   For Split  
  1e.   THE ELECTION OF WILLIAM L. THACKER
AS DIRECTOR FOR A TERM OF THREE
YEARS AND UNTIL HIS SUCCESSOR IS
ELECTED AND QUALIFIED.		 Management Split   For Split  
  2.    THE RATIFICATION OF THE SELECTION
OF PRICEWATERHOUSECOOPERS LLP
AS KYN'S INDEPENDENT REGISTERED
PUBLIC ACCOUNTING FIRM FOR THE
FISCAL YEAR ENDING NOVEMBER 30,
2018.		 Management Split   For Split  
  TEMPLETON EMERGING MKTS INCOME FUND  
  Security 880192109             Meeting Type Annual  
  Ticker Symbol TEI                         Meeting Date 29-Jun-2018
  ISIN US8801921094             Agenda 934785924 - Management
  Record Date 28-Mar-2018             Holding Recon Date 28-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 28-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Ann Torre Bates Split   For Split  
      2 David W. Niemiec Split   For Split  
      3 Larry D. Thompson Split   For Split  
      4 Robert E. Wade Split   For Split  
  2.    To approve the elimination of the
fundamental investment policy requiring the
Fund to invest at least 65% of its total
assets in U.S. dollar-denominated securities		 Management Split   For Split  
  3.    To approve an amended fundamental
investment restriction regarding
investments in commodities		 Management Split   For Split  
  4.    The ratification of the selection of
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Fund for the fiscal year ending
December 31, 2018		 Management Split   For Split  
  TEMPLETON EMERGING MKTS INCOME FUND  
  Security 880192109             Meeting Type Annual  
  Ticker Symbol TEI                         Meeting Date 29-Jun-2018
  ISIN US8801921094             Agenda 934785924 - Management
  Record Date 28-Mar-2018             Holding Recon Date 28-Mar-2018
  City / Country     / United
States		         Vote Deadline Date 28-Jun-2018
  SEDOL(s)         Quick Code  
  Item Proposal   Proposed
by		 Vote Management
Recommendation		 For/Against
Management		  
  1.    DIRECTOR Management Split     Split  
      1 Ann Torre Bates Split   For Split  
      2 David W. Niemiec Split   For Split  
      3 Larry D. Thompson Split   For Split  
      4 Robert E. Wade Split   For Split  
  2.    To approve the elimination of the
fundamental investment policy requiring the
Fund to invest at least 65% of its total
assets in U.S. dollar-denominated securities		 Management Split   For Split  
  3.    To approve an amended fundamental
investment restriction regarding
investments in commodities		 Management Split   For Split  
  4.    The ratification of the selection of
PricewaterhouseCoopers LLP as the
independent registered public accounting
firm for the Fund for the fiscal year ending
December 31, 2018		 Management Split   For Split  

 

 

 

 

 

 

Unvoted Shares                    
                     
                     
RiverNorth Note: We submitted proporational voting instructions to Broadridge on 9/5/2017, but Broadridge failed to submit the votes. We have inquired with Broadridge as to why the votes were missed. Confirmation of our instructions is attached.
Account Number Company Name Record Date Meeting Type Meeting Date         Ballot Shares Security ISIN Ticker Symbol Agenda Number Committee Name
145442.17 DEUTSCHE HIGH INC OPPORTUNITIES FUND INC 20-Jul-2017 Annual 20-Sep-17 1246 25158Y102 US25158Y1029 DHG 934671783 Management
145442.18 GUGGENHEIM FUNDS 15-Aug-2017 Annual 27-Sep-2017 375 007639107 US0076391079 AGC 934674791 Management
145442.17 GUGGENHEIM FUNDS 15-Aug-2017 Annual 27-Sep-2017 3621 007639107 US0076391079 AGC 934674791 Management
145442.18 GUGGENHEIM FUNDS 15-Aug-2017 Annual 27-Sep-2017 1044 00764C109 US00764C1099 AVK 934674804 Management
145442.17 GUGGENHEIM FUNDS 15-Aug-2017 Annual 27-Sep-2017 2524 00764C109 US00764C1099 AVK 934674804 Management
145442.18 GUGGENHEIM FUNDS 15-Aug-2017 Annual 27-Sep-2017 1618 00765E104 US00765E1047 LCM 934674816 Management
145442.17 LEGG MASON 25-Jul-2017 Annual 29-Sep-2017 501 95766B109 US95766B1098 EHI 934674309 Management
145442.18 LEGG MASON 25-Jul-2017 Annual 29-Sep-2017 1153 95766B109 US95766B1098 EHI 934674309 Management
                     
                     
RiverNorth Note: We did not send voting instructions for these securities due to administrative oversight. We are reviewing our proxy voting process and  will make changes as necessary.  
Account Number Company Name Record Date Meeting Type Meeting Date         Ballot Shares Security ISIN Ticker Symbol Agenda Number Committee Name
145442.17 MORGAN STANLEY EMER MKTS DEBT FUND, INC 06-Apr-2018 Annual 21-Jun-2018 7059 61744H105 US61744H1059 MSD 934825831 Management
145442.17 MORGAN STANLEY EMERGING MARKETS FD, INC. 06-Apr-2018 Annual 21-Jun-2018 3671 61744G107 US61744G1076 MSF 934825831 Management
145442.18 HIGHLAND FUNDS 21-May-2018 Annual 22-Jun-2018 2402 43010E404 US43010E4044 HFRO 934841075 Management
145442.17 HIGHLAND FUNDS 21-May-2018 Annual 22-Jun-2018 7585 43010E404 US43010E4044 HFRO 934841075 Management
145442.18 NEXPOINT FUNDS 21-May-2018 Annual 22-Jun-2018 280 65340G205 US65340G2057 NHF 934841099 Management
145442.17 NEXPOINT FUNDS 21-May-2018 Annual 22-Jun-2018 1135 65340G205 US65340G2057 NHF 934841099 Management

 

 

 

 

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       The Relative Value Fund

 

 

By (Signature and Title)   /s/ Michael Peck

Michael Peck, President

 

Date    August 24, 2018