N-PX 1 tv527756_npx.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)

 

Ann Maurer

235 W. Galena Street

Milwaukee, WI 53212

(414) 299-2217

(Name and address of agent for service)

 

Registrant's telephone number, including area code: 414.299.2217

 

Date of fiscal year end: March 31

 

Date of reporting period: July 1, 2018 - June 30, 2019

 

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

 

A registrant is required to disclose the information specified by Form N-PX, and the Commission will make this information public. A registrant is not required to respond to the collection of information contained in Form N-PX unless the Form displays a currently valid Office of Management and Budget ("OMB") control number. Please direct comments concerning the accuracy of the information collection burden estimate and any suggestions for reducing the burden to the Secretary, Securities and Exchange Commission, 100 F Street, 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 7/1/2018 - 6/30/2019

 

  TICKER CUSIP SHARE-HOLDER   DID FUND WHAT VOTE FOR OR AGAINST
NAME OF ISSUER SYMBOL NUMBER MEETING DATE MATTER VOTED ON VOTE WAS CAST MANAGEMENT
The Walt Disney Company DIS 254687106 7/27/2018 Adjourn Meeting Yes For With Management
The Walt Disney Company DIS 254687106 7/27/2018 Issue Shares in Connection with Acquisition Yes For With Management
Altaba, Inc. AABA 021346101 10/16/2018 Elect Director Catherine J. Friedman Yes For With Management
Altaba, Inc. AABA 021346101 10/16/2018 Elect Director Eric K. Brandt Yes For With Management
Altaba, Inc. AABA 021346101 10/16/2018 Elect Director Richard L. Kauffman Yes For With Management
Altaba, Inc. AABA 021346101 10/16/2018 Elect Director Thomas J. McInerney Yes For With Management
Altaba, Inc. AABA 021346101 10/16/2018 Elect Director Tor R. Braham Yes For With Management
ANDEAVOR ANDV 03349M105 9/24/2018 Adjourn Meeting Yes For With Management
ANDEAVOR ANDV 03349M105 9/24/2018 Advisory Vote on Golden Parachutes Yes For With Management
ANDEAVOR ANDV 03349M105 9/24/2018 Approve Merger Agreement Yes For With Management
Apptio, Inc. APTI 03835C108 1/8/2019 Adjourn Meeting Yes For With Management
Apptio, Inc. APTI 03835C108 1/8/2019 Approve Merger Agreement Yes For With Management
ARRIS International Plc ARRS G0551A103 2/1/2019 Advisory Vote on Golden Parachutes Yes For With Management
ARRIS International Plc ARRS G0551A103 2/1/2019 Approve Matters Relating to the Offer Yes For With Management
ARRIS International Plc ARRS G0551A103 2/1/2019 Approve Scheme of Arrangement Yes For With Management
athenahealth, Inc. ATHN 04685W103 2/7/2019 Adjourn Meeting Yes For With Management
athenahealth, Inc. ATHN 04685W103 2/7/2019 Advisory Vote on Golden Parachutes Yes For With Management
athenahealth, Inc. ATHN 04685W103 2/7/2019 Approve Merger Agreement Yes For With Management
Attunity Ltd. ATTU M15332121 4/7/2019 Approve Accelerated Vesting of Unvested Options Yes For With Management
Attunity Ltd. ATTU M15332121 4/7/2019 Approve the Acquisition of Attunity by "QlikTech International AB" Yes For With Management
Attunity Ltd. ATTU M15332121 4/7/2019 Vote FOR if you are NOT a Parent, Merger Sub, Any Person Holding at Least 25% of the Means of Control of Either of Them, Anyone Acting on Their Behalf, or Any Relative or Corporation Controlled By, as indicated in the proxy card; otherwise, vote AGAINST Yes Against With Management
AV Homes, Inc. AVHI 00234P102 9/26/2018 Adjourn Meeting Yes For With Management
AV Homes, Inc. AVHI 00234P102 9/26/2018 Advisory Vote on Golden Parachutes Yes For With Management
AV Homes, Inc. AVHI 00234P102 9/26/2018 Approve Merger Agreement Yes For With Management
CA, Inc. CA 12673P105 9/12/2018 Adjourn Meeting Yes For With Management
CA, Inc. CA 12673P105 9/12/2018 Advisory Vote on Golden Parachutes Yes For With Management
CA, Inc. CA 12673P105 9/12/2018 Approve Merger Agreement Yes For With Management
Celgene Corporation CELG 151020104 4/12/2019 Adjourn Meeting Yes For With Management
Celgene Corporation CELG 151020104 4/12/2019 Advisory Vote on Golden Parachutes Yes For With Management
Celgene Corporation CELG 151020104 4/12/2019 Approve Merger Agreement Yes For With Management
CoBiz Financial, Inc. COBZ 190897108 9/27/2018 Adjourn Meeting Yes For With Management
CoBiz Financial, Inc. COBZ 190897108 9/27/2018 Advisory Vote on Golden Parachutes Yes For With Management
CoBiz Financial, Inc. COBZ 190897108 9/27/2018 Approve Merger Agreement Yes For With Management
Dominion Energy Midstream Partners LP (blank) FDS0VZZQ0 2/15/2019 Approve Merger Agreement Yes For With Management
Dun & Bradstreet Corp. DNB 26483E100 11/7/2018 Adjourn Meeting Yes For With Management
Dun & Bradstreet Corp. DNB 26483E100 11/7/2018 Advisory Vote on Golden Parachutes Yes For With Management
Dun & Bradstreet Corp. DNB 26483E100 11/7/2018 Approve Merger Agreement Yes For With Management
Education Realty Trust, Inc. EDR 28140H203 9/14/2018 Adjourn Meeting Yes For With Management
Education Realty Trust, Inc. EDR 28140H203 9/14/2018 Advisory Vote on Golden Parachutes Yes For With Management
Education Realty Trust, Inc. EDR 28140H203 9/14/2018 Approve Merger Agreement Yes For With Management
Ellie Mae, Inc. ELLI 28849P100 4/15/2019 Adjourn Meeting Yes For With Management
Ellie Mae, Inc. ELLI 28849P100 4/15/2019 Advisory Vote on Golden Parachutes Yes For With Management
Ellie Mae, Inc. ELLI 28849P100 4/15/2019 Approve Merger Agreement Yes For With Management
Energen Corp. EGN 29265N108 11/27/2018 Advisory Vote on Golden Parachutes Yes For With Management
Energen Corp. EGN 29265N108 11/27/2018 Approve Merger Agreement Yes For With Management
First Data Corp. FDC 32008D106 4/11/2019 Advisory Vote on Golden Parachutes Yes For With Management
First Data Corp. FDC 32008D106 4/11/2019 Approve Merger Agreement Yes For With Management
First Data Corporation FDC 32008D106 5/9/2019 Advisory Vote to Ratify Named Executive Officers' Compensation Yes For With Management
First Data Corporation FDC 32008D106 5/9/2019 Elect Director Frank J. Bisignano Yes For With Management
First Data Corporation FDC 32008D106 5/9/2019 Elect Director Heidi G. Miller Yes For With Management
First Data Corporation FDC 32008D106 5/9/2019 Elect Director Henry R. Kravis Yes For With Management
First Data Corporation FDC 32008D106 5/9/2019 Ratify Ernst & Young LLP as Auditor Yes For With Management
Forest City Realty Trust, Inc. FCE.A 345605109 11/15/2018 Adjourn Meeting Yes For With Management
Forest City Realty Trust, Inc. FCE.A 345605109 11/15/2018 Advisory Vote on Golden Parachutes Yes For With Management
Forest City Realty Trust, Inc. FCE.A 345605109 11/15/2018 Approve Merger Agreement Yes For With Management
Gramercy Property Trust GPT 385002308 8/9/2018 Adjourn Meeting Yes For With Management
Gramercy Property Trust GPT 385002308 8/9/2018 Advisory Vote on Golden Parachutes Yes For With Management
Gramercy Property Trust GPT 385002308 8/9/2018 Approve Merger Agreement Yes For With Management
ILG, Inc. ILG 44967H101 8/28/2018 Adjourn Meeting Yes For With Management
ILG, Inc. ILG 44967H101 8/28/2018 Advisory Vote on Golden Parachutes Yes For With Management
ILG, Inc. ILG 44967H101 8/28/2018 Approve Merger Agreement Yes For With Management
KMG Chemicals, Inc. KMG 482564101 11/13/2018 Adjourn Meeting Yes For With Management
KMG Chemicals, Inc. KMG 482564101 11/13/2018 Advisory Vote on Golden Parachutes Yes For With Management
KMG Chemicals, Inc. KMG 482564101 11/13/2018 Approve Merger Agreement Yes For With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Adjourn Meeting Yes Do Not Vote With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Adjourn Meeting Yes For With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Advisory Vote on Golden Parachutes Yes Against Against Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Advisory Vote on Golden Parachutes Yes Do Not Vote With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Approve Merger Agreement Yes Against Against Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Approve Merger Agreement Yes Do Not Vote With Management
LaSalle Hotel Properties LHO 517942108 11/27/2018 Adjourn Meeting Yes For With Management
LaSalle Hotel Properties LHO 517942108 11/27/2018 Advisory Vote on Golden Parachutes Yes For With Management
LaSalle Hotel Properties LHO 517942108 11/27/2018 Approve Merger Agreement Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Adjourn Meeting Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Advisory Vote on Golden Parachutes Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Amend Charter Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Approve Merger Agreement Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Adjourn Meeting Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Advisory Vote on Golden Parachutes Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Amend Executive Severance Benefits Agreement of Eyal Waldman Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Approve Grant of 2019 Performance-Based Cash Incentive Award to Eyal Waldman Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Approve Grant of Restricted Share Units to Eyal Waldman Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Approve Increase in Annual Base Cash Compensation for Eyal Waldman Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Approve Merger Agreement Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Approve Payment of Cash Bonus to Greg Waters Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 Approve Tax Equalization Payments to Eyal Waldman Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 If You Are Not a Parent Affiliate Vote FOR. Otherwise, Vote AGAINST Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 If You Do Not Have a Personal Interest in Item 4b Please Select "FOR". If You Do Have a Personal Interest in Item 4b Please Select "AGAINST" Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 If You Do Not Have a Personal Interest in Item 5b Please Select "FOR". If You Do Have a Personal Interest in Item 5b Please Select "AGAINST" Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 If You Do Not Have a Personal Interest in Item 6b Please Select "FOR". If You Do Have a Personal Interest in Item 6b Please Select "AGAINST" Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 If You Do Not Have a Personal Interest in Item 7b Please Select "FOR". If You Do Have a Personal Interest in Item 7b Please Select "AGAINST" Yes For With Management
Mellanox Technologies, Ltd. MLNX M51363113 6/20/2019 If You Do Not Have a Personal Interest in Item 8b Please Select "FOR". If You Do Have a Personal Interest in Item 8b Please Select "AGAINST" Yes For With Management
Nutrisystem, Inc. NTRI 67069D108 3/5/2019 Adjourn Meeting Yes For With Management
Nutrisystem, Inc. NTRI 67069D108 3/5/2019 Advisory Vote on Golden Parachutes Yes For With Management
Nutrisystem, Inc. NTRI 67069D108 3/5/2019 Approve Merger Agreement Yes For With Management
Ocean Rig UDW, Inc. ORIG FDS0S4WL7 11/29/2018 Adjourn Meeting Yes For With Management
Ocean Rig UDW, Inc. ORIG FDS0S4WL7 11/29/2018 Approve Drag-Along Sellers Yes For With Management
Ocean Rig UDW, Inc. ORIG FDS0S4WL7 11/29/2018 Approve Merger Agreement Yes For With Management
Pacific Biosciences of California, Inc. PACB 69404D108 1/24/2019 Adjourn Meeting Yes For With Management
Pacific Biosciences of California, Inc. PACB 69404D108 1/24/2019 Advisory Vote on Golden Parachutes Yes For With Management
Pacific Biosciences of California, Inc. PACB 69404D108 1/24/2019 Approve Merger Agreement Yes For With Management
Pinnacle Foods, Inc. PF 72348P104 10/23/2018 Adjourn Meeting Yes For With Management
Pinnacle Foods, Inc. PF 72348P104 10/23/2018 Advisory Vote on Golden Parachutes Yes For With Management
Pinnacle Foods, Inc. PF 72348P104 10/23/2018 Approve Merger Agreement Yes For With Management
Quantenna Communications, Inc. QTNA 74766D100 6/14/2019 Adjourn Meeting Yes For With Management
Quantenna Communications, Inc. QTNA 74766D100 6/14/2019 Advisory Vote on Golden Parachutes Yes For With Management
Quantenna Communications, Inc. QTNA 74766D100 6/14/2019 Approve Merger Agreement Yes For With Management
Red Hat, Inc. RHT 756577102 1/16/2019 Adjourn Meeting Yes For With Management
Red Hat, Inc. RHT 756577102 1/16/2019 Advisory Vote on Golden Parachutes Yes For With Management
Red Hat, Inc. RHT 756577102 1/16/2019 Approve Merger Agreement Yes For With Management
RSP Permian, Inc. RSPP 74978Q105 7/17/2018 Advisory Vote on Golden Parachutes Yes For With Management
RSP Permian, Inc. RSPP 74978Q105 7/17/2018 Approve Merger Agreement Yes For With Management
Select Income REIT SIR 81618T100 12/20/2018 Adjourn Meeting Yes For With Management
Select Income REIT SIR 81618T100 12/20/2018 Approve Merger Agreement Yes For With Management
Shire Plc SHP G8124V108 12/5/2018 Approve Matters Relating to the Recommended Cash and Share Offer for Shire plc by Takeda Pharmaceutical Company Limited Yes For With Management
Shire Plc SHP G8124V108 12/5/2018 Approve Scheme of Arrangement Yes For With Management
SodaStream International Ltd. SODA M9068E105 10/9/2018 Approve Acquisition of SodaStream by PepsiCo, Inc. Yes For With Management
SodaStream International Ltd. SODA M9068E105 10/9/2018 Vote FOR if you are NOT PepsiCo, Inc., Merger Sub, or PepsiCo Ventures B.V., or a related party thereof; otherwise vote AGAINST. If you vote AGAINST, please provide an explanation to your account manager. Yes For With Management
Spectra Energy Partners LP SEP 84756N109 12/12/2018 Approve Merger Agreement Yes For With Management
SunCoke Energy Partners, L.P. SXCP 86722Y101 6/27/2019 Approve Merger Agreement Yes For With Management
TCF Financial Corporation TCF 872275102 6/7/2019 Adjourn Meeting Yes For With Management
TCF Financial Corporation TCF 872275102 6/7/2019 Advisory Vote on Golden Parachutes Yes For With Management
TCF Financial Corporation TCF 872275102 6/7/2019 Approve Merger Agreement Yes For With Management
The Ultimate Software Group, Inc. ULTI 90385D107 4/30/2019 Adjourn Meeting Yes For With Management
The Ultimate Software Group, Inc. ULTI 90385D107 4/30/2019 Advisory Vote on Golden Parachutes Yes For With Management
The Ultimate Software Group, Inc. ULTI 90385D107 4/30/2019 Approve Merger Agreement Yes For With Management
TransMontaigne Partners LP TLP 89376V100 2/26/2019 Adjourn Meeting Yes For With Management
TransMontaigne Partners LP TLP 89376V100 2/26/2019 Approve Merger Agreement Yes For With Management
Tribune Media Co. TRCO 896047503 3/12/2019 Adjourn Meeting Yes For With Management
Tribune Media Co. TRCO 896047503 3/12/2019 Advisory Vote on Golden Parachutes Yes For With Management
Tribune Media Co. TRCO 896047503 3/12/2019 Approve Merger Agreement Yes For With Management
Tribune Media Co. TRCO 896047503 5/1/2019 Advisory Vote to Ratify Named Executive Officers' Compensation Yes For With Management
Tribune Media Co. TRCO 896047503 5/1/2019 Elect Director Peter E. Murphy Yes For With Management
Tribune Media Co. TRCO 896047503 5/1/2019 Elect Director Ross Levinsohn Yes For With Management
Tribune Media Co. TRCO 896047503 5/1/2019 Ratify PricewaterhouseCoopers LLP as Auditors Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Advisory Vote to Ratify Named Executive Officers' Compensation Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Chase Carey Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director David F. DeVoe Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Delphine Arnault Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Jacques Nasser AC Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director James R. Murdoch Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director James W. Breyer Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director K. Rupert Murdoch AC Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Lachlan K. Murdoch Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Robert S. Silberman Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Roderick I. Eddington Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Tidjane Thiam Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Ratify Ernst & Young LLP as Auditors Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Approve Recapitalization Plan for all Stock to Have One-vote per Share Yes Against With Management
Vectren Corp. VVC 92240G101 8/28/2018 Adjourn Meeting Yes For With Management
Vectren Corp. VVC 92240G101 8/28/2018 Advisory Vote on Golden Parachutes Yes For With Management
Vectren Corp. VVC 92240G101 8/28/2018 Approve Merger Agreement Yes For With Management
Williams Partners L.P. WPZ 96949L105 8/9/2018 Approve Merger Agreement Yes For With Management
ANDEAVOR ANDV 03349M105 9/24/2018 Adjourn Meeting Yes For With Management
ANDEAVOR ANDV 03349M105 9/24/2018 Advisory Vote on Golden Parachutes Yes For With Management
ANDEAVOR ANDV 03349M105 9/24/2018 Approve Merger Agreement Yes For With Management
Apptio, Inc. APTI 03835C108 1/8/2019 Adjourn Meeting Yes For With Management
Apptio, Inc. APTI 03835C108 1/8/2019 Approve Merger Agreement Yes For With Management
ARRIS International Plc ARRS G0551A103 2/1/2019 Advisory Vote on Golden Parachutes Yes For With Management
ARRIS International Plc ARRS G0551A103 2/1/2019 Approve Matters Relating to the Offer Yes For With Management
ARRIS International Plc ARRS G0551A103 2/1/2019 Approve Scheme of Arrangement Yes For With Management
athenahealth, Inc. ATHN 04685W103 2/7/2019 Adjourn Meeting Yes For With Management
athenahealth, Inc. ATHN 04685W103 2/7/2019 Advisory Vote on Golden Parachutes Yes For With Management
athenahealth, Inc. ATHN 04685W103 2/7/2019 Approve Merger Agreement Yes For With Management
AV Homes, Inc. AVHI 00234P102 9/26/2018 Adjourn Meeting Yes For With Management
AV Homes, Inc. AVHI 00234P102 9/26/2018 Advisory Vote on Golden Parachutes Yes For With Management
AV Homes, Inc. AVHI 00234P102 9/26/2018 Approve Merger Agreement Yes For With Management
CA, Inc. CA 12673P105 9/12/2018 Adjourn Meeting Yes For With Management
CA, Inc. CA 12673P105 9/12/2018 Advisory Vote on Golden Parachutes Yes For With Management
CA, Inc. CA 12673P105 9/12/2018 Approve Merger Agreement Yes For With Management
Charter Financial Corp. (Georgia) CHFN 16122W108 8/21/2018 Adjourn Meeting Yes For With Management
Charter Financial Corp. (Georgia) CHFN 16122W108 8/21/2018 Advisory Vote on Golden Parachutes Yes For With Management
Charter Financial Corp. (Georgia) CHFN 16122W108 8/21/2018 Approve Merger Agreement Yes For With Management
Cheniere Energy Partners LP Holdings, LLC CQH 16411W108 9/19/2018 Approve Merger Agreement Yes For With Management
Dominion Energy Midstream Partners LP (blank) FDS0VZZQ0 2/15/2019 Approve Merger Agreement Yes For With Management
Dun & Bradstreet Corp. DNB 26483E100 11/7/2018 Adjourn Meeting Yes For With Management
Dun & Bradstreet Corp. DNB 26483E100 11/7/2018 Advisory Vote on Golden Parachutes Yes For With Management
Dun & Bradstreet Corp. DNB 26483E100 11/7/2018 Approve Merger Agreement Yes For With Management
Education Realty Trust, Inc. EDR 28140H203 9/14/2018 Adjourn Meeting Yes For With Management
Education Realty Trust, Inc. EDR 28140H203 9/14/2018 Advisory Vote on Golden Parachutes Yes For With Management
Education Realty Trust, Inc. EDR 28140H203 9/14/2018 Approve Merger Agreement Yes For With Management
Energen Corp. EGN 29265N108 11/27/2018 Advisory Vote on Golden Parachutes Yes For With Management
Energen Corp. EGN 29265N108 11/27/2018 Approve Merger Agreement Yes For With Management
Forest City Realty Trust, Inc. FCE.A 345605109 11/15/2018 Adjourn Meeting Yes For With Management
Forest City Realty Trust, Inc. FCE.A 345605109 11/15/2018 Advisory Vote on Golden Parachutes Yes For With Management
Forest City Realty Trust, Inc. FCE.A 345605109 11/15/2018 Approve Merger Agreement Yes For With Management
Gramercy Property Trust GPT 385002308 8/9/2018 Adjourn Meeting Yes For With Management
Gramercy Property Trust GPT 385002308 8/9/2018 Advisory Vote on Golden Parachutes Yes For With Management
Gramercy Property Trust GPT 385002308 8/9/2018 Approve Merger Agreement Yes For With Management
ILG, Inc. ILG 44967H101 8/28/2018 Adjourn Meeting Yes For With Management
ILG, Inc. ILG 44967H101 8/28/2018 Advisory Vote on Golden Parachutes Yes For With Management
ILG, Inc. ILG 44967H101 8/28/2018 Approve Merger Agreement Yes For With Management
K2M Group Holdings, Inc. KTWO 48273J107 11/7/2018 Adjourn Meeting Yes For With Management
K2M Group Holdings, Inc. KTWO 48273J107 11/7/2018 Advisory Vote on Golden Parachutes Yes For With Management
K2M Group Holdings, Inc. KTWO 48273J107 11/7/2018 Approve Merger Agreement Yes For With Management
KMG Chemicals, Inc. KMG 482564101 11/13/2018 Adjourn Meeting Yes For With Management
KMG Chemicals, Inc. KMG 482564101 11/13/2018 Advisory Vote on Golden Parachutes Yes For With Management
KMG Chemicals, Inc. KMG 482564101 11/13/2018 Approve Merger Agreement Yes For With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Adjourn Meeting Yes Do Not Vote With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Adjourn Meeting Yes For With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Advisory Vote on Golden Parachutes Yes Against Against Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Advisory Vote on Golden Parachutes Yes Do Not Vote With Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Approve Merger Agreement Yes Against Against Management
LaSalle Hotel Properties LHO 517942108 9/6/2018 Approve Merger Agreement Yes Do Not Vote With Management
LaSalle Hotel Properties LHO 517942108 11/27/2018 Adjourn Meeting Yes For With Management
LaSalle Hotel Properties LHO 517942108 11/27/2018 Advisory Vote on Golden Parachutes Yes For With Management
LaSalle Hotel Properties LHO 517942108 11/27/2018 Approve Merger Agreement Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Adjourn Meeting Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Advisory Vote on Golden Parachutes Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Amend Charter Yes For With Management
MB Financial, Inc. MBFI 55264U108 9/18/2018 Approve Merger Agreement Yes For With Management
Ocean Rig UDW, Inc. ORIG FDS0S4WL7 11/29/2018 Adjourn Meeting Yes For With Management
Ocean Rig UDW, Inc. ORIG FDS0S4WL7 11/29/2018 Approve Drag-Along Sellers Yes For With Management
Ocean Rig UDW, Inc. ORIG FDS0S4WL7 11/29/2018 Approve Merger Agreement Yes For With Management
Pacific Biosciences of California, Inc. PACB 69404D108 1/24/2019 Adjourn Meeting Yes For With Management
Pacific Biosciences of California, Inc. PACB 69404D108 1/24/2019 Advisory Vote on Golden Parachutes Yes For With Management
Pacific Biosciences of California, Inc. PACB 69404D108 1/24/2019 Approve Merger Agreement Yes For With Management
Pinnacle Foods, Inc. PF 72348P104 10/23/2018 Adjourn Meeting Yes For With Management
Pinnacle Foods, Inc. PF 72348P104 10/23/2018 Advisory Vote on Golden Parachutes Yes For With Management
Pinnacle Foods, Inc. PF 72348P104 10/23/2018 Approve Merger Agreement Yes For With Management
Red Hat, Inc. RHT 756577102 1/16/2019 Adjourn Meeting Yes For With Management
Red Hat, Inc. RHT 756577102 1/16/2019 Advisory Vote on Golden Parachutes Yes For With Management
Red Hat, Inc. RHT 756577102 1/16/2019 Approve Merger Agreement Yes For With Management
RSP Permian, Inc. RSPP 74978Q105 7/17/2018 Advisory Vote on Golden Parachutes Yes For With Management
RSP Permian, Inc. RSPP 74978Q105 7/17/2018 Approve Merger Agreement Yes For With Management
Select Income REIT SIR 81618T100 12/20/2018 Adjourn Meeting Yes For With Management
Select Income REIT SIR 81618T100 12/20/2018 Approve Merger Agreement Yes For With Management
Spectra Energy Partners LP SEP 84756N109 12/12/2018 Approve Merger Agreement Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Advisory Vote to Ratify Named Executive Officers' Compensation Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Chase Carey Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director David F. DeVoe Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Delphine Arnault Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Jacques Nasser AC Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director James R. Murdoch Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director James W. Breyer Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director K. Rupert Murdoch AC Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Lachlan K. Murdoch Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Robert S. Silberman Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Roderick I. Eddington Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Elect Director Tidjane Thiam Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Ratify Ernst & Young LLP as Auditors Yes For With Management
Twenty-First Century Fox, Inc. FOXA 90130A101 11/14/2018 Approve Recapitalization Plan for all Stock to Have One-vote per Share Yes Against With Management
Vectren Corp. VVC 92240G101 8/28/2018 Adjourn Meeting Yes For With Management
Vectren Corp. VVC 92240G101 8/28/2018 Advisory Vote on Golden Parachutes Yes For With Management
Vectren Corp. VVC 92240G101 8/28/2018 Approve Merger Agreement Yes For With Management
Palmer Square Opportunistic Income Fund PSOIX 611776105 12/17/2018 Approve Investment Advisory Agreement between Palmer Square Opportunistic Income Fund and Palmer Square Capital Management LLC Yes For With Management

 

 

   

 

 

Vote Summary - VFLEX - RiverNorth
 
  VOYA PRIME RATE TRUST    
  Security 92913A100           Meeting Type Annual  
  Ticker Symbol PPR                       Meeting Date 10-Jul-2018  
  ISIN US92913A1007           Agenda 934822570 - Management
  Record Date 12-Apr-2018           Holding Recon Date 12-Apr-2018  
  City / Country     / United States         Vote Deadline Date 09-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Colleen D. Baldwin       Split   Split    
      2 John V. Boyer       Split   Split    
      3 Patricia W. Chadwick       Split   Split    
      4 Martin J. Gavin       Split   Split    
      5 Russell H. Jones       Split   Split    
      6 Patrick W. Kenny       Split   Split    
      7 Joseph E. Obermeyer       Split   Split    
      8 Sheryl K. Pressler       Split   Split    
      9 Christopher P. Sullivan       Split   Split    
      10 Roger B. Vincent       Split   Split    
      11 Dina Santoro       Split   Split    
  ALLIANZGI CONVERTIBLE & INCOME 2024    
  Security 01883H102           Meeting Type Annual  
  Ticker Symbol CBH                       Meeting Date 12-Jul-2018  
  ISIN US01883H1023           Agenda 934846253 - Opposition
  Record Date 17-May-2018           Holding Recon Date 17-May-2018  
  City / Country     / United States         Vote Deadline Date 11-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  A.    DIRECTOR Management   Split   Split    
      1 Hans W. Kertess       Split   Split    
      2 William B. Ogden, IV       Split   Split    
      3 Alan Rappaport       Split   Split    
      4 Davey S. Scoon       Split   Split    
      5 Erick R. Holt       Split   Split    
  ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST    
  Security 01883A107           Meeting Type Annual  
  Ticker Symbol NFJ                       Meeting Date 12-Jul-2018  
  ISIN US01883A1079           Agenda 934846241 - Management
  Record Date 17-May-2018           Holding Recon Date 17-May-2018  
  City / Country     / United States         Vote Deadline Date 11-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  A.    DIRECTOR Management   Split   Split    
      1 Hans W. Kertess       Split   Split    
      2 James S. MacLeod       Split   Split    
      3 William B. Ogden, IV       Split   Split    
      4 A. Douglas Eu       Split   Split    
      5 Erick R. Holt       Split   Split    
  INSIGHT INVESTMENTS    
  Security 56165R103           Meeting Type Special
  Ticker Symbol MZF                       Meeting Date 12-Jul-2018  
  ISIN US56165R1032           Agenda 934841885 - Management
  Record Date 13-Apr-2018           Holding Recon Date 13-Apr-2018  
  City / Country     / United States         Vote Deadline Date 11-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve a proposal to liquidate and dissolve the Fund pursuant to the Plan of Liquidation and Dissolution. Management   Split   Split    
  INSIGHT INVESTMENTS    
  Security 56165R103           Meeting Type Special
  Ticker Symbol MZF                       Meeting Date 12-Jul-2018  
  ISIN US56165R1032           Agenda 934841885 - Management
  Record Date 13-Apr-2018           Holding Recon Date 13-Apr-2018  
  City / Country     / United States         Vote Deadline Date 11-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve a proposal to liquidate and dissolve the Fund pursuant to the Plan of Liquidation and Dissolution. Management   Split   Split    
  CLOUGH GLOBAL EQUITY FUND    
  Security 18914C100           Meeting Type Annual  
  Ticker Symbol GLQ                       Meeting Date 19-Jul-2018  
  ISIN US18914C1009           Agenda 934845883 - Management
  Record Date 21-May-2018           Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 18-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  2.    DIRECTOR Management   Split   Split    
      1 Adam D. Crescenzi       Split   Split    
      2 Jerry G. Rutledge       Split   Split    
  CLOUGH GLOBAL EQUITY FUND    
  Security 18914C100           Meeting Type Annual  
  Ticker Symbol GLQ                       Meeting Date 19-Jul-2018  
  ISIN US18914C1009           Agenda 934845883 - Management
  Record Date 21-May-2018           Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 18-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  2.    DIRECTOR Management   Split   Split    
      1 Adam D. Crescenzi       Split   Split    
      2 Jerry G. Rutledge       Split   Split    
  CLOUGH GLOBAL OPPORTUNITIES FUND    
  Security 18914E106           Meeting Type Annual  
  Ticker Symbol GLO                       Meeting Date 19-Jul-2018  
  ISIN US18914E1064           Agenda 934845871 - Management
  Record Date 21-May-2018           Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 18-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  3.    DIRECTOR Management   Split   Split    
      1 Vincent W. Versaci       Split   Split    
      2 Clifford J. Weber       Split   Split    
      3 Edmund J. Burke       Split   Split    
  CLOUGH GLOBAL OPPORTUNITIES FUND    
  Security 18914E106           Meeting Type Annual  
  Ticker Symbol GLO                       Meeting Date 19-Jul-2018  
  ISIN US18914E1064           Agenda 934845871 - Management
  Record Date 21-May-2018           Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 18-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  3.    DIRECTOR Management   Split   Split    
      1 Vincent W. Versaci       Split   Split    
      2 Clifford J. Weber       Split   Split    
      3 Edmund J. Burke       Split   Split    
  GUGGENHEIM FUNDS    
  Security 00765E104           Meeting Type Annual  
  Ticker Symbol LCM                       Meeting Date 20-Jul-2018  
  ISIN US00765E1047           Agenda 934844831 - Management
  Record Date 17-Apr-2018           Holding Recon Date 17-Apr-2018  
  City / Country     / United States         Vote Deadline Date 19-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1B.   Approval of the Agreement and Plan of Merger between LCM and the Acquiring Fund, including the termination of LCM's registration under the Investment Company Act of 1940. Management   Split   Split    
  2A.   Election of Class II Trustee: Tracy V. Maitland Management   Split   Split    
  2B.   Election of Class II Trustee: Ronald A. Nyberg Management   Split   Split    
  GUGGENHEIM FUNDS    
  Security 00765E104           Meeting Type Annual  
  Ticker Symbol LCM                       Meeting Date 20-Jul-2018  
  ISIN US00765E1047           Agenda 934844831 - Management
  Record Date 17-Apr-2018           Holding Recon Date 17-Apr-2018  
  City / Country     / United States         Vote Deadline Date 19-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1B.   Approval of the Agreement and Plan of Merger between LCM and the Acquiring Fund, including the termination of LCM's registration under the Investment Company Act of 1940. Management   Split   Split    
  2A.   Election of Class II Trustee: Tracy V. Maitland Management   Split   Split    
  2B.   Election of Class II Trustee: Ronald A. Nyberg Management   Split   Split    
  GUGGENHEIM FUNDS    
  Security 00764C109           Meeting Type Annual  
  Ticker Symbol AVK                       Meeting Date 20-Jul-2018  
  ISIN US00764C1099           Agenda 934844855 - Management
  Record Date 17-Apr-2018           Holding Recon Date 17-Apr-2018  
  City / Country     / United States         Vote Deadline Date 19-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1C.   Approval of the Agreement and Plan of Merger between AGC and AVK, including the issuance of additional common shares of AVK. Management   Split   Split    
  1D.   Approval of the Agreement and Plan of Merger between LCM and AVK, including the issuance of additional common shares of AVK. Management   Split   Split    
  2A.   Election of Class III Trustee: Tracy V. Maitland Management   Split   Split    
  2B.   Election of Class III Trustee: Ronald A. Nyberg Management   Split   Split    
  GUGGENHEIM FUNDS    
  Security 00764C109           Meeting Type Annual  
  Ticker Symbol AVK                       Meeting Date 20-Jul-2018  
  ISIN US00764C1099           Agenda 934844855 - Management
  Record Date 17-Apr-2018           Holding Recon Date 17-Apr-2018  
  City / Country     / United States         Vote Deadline Date 19-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1C.   Approval of the Agreement and Plan of Merger between AGC and AVK, including the issuance of additional common shares of AVK. Management   Split   Split    
  1D.   Approval of the Agreement and Plan of Merger between LCM and AVK, including the issuance of additional common shares of AVK. Management   Split   Split    
  2A.   Election of Class III Trustee: Tracy V. Maitland Management   Split   Split    
  2B.   Election of Class III Trustee: Ronald A. Nyberg Management   Split   Split    
  TRIANGLE CAPITAL CORPORATION    
  Security 895848109           Meeting Type Special
  Ticker Symbol TCAP                      Meeting Date 24-Jul-2018  
  ISIN US8958481090           Agenda 934846695 - Management
  Record Date 25-May-2018           Holding Recon Date 25-May-2018  
  City / Country     / United States         Vote Deadline Date 23-Jul-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve the Asset Purchase Agreement, dated as of April 3, 2018 (the "Asset Purchase Agreement"), by and between the Company and BSP Asset Acquisition I, LLC (the "Asset Buyer"), and the transactions contemplated thereby, including the sale of substantially all of the Company's portfolio investments to the Asset Buyer for the price, and on the terms, set forth in the Asset Purchase Agreement (the "Asset Sale"). Management   Split   Split    
  2.    To approve, in accordance with Section 312.03 of the New York Stock Exchange Listed Company Manual, the issuance and sale by the Company to Barings LLC ("Barings") of up to, under certain circumstances, $150 million worth of shares of common stock, par value $0.001 per share, of the Company (the "Stock Issuance") pursuant to the terms of the Stock Purchase and Transaction Agreement, dated as of April 3, 2018, by and between the Company and Barings (the "Externalization Agreement"). Management   Split   Split    
  3.    To approve the investment advisory agreement (the "Advisory Agreement") pursuant to which Barings would be appointed as the investment adviser of the Company. Management   Split   Split    
  4.    To approve a proposal to authorize the Company to be subject to a reduced asset coverage ratio of at least 150% under the Investment Company Act of 1940, as amended. Management   Split   Split    
  5.    To approve on an advisory, non-binding basis, the payment of an estimated $17.2 million in the aggregate, subject to the occurrence of certain conditions regarding change of control and termination, in golden parachute payments that will or may become payable by the Company to its named executive officers pursuant to their employment and other arrangements with the Company in connection with the closing of the transactions contemplated by the Asset Purchase Agreement and the Externalization Agreement. Management   Split   Split    
  6.    To approve the adjournment of the Special Meeting, if necessary or appropriate, to solicit additional proxies if there are insufficient votes at the time of the Special Meeting to approve the Asset Purchase Agreement and related Asset Sale, the Stock Issuance or the Advisory Agreement. Management   Split   Split    
  INVESCO    
  Security 46131F101           Meeting Type Annual  
  Ticker Symbol VLT                       Meeting Date 09-Aug-2018  
  ISIN US46131F1012           Agenda 934853296 - Management
  Record Date 21-May-2018           Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 08-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Bruce L. Crockett       Split   Split    
      2 Jack M. Fields       Split   Split    
      3 Martin L. Flanagan       Split   Split    
      4 Robert C. Troccoli       Split   Split    
  INVESCO    
  Security 46131H107           Meeting Type Annual  
  Ticker Symbol VVR                       Meeting Date 09-Aug-2018  
  ISIN US46131H1077           Agenda 934853309 - Management
  Record Date 21-May-2018           Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 08-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Bruce L. Crockett       Split   Split    
      2 Jack M. Fields       Split   Split    
      3 Martin L. Flanagan       Split   Split    
      4 Robert C. Troccoli       Split   Split    
  ATLANTIC ACQUISITION CORP.    
  Security 048206106           Meeting Type Special
  Ticker Symbol ATAC                      Meeting Date 10-Aug-2018  
  ISIN US0482061068           Agenda 934859907 - Management
  Record Date 16-Jul-2018           Holding Recon Date 16-Jul-2018  
  City / Country     / United States         Vote Deadline Date 09-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    Business Combination Proposal - To approve the authorization for Atlantic's board of directors to complete the merger of Merger Sub into HF Group Holding Corporation ("HF Group"), resulting in HF Group becoming a wholly owned subsidiary of Atlantic, as provided for in the Acquisition Agreement, or the "Business Combination." Management   For   For    
  1a.   Intention to Exercise Redemption Rights If you intend to exercise your redemption rights, please check this 'FOR' box. Checking this 'FOR' box, however,is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the definitive proxy statement under the section entitled "Special Meeting of Atlantic Shareholders - Redemption Rights." Management   For        
  1b.   Stockholder Certification I hereby certify that I am not acting in concert, or as a "group" (as defined in Section 13(d)(3) of the Securities Exchange Act of 1934, as amended), with any other stockholder with respect to the shares of common stock of Atlantic, owned by me in connection with the proposed Business Combination between Atlantic and HF Group. "For"  = I am not acting in concert. "Against" = I am acting in concert. Management   For        
  2.    Name Change Proposal - To approve the amendment of the certificate of incorporation Atlantic to change Atlantic's name from "Atlantic Acquisition Corp." to "HF Foods Group Inc." Management   For   For    
  3.    Equity Incentive Plan Proposal - To approve the 2018 Omnibus Equity Incentive Plan. Management   For   For    
  4.    Nasdaq Proposal - To approve the issuance of more than 20% of the issued and outstanding shares of common stock of Atlantic pursuant to the terms of the Acquisition Agreement and Business Combination, as required by Nasdaq Listing Rules 5635(a) and (d). Management   For   For    
  5.    Adjournment Proposal - To approve the adjournment of the special meeting in the event Atlantic does not receive the requisite shareholder vote to approve the Business Combination. Management   For   For    
  GARRISON CAPITAL INC.    
  Security 366554103           Meeting Type Special
  Ticker Symbol GARS                      Meeting Date 14-Aug-2018  
  ISIN US3665541039           Agenda 934861332 - Management
  Record Date 03-Jul-2018           Holding Recon Date 03-Jul-2018  
  City / Country     / United States         Vote Deadline Date 13-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    Approval of application of the reduced asset coverage requirements in Section 61(a)(2) of the Investment Company Act of 1940, as amended, to the Company, which would permit the Company to double the maximum amount of leverage that it is permitted to incur by reducing the asset coverage requirement applicable to the Company from 200% to 150% (without giving effect to any exemptive relief with respect to SBIC debentures). Management   Split   Split    
  DELAWARE INVTS DIVIDEND AND INCM FD INC.    
  Security 245915103           Meeting Type Annual  
  Ticker Symbol DDF                       Meeting Date 15-Aug-2018  
  ISIN US2459151039           Agenda 934855923 - Management
  Record Date 08-Jun-2018           Holding Recon Date 08-Jun-2018  
  City / Country     / United States         Vote Deadline Date 14-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Thomas L. Bennett       Split   Split    
      2 Ann D. Borowiec       Split   Split    
      3 Joseph W. Chow       Split   Split    
      4 John A. Fry       Split   Split    
      5 Lucinda S. Landreth       Split   Split    
      6 Shawn K. Lytle       Split   Split    
      7 F.A. Sevilla-Sacasa       Split   Split    
      8 Thomas K. Whitford       Split   Split    
      9 Janet L. Yeomans       Split   Split    
  2.    To approve sub-advisory agreements between Delaware Management Company and each of Macquarie Investment Management Europe Limited, Macquarie Investment Management Global Limited, and Macquarie Funds Management Hong Kong Limited. Management   Split   Split    
  OSPREY ENERGY ACQUISITION CORP    
  Security 688397108           Meeting Type Special
  Ticker Symbol OSPR                      Meeting Date 20-Aug-2018  
  ISIN US6883971086           Agenda 934864883 - Management
  Record Date 01-Aug-2018           Holding Recon Date 01-Aug-2018  
  City / Country     / United States         Vote Deadline Date 17-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    The Business Combination Proposal - To approve and adopt the Contribution Agreement, dated as of June 3, 2018 (the "Contribution Agreement"), by and among Royal Resources L.P., Osprey, and the other parties thereto, and approve the transactions contemplated by the Contribution Agreement (the "business combination"). The Business Combination Proposal is conditioned on the approval of the Charter Proposal and the Nasdaq Proposal. Management   For   For    
  2.    The Charter Proposal - To approve and adopt amendments to Osprey's amended and restated certificate of incorporation (the "Charter"), to be effective upon the consummation of the business combination, including six sub-proposals. Management   For   For    
  2a.   To create a new class of capital stock designated as Class C common stock, par value $0.0001 per share (the "Class C common stock"). Management   For   For    
  2b.   To increase the number of authorized shares of Osprey's capital stock to 361,000,000 shares and to increase the number of authorized shares of Osprey's Class A common stock, par value $0.0001 per share (the "Class A common stock"), to 240,000,000 shares. Management   For   For    
  2c.   To adopt Delaware as the exclusive forum for certain stockholder litigation. Management   For   For    
  2d.   To require the affirmative vote of the holders of at least 75% of the voting power of all outstanding shares of capital stock of Osprey to amend, repeal or adopt certain provisions of the Charter. Management   For   For    
  2e.   To provide that Section 203 of the Delaware General Corporation Law, which governs business combinations between Osprey and certain interested Osprey stockholders, does not apply to Osprey. Management   For   For    
  2f.   To eliminate certain provisions in the Charter relating to Osprey's Class B common stock, par value $0.0001 per share (the "Class B common stock") and our Initial Business Combination that will no longer be applicable to us following the completion of the business combination. Management   For   For    
  3.    To approve, for purposes of complying with applicable listing rules of The NASDAQ Capital Market (a) the issuance of Class C common stock in the business combination, (b) the issuance of Class A common stock concurrent with the completion of the business combination to certain qualified institutional buyers and accredited investors, (c) the issuance of Class A common stock in connection with the future redemption or exchange of common units, and (d) the issuance of Class A common stock upon the conversion of Class B common stock. Management   For   For    
  4.    The LTIP Proposal - To approve and adopt the Falcon Minerals Corporation 2018 Long-Term Incentive Plan and material terms thereunder. The LTIP Proposal is conditioned on the approval of the Business Combination Proposal and the Nasdaq Proposal. Management   For   For    
  5.    The Adjournment Proposal - To approve the adjournment of the special meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with the foregoing proposals. The Adjournment Proposal is not conditioned on the approval of any other proposal at the special meeting. Management   For   For    
  5a.   Stockholder Certification: I hereby certify that I am not acting in concert or as a "group" as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended, with any other stockholder with respect to the shares of Osprey's Class A common stock or Class B common stock. Management   For   For    
  DELAWARE INVESTMENTS    
  Security 246060107           Meeting Type Contested-Annual  
  Ticker Symbol DEX                       Meeting Date 22-Aug-2018  
  ISIN US2460601071           Agenda 934854402 - Management
  Record Date 08-Jun-2018           Holding Recon Date 08-Jun-2018  
  City / Country     / United States         Vote Deadline Date 21-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Thomas L. Bennett       Split   Split    
      2 Ann D. Borowiec       Split   Split    
      3 Joseph W. Chow       Split   Split    
      4 John A. Fry       Split   Split    
      5 Lucinda S. Landreth       Split   Split    
      6 Shawn K. Lytle       Split   Split    
      7 F.A. Sevilla-Sacasa       Split   Split    
      8 Thomas K. Whitford       Split   Split    
      9 Janet L. Yeomans       Split   Split    
  2.    BE IT RESOLVED, that the shareholders of Delaware Enhanced Global Dividend & Income Fund (the "Fund"), requests that the Board of Trustees (the "Board") consider authorizing a self- tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV"). Shareholder   Split   Split    
  DELAWARE INVESTMENTS    
  Security 246060107           Meeting Type Contested-Annual  
  Ticker Symbol DEX                       Meeting Date 22-Aug-2018  
  ISIN US2460601071           Agenda 934854402 - Management
  Record Date 08-Jun-2018           Holding Recon Date 08-Jun-2018  
  City / Country     / United States         Vote Deadline Date 21-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Thomas L. Bennett       Split   Split    
      2 Ann D. Borowiec       Split   Split    
      3 Joseph W. Chow       Split   Split    
      4 John A. Fry       Split   Split    
      5 Lucinda S. Landreth       Split   Split    
      6 Shawn K. Lytle       Split   Split    
      7 F.A. Sevilla-Sacasa       Split   Split    
      8 Thomas K. Whitford       Split   Split    
      9 Janet L. Yeomans       Split   Split    
  2.    BE IT RESOLVED, that the shareholders of Delaware Enhanced Global Dividend & Income Fund (the "Fund"), requests that the Board of Trustees (the "Board") consider authorizing a self- tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV"). Shareholder   Split   Split    
  DELAWARE INVESTMENTS    
  Security 246060107           Meeting Type Contested-Annual  
  Ticker Symbol DEX                       Meeting Date 22-Aug-2018  
  ISIN US2460601071           Agenda 934854402 - Management
  Record Date 08-Jun-2018           Holding Recon Date 08-Jun-2018  
  City / Country     / United States         Vote Deadline Date 21-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Thomas L. Bennett       Split   Split    
      2 Ann D. Borowiec       Split   Split    
      3 Joseph W. Chow       Split   Split    
      4 John A. Fry       Split   Split    
      5 Lucinda S. Landreth       Split   Split    
      6 Shawn K. Lytle       Split   Split    
      7 F.A. Sevilla-Sacasa       Split   Split    
      8 Thomas K. Whitford       Split   Split    
      9 Janet L. Yeomans       Split   Split    
  2.    BE IT RESOLVED, that the shareholders of Delaware Enhanced Global Dividend & Income Fund (the "Fund"), requests that the Board of Trustees (the "Board") consider authorizing a self- tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV"). Shareholder   Split   Split    
  DELAWARE INVESTMENTS    
  Security 246060107           Meeting Type Contested-Annual  
  Ticker Symbol DEX                       Meeting Date 22-Aug-2018  
  ISIN US2460601071           Agenda 934854616 - Opposition
  Record Date 08-Jun-2018           Holding Recon Date 08-Jun-2018  
  City / Country     / United States         Vote Deadline Date 21-Aug-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Jason Beckett       Split   Split    
      2 Jeremy Benkiewicz       Split   Split    
      3 Stephen J. Flanagan       Split   Split    
      4 Frederic Gabriel       Split   Split    
      5 Paul Kazarian       Split   Split    
      6 Thomas H. McGlade       Split   Split    
      7 Nitin Sapru       Split   Split    
      8 Pierre Weinstein       Split   Split    
  2     For the Board to consider authorizing a self-tender offer for all outstanding shares of the Fund at or close to net asset value ("NAV"). If more than 50% of the Fund's outstanding shares are submitted for tender, the tender offer should be cancelled and the Board should take the steps necessary to liquidate or convert the Fund into an open-end mutual fund. Management   Split   Split    
  SPROTT FUNDS    
  Security 85208J109           Meeting Type Annual  
  Ticker Symbol FUND                      Meeting Date 05-Sep-2018  
  ISIN US85208J1097           Agenda 934868083 - Management
  Record Date 13-Jul-2018           Holding Recon Date 13-Jul-2018  
  City / Country     / United States         Vote Deadline Date 04-Sep-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 W. Whitney George       Split   Split    
      2 James R. Pierce, Jr       Split   Split    
  FIRST TRUST ADVISORS    
  Security 33740K101           Meeting Type Annual  
  Ticker Symbol FIV                       Meeting Date 10-Sep-2018  
  ISIN US33740K1016           Agenda 934867219 - Management
  Record Date 25-Jul-2018           Holding Recon Date 25-Jul-2018  
  City / Country     / United States         Vote Deadline Date 07-Sep-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 RICHARD E. ERICKSON       Split   Split    
      2 THOMAS R. KADLEC       Split   Split    
  ABERDEEN FUNDS    
  Security 00326L100           Meeting Type Annual  
  Ticker Symbol AOD                       Meeting Date 19-Sep-2018  
  ISIN US00326L1008           Agenda 934869073 - Management
  Record Date 20-Jul-2018           Holding Recon Date 20-Jul-2018  
  City / Country     / United States         Vote Deadline Date 18-Sep-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 John Sievwright       Split   Split    
  LEGG MASON    
  Security 95766B109           Meeting Type Annual  
  Ticker Symbol EHI                       Meeting Date 28-Sep-2018  
  ISIN US95766B1098           Agenda 934873387 - Management
  Record Date 24-Jul-2018           Holding Recon Date 24-Jul-2018  
  City / Country     / United States         Vote Deadline Date 27-Sep-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Leslie H. Gelb       Split   Split    
      2 William R. Hutchinson       Split   Split    
      3 Jane Trust       Split   Split    
  MADISON COVERED CALL & EQUITY STRGY FUND    
  Security 557437100           Meeting Type Annual  
  Ticker Symbol MCN                       Meeting Date 28-Sep-2018  
  ISIN US5574371002           Agenda 934873363 - Management
  Record Date 05-Jun-2018           Holding Recon Date 05-Jun-2018  
  City / Country     / United States         Vote Deadline Date 27-Sep-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve an Agreement and Plan of Merger and the transactions contemplated therein, including the merger of Madison Strategic Sector Premium Fund (MSP- Acquired Fund) with and into MCN-Acquiring Fund (the "Merger"). Management   Split   Split    
  2.    To approve the issuance of additional common shares of MCN in connection with the Merger. Management   Split   Split    
  3.    To approve an amendment to clarify the fund's industry concentration policy. Management   Split   Split    
  4.    DIRECTOR Management   Split   Split    
      1 James R. Imhoff, Jr.       Split   Split    
  HENNESSY CAPITAL ACQUIS. CORP III    
  Security 42588L105           Meeting Type Special
  Ticker Symbol HCAC                      Meeting Date 17-Oct-2018  
  ISIN US42588L1052           Agenda 934884924 - Management
  Record Date 01-Oct-2018           Holding Recon Date 01-Oct-2018  
  City / Country     / United States         Vote Deadline Date 16-Oct-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    The Business Combination Proposal - To approve that certain Purchase Agreement, dated as of June 25, 2018 and amended as of July 12, 2018 (as may be further amended from time to time, the "Purchase Agreement"), by and between the Company and JFL-NRC-SES Partners, LLC ("JFL Partners"), and the transactions contemplated thereby (the "Business Combination"), which provides for the acquisition by the Company of all of the issued and outstanding membership interests of NRC Group Holdings, LLC from JFL Partners. Management   For   For    
  1a.   Intention to Exercise Redemption Rights: If you intend to exercise your redemption rights, please check "for" box. Checking this box, however, is not sufficient to exercise your redemption rights. You must comply with the procedures set forth in the definitive proxy statement under the heading "Special Meeting in Lieu of 2018 Annual Meeting of Hennessy Capital Stockholders - Redemption Rights." Management   For        
  1b.   Shareholder Certification: I hereby certify that I am not acting in concert, or as a "group" (as defined in Section 13(d) (3) of the Securities Exchange Act of 1934, as amended), with any other stockholder with respect to the shares of common stock of the Company owned by me in connection with the proposed Business Combination between the Company and NRC Group Holdings, LLC. (For = I am not, Against = I am) Management   For        
  2.    To approve the amendment of the Company's certificate of incorporation (the "existing charter") to increase the Company's authorized preferred stock. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. Management   For   For    
  3.    To approve the amendment of the Company's existing charter to provide for the classification of the Company's board of directors into three classes of directors with staggered three-year terms of office and to make certain related changes. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. Management   For   For    
  4.    To approve the amendment of the Company's existing charter to provide for the removal of directors with or without cause by stockholders voting a majority of the outstanding shares of Company common stock, provided that at any time that JFL (as defined in the accompanying proxy statement) beneficially owns, in the aggregate, less than 50% of Company common stock, directors may be removed from office only for cause and only by the affirmative vote of holders of the majority of the outstanding shares of Company common stock. Management   For   For    
  5.    To approve the amendment of the Company's existing charter to provide that, for so long as JFL beneficially owns, in the aggregate, at least 50% of the outstanding shares of Company common stock, special meetings of the stockholders of the Company shall also be promptly called by or at the direction of the board or the chairman of the board upon the written request of JFL. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. Management   For   For    
  6.    To approve the amendment of the Company's existing charter to require an affirmative vote by the holders of at least 66.67% of the outstanding shares of Company common stock to amend, alter, change or repeal or adopt certain provisions of the proposed charter for so long as JFL beneficially owns, in the aggregate, at least 10% of outstanding shares of Company common stock. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. Management   For   For    
  7.    To approve the amendment of the Company's existing charter to require an affirmative vote of at least 66.67% of the outstanding shares of Company common stock to amend, alter or repeal the proposed amended and restated bylaws of the Company for so long as JFL beneficially owns, in the aggregate, at least 10% of the outstanding shares of Company common stock. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. Management   For   For    
  8.    To approve the amendment of the Company's existing charter to provide for certain changes to adopt ownership qualifications, restrictions, requirements and procedures to assist the Company in complying with certain provisions of the Jones Act (as defined in the accompanying proxy statement). Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. Management   For   For    
  9.    To approve the amendment of the Company's existing charter to provide for certain additional changes, including changing the Company's name from "Hennessy Capital Acquisition Corp. III" to "NRC Group Holdings Corp.," which the Company's board of directors believes are necessary to adequately address the post-Business Combination needs of the Company. Each of the Charter Proposals is conditioned on the approval of the Business Combination Proposal. Management   For   For    
  10.   DIRECTOR Management            
      1 James Baumgardner       For   For    
      2 Christian Swinbank       For   For    
      3 John Rapaport       For   For    
      4 James F. O'Neil III       For   For    
  11.   Incentive Plan Proposal - To approve the NRC Group Holdings Corp. 2018 Equity and Incentive Compensation Plan. The Incentive Plan Proposal is conditioned on the approval of the Business Combination Proposal and Proposal 2. Management   For   For    
  12.   To approve (i) the issuance of shares of common stock to JFL Partners (ii) the issuance of up to 2,439,025 shares of Company common stock and up to 1,000,000 shares of Series A Convertible Preferred Stock, (iii) the issuance by the Company of 1,951,220 shares of Company common stock and 300,000 shares of Series A Convertible Preferred Stock convertible into shares of Company common stock to JFLCo or one or more of its affiliated investment funds and (iv) the potential change of control of the Company under the NYSE American listing rules. Management   For   For    
  13.   Adjournment Proposal - To adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination Proposal, the Charter Proposals, the Director Election Proposal, the Incentive Plan Proposal or the NYSE Proposal. Management   For   For    
  ABERDEEN FUNDS    
  Security 00326L100           Meeting Type Annual  
  Ticker Symbol AOD                       Meeting Date 31-Oct-2018  
  ISIN US00326L1008           Agenda 934886980 - Management
  Record Date 20-Jul-2018           Holding Recon Date 20-Jul-2018  
  City / Country     / United States         Vote Deadline Date 30-Oct-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.1   DIRECTOR Management   Split   Split    
      1 John Sievwright       Split   Split    
  2.    A Shareholder proposal that the Board take the necessary steps to declassify the Board of Trustees of the Fund so that all Trustees are elected on an annual basis. Shareholder   Split   Split    
  INDUSTREA ACQUISITION CORP.    
  Security 45579J104           Meeting Type Special
  Ticker Symbol INDU                      Meeting Date 04-Dec-2018  
  ISIN US45579J1043           Agenda 934903899 - Management
  Record Date 17-Oct-2018           Holding Recon Date 17-Oct-2018  
  City / Country     / United States         Vote Deadline Date 03-Dec-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    The Business Combination Proposal: Approve and adopt the Agreement and Plan of Merger, dated as of September 7, 2018, by and among the Company, Concrete Pumping Holdings Acquisition Corp., a Delaware corporation and wholly-owned subsidiary of the Company ("Newco"), Concrete Pumping Holdings, Inc., a Delaware corporation ("CPH"), certain subsidiaries of Newco, and PGP Investors, LLC, solely in its capacity as the initial Holder Representative, a copy of which is attached to the proxy statement/prospectus as Annex A. Management   For   For    
  2.    The Nasdaq Proposal: To approve, for puposes of complying with applicable Nasdaq listing rules, the issuance of more than 20% of the Company's issued and outstanding common stock pursuant to the Business Combination. Management   For   For    
  3.    The Charter Proposals: To approve the following material differences between the proposed amended and restated certificate of incorporation of Newco (the "Newco Charter"): The name of the new public company will be Concrete Pumping Holdings, Inc. as opposed to "Industrea Acquisition Corp." Management   For   For    
  4.    The Charter Proposals: To approve the following material differences between the proposed amended and restated certificate of incorporation of Newco (the "Newco Charter"): Newco will have 500,000,000 authorized shares of common stock and 10,000,000 authorized shares of preferred stock, as opposed to the Company having 220,000,000 authorized shares of common stock and 1,000,000 authorized shares of preferred stock. Management   For   For    
  5.    The Charter Proposals: To approve the following material differences between the proposed amended and restated certificate of incorporation of Newco (the "Newco Charter"): The Newco Charter will not include the various provisions applicable only to special purpose acquisition companies that the Industrea Charter contains (such as the obligation to dissolve and liquidate if a business combination is not consummated in a certain period of time). Management   For   For    
  6.    DIRECTOR Management            
      1 Heather L. Faust       For   For    
      2 David G. Hall       For   For    
      3 Iain Humphries       For   For    
      4 Brian Hodges       For   For    
      5 John M. Piecuch       For   For    
      6 Howard D. Morgan       For   For    
      7 David A. B. Brown       For   For    
      8 Tariq Osman       For   For    
      9 Bruce Young       For   For    
  7.    The Incentive Plan Proposal: To approve the Concrete Pumping Holdings, Inc. 2018 Omnibus Incentive Plan, which is an incentive compensation plan for employees, directors and consultants of Newco and its subsidiaries, including CPH, a copy of which is attached to the proxy statement/prospectus as Annex C. Management   For   For    
  8.    The Adjournment Proposal: To approve the adjournment of the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Nasdaq Proposal, the Charter Proposals or the Incentive Plan Proposal. This proposal will only be presented at the Special Meeting if there are not sufficient votes to approve the Business Combination Proposal the Nasdaq Proposal. Management   For   For    
  SPECIAL OPPORTUNITIES FUND, INC    
  Security 84741T104           Meeting Type Annual  
  Ticker Symbol SPE                       Meeting Date 06-Dec-2018  
  ISIN US84741T1043           Agenda 934897248 - Management
  Record Date 18-Oct-2018           Holding Recon Date 18-Oct-2018  
  City / Country     / United States         Vote Deadline Date 05-Dec-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Mr. Andrew Dakos       Split   Split    
      2 Mr. Gerald Hellerman       Split   Split    
      3 Mr. Charles Walden       Split   Split    
      4 Mr. Ben Harris       Split   Split    
  THE CHINA FUND, INC.    
  Security 169373107           Meeting Type Special
  Ticker Symbol CHN                       Meeting Date 07-Dec-2018  
  ISIN US1693731077           Agenda 934905576 - Management
  Record Date 29-Oct-2018           Holding Recon Date 29-Oct-2018  
  City / Country     / United States         Vote Deadline Date 06-Dec-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve the proposed Investment Advisory and Management Agreement between the fund and Matthews International Capital Management, LLC. Management   Split   Split    
  LEISURE ACQUISITION CORP.    
  Security 52539T206           Meeting Type Annual  
  Ticker Symbol LACQU                     Meeting Date 14-Dec-2018  
  ISIN US52539T2069           Agenda 934902037 - Management
  Record Date 05-Nov-2018           Holding Recon Date 05-Nov-2018  
  City / Country     / United States         Vote Deadline Date 13-Dec-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Marc J. Falcone       Split   Split    
  2.    To ratify the selection by our Audit Committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2018. Management   Split   Split    
  LEISURE ACQUISITION CORP.    
  Security 52539T107           Meeting Type Annual  
  Ticker Symbol LACQ                      Meeting Date 14-Dec-2018  
  ISIN US52539T1079           Agenda 934902037 - Management
  Record Date 05-Nov-2018           Holding Recon Date 05-Nov-2018  
  City / Country     / United States         Vote Deadline Date 13-Dec-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Marc J. Falcone       Split   Split    
  2.    To ratify the selection by our Audit Committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2018. Management   Split   Split    
  DRAPER OAKWOOD TECHNOLOGY ACQUISITION IN    
  Security 26146L103           Meeting Type Special
  Ticker Symbol DOTA                      Meeting Date 19-Dec-2018  
  ISIN US26146L1035           Agenda 934912064 - Management
  Record Date 05-Dec-2018           Holding Recon Date 05-Dec-2018  
  City / Country     / United States         Vote Deadline Date 18-Dec-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To consider and vote upon a proposal to approve and adopt the Business Combination Agreement, the transactions contemplated thereby and the performance by Draper Oakwood Technology Acquisition, Inc. of its obligations thereunder (the "Business Combination"). Management   For   For    
  1a.   Intention to Exercise Redemption Rights - If you intend to exercise your redemption rights, please check 'For' box. Checking 'For' box, however, is not sufficient to exercise your redemption rights. You must also vote either FOR or AGAINST the Business Combination Proposal, and, in addition, you must comply with the procedures set forth in the prospectus/proxy statement under the heading "Special Meeting of DOTA Stockholders - Redemption Rights." Management   For        
  2a.   To consider and vote upon proposals to approve the adoption of the following incentive compensation plans: 2018 Omnibus Equity Incentive Plan. Management   For   For    
  2b.   To consider and vote upon proposals to approve the adoption of the following incentive compensation plans: 2018 Reebonz Share Option Plan. Management   For   For    
  2c.   To consider and vote upon proposals to approve the adoption of the following incentive compensation plans: Management Performance Plan. Management   For   For    
  3.    The Share Issuance Proposal - To consider and vote upon a proposal to approve, for purposes of complying with applicable NASDAQ Stock Market LLC listing rules, the issuance of more than 20% of the issued and outstanding common stock of Draper Oakwood Technology Acquisition, Inc. in financing transactions in connection with the Business Combination. Management   For   For    
  4.    The Adjournment Proposal - To consider and vote upon a proposal to adjourn the special meeting of stockholders to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve the Business Combination Proposal. Management   For   For    
  MORGAN STANLEY EMERGING MARKETS FD, INC.    
  Security 61744G107           Meeting Type Special
  Ticker Symbol MSF                       Meeting Date 07-Jan-2019  
  ISIN US61744G1076           Agenda 934902974 - Management
  Record Date 06-Nov-2018           Holding Recon Date 06-Nov-2018  
  City / Country     / United States         Vote Deadline Date 04-Jan-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve the actions and transactions described in that certain Agreement and Plan of Reorganization between Morgan Stanley Emerging Markets Fund, Inc. (the "Acquired Fund") and Morgan Stanley Institutional Fund, Inc., on behalf of the Emerging Markets Portfolio (the "Acquiring Fund"), pursuant to which substantially all of the assets and liabilities of the Acquired Fund will be transferred to the Acquiring Fund in exchange for Class I shares of common stock of the Acquiring Fund and pursuant to which the Acquired Fund will be dissolved. Management   Split   Split    
  EATON VANCE LIMITED DURATION INCOME FD    
  Security 27828H105           Meeting Type Annual  
  Ticker Symbol EVV                       Meeting Date 17-Jan-2019  
  ISIN US27828H1059           Agenda 934909512 - Management
  Record Date 06-Nov-2018           Holding Recon Date 06-Nov-2018  
  City / Country     / United States         Vote Deadline Date 16-Jan-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management            
      1 Cynthia E. Frost       For   For    
      2 Valerie A. Mosley       For   For    
      3 Scott E. Wennerholm       For   For    
  HIGH INCOME SECURITIES FUND    
  Security 42968F108           Meeting Type Special
  Ticker Symbol PCF                       Meeting Date 22-Jan-2019  
  ISIN US42968F1084           Agenda 934914842 - Management
  Record Date 02-Nov-2018           Holding Recon Date 02-Nov-2018  
  City / Country     / United States         Vote Deadline Date 18-Jan-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To change the nature of the Fund's business from being an investment company under the Investment Company Act of 1940, as amended and to deregister the Fund as an investment company with the Securities and Exchange Commission to permit the Fund to operate as a holding company. Management   Split   Split    
  2.    To approve the reorganization of the Fund from a Massachusetts business trust into a newly established Delaware corporation Management   Split   Split    
  PENSARE ACQUISITION CORP    
  Security 70957E105           Meeting Type Special
  Ticker Symbol WRLS                      Meeting Date 28-Jan-2019  
  ISIN US70957E1055           Agenda 934919741 - Management
  Record Date 26-Dec-2018           Holding Recon Date 26-Dec-2018  
  City / Country     / United States         Vote Deadline Date 25-Jan-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    The Charter Amendment: Amend Pensare's Amended and Restated Certificate of Incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") for an additional three months, from February 1, 2019 to May 1, 2019, and permit holders of public shares to redeem their shares for their pro rata portion of the trust account. Management   For   For    
  2.    DIRECTOR Management            
      1 U. Bertram Ellis, Jr.       For   For    
      2 Karl Krapek       For   For    
      3 Dennis Lockhart       For   For    
      4 Dr. Klaas Baks       For   For    
  3.    Ratification of Selection of Independent Registered Public Accounting Firm: To ratify the selection by our Audit Committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2019. Management   For   For    
  ABERDEEN FUNDS    
  Security 00301W105           Meeting Type Annual  
  Ticker Symbol AEF                       Meeting Date 21-Feb-2019  
  ISIN US00301W1053           Agenda 934923079 - Management
  Record Date 31-Dec-2018           Holding Recon Date 31-Dec-2018  
  City / Country     / United States         Vote Deadline Date 20-Feb-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.1   Election of Class II Director: Lawrence J. Fox Management   Split   Split    
  1.2   Election of Class II Director: C. William Maher Management   Split   Split    
  ABERDEEN FUNDS    
  Security 00301W105           Meeting Type Annual  
  Ticker Symbol AEF                       Meeting Date 21-Feb-2019  
  ISIN US00301W1053           Agenda 934923079 - Management
  Record Date 31-Dec-2018           Holding Recon Date 31-Dec-2018  
  City / Country     / United States         Vote Deadline Date 20-Feb-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.1   Election of Class II Director: Lawrence J. Fox Management   Split   Split    
  1.2   Election of Class II Director: C. William Maher Management   Split   Split    
  LEGG MASON    
  Security 10537L104           Meeting Type Annual  
  Ticker Symbol BWG                       Meeting Date 22-Feb-2019  
  ISIN US10537L1044           Agenda 934921417 - Management
  Record Date 21-Dec-2018           Holding Recon Date 21-Dec-2018  
  City / Country     / United States         Vote Deadline Date 21-Feb-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Nisha Kumar#       Split   Split    
      2 Daniel P. Cronin*       Split   Split    
      3 Paolo M. Cucchi*       Split   Split    
  LEGG MASON    
  Security 10537L104           Meeting Type Annual  
  Ticker Symbol BWG                       Meeting Date 22-Feb-2019  
  ISIN US10537L1044           Agenda 934921417 - Management
  Record Date 21-Dec-2018           Holding Recon Date 21-Dec-2018  
  City / Country     / United States         Vote Deadline Date 21-Feb-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Nisha Kumar#       Split   Split    
      2 Daniel P. Cronin*       Split   Split    
      3 Paolo M. Cucchi*       Split   Split    
  HAYMAKER ACQUISITION CORP.    
  Security 420870107           Meeting Type Special
  Ticker Symbol HYAC                      Meeting Date 06-Mar-2019  
  ISIN US4208701072           Agenda 934931014 - Management
  Record Date 11-Feb-2019           Holding Recon Date 11-Feb-2019  
  City / Country     / United States         Vote Deadline Date 05-Mar-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    The Business Combination Proposal: To consider and vote upon a proposal to adopt and approve the Business Combination Agreement, (as amended on January 7, 2019, by Amendment No. 1 to Business Combination Agreement, and as it may be further amended from time to time, the "Transaction Agreement"), by and among Haymaker, OneSpaWorld Holdings Limited, an international business company incorporated under the laws of the Commonwealth of The Bahamas ("OneSpaWorld"), the sellers identified therein. Management   For   For    
  2A.   Shareholding Limits for Certain Shareholders of OneSpaWorld: The OneSpaWorld Memorandum and Articles of Association will provide that shareholders will be prohibited from beneficially owning OneSpaWorld's common shares, par value 0.0001 per share (the "OneSpaWorld Shares"), exceeding 9.99% of the issued and outstanding OneSpaWorld Shares without the consent of the OneSpaWorld board of directors. Management   For   For    
  2B.   Shareholder Approval of Certain Matters: The OneSpaWorld Memorandum and Articles of Association will provide for supermajority voting requirements with respect to certain significant transactions. At least two- thirds of the outstanding OneSpaWorld Shares will be required to approve any merger or sale of all or substantially all of OneSpaWorld's assets (unless the OneSpaWorld board of directors has approved such transaction in advance, in which case a majority of the shares entitled to vote shall be required). Management   For   For    
  3.    The Lock-Up Amendment Proposal: To ratify the entry into the OSW Lock-Up Agreement (as defined in the accompanying proxy statement) by Haymaker Sponsor, LLC, and the directors and officers of Haymaker that, among other things, modifies the lock-up period such parties were subject to under the lock-up agreements entered into at the closing of Haymaker's initial public offering. Management   For   For    
  4.    The Adjournment Proposal: To consider and vote upon a proposal to adjourn the Special Meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal, the Charter Proposal or the Lock- Up Amendment Proposal. Management   For   For    
  PGIM INVESTMENTS    
  Security 69346H100           Meeting Type Annual  
  Ticker Symbol ISD                       Meeting Date 08-Mar-2019  
  ISIN US69346H1005           Agenda 934918624 - Management
  Record Date 14-Dec-2018           Holding Recon Date 14-Dec-2018  
  City / Country     / United States         Vote Deadline Date 07-Mar-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ellen S. Alberding       Split   Split    
      2 Barry H. Evans       Split   Split    
      3 Stuart S. Parker       Split   Split    
      4 Brian K. Reid       Split   Split    
  PGIM INVESTMENTS    
  Security 69346H100           Meeting Type Annual  
  Ticker Symbol ISD                       Meeting Date 08-Mar-2019  
  ISIN US69346H1005           Agenda 934918624 - Management
  Record Date 14-Dec-2018           Holding Recon Date 14-Dec-2018  
  City / Country     / United States         Vote Deadline Date 07-Mar-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ellen S. Alberding       Split   Split    
      2 Barry H. Evans       Split   Split    
      3 Stuart S. Parker       Split   Split    
      4 Brian K. Reid       Split   Split    
  PGIM INVESTMENTS    
  Security 69346J106           Meeting Type Annual  
  Ticker Symbol GHY                       Meeting Date 08-Mar-2019  
  ISIN US69346J1060           Agenda 934918636 - Management
  Record Date 14-Dec-2018           Holding Recon Date 14-Dec-2018  
  City / Country     / United States         Vote Deadline Date 07-Mar-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ellen S. Alberding       Split   Split    
      2 Barry H. Evans       Split   Split    
      3 Stuart S. Parker       Split   Split    
      4 Brian K. Reid       Split   Split    
  PGIM INVESTMENTS    
  Security 69346J106           Meeting Type Annual  
  Ticker Symbol GHY                       Meeting Date 08-Mar-2019  
  ISIN US69346J1060           Agenda 934918636 - Management
  Record Date 14-Dec-2018           Holding Recon Date 14-Dec-2018  
  City / Country     / United States         Vote Deadline Date 07-Mar-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ellen S. Alberding       Split   Split    
      2 Barry H. Evans       Split   Split    
      3 Stuart S. Parker       Split   Split    
      4 Brian K. Reid       Split   Split    
  THE CHINA FUND, INC.    
  Security 169373107           Meeting Type Annual  
  Ticker Symbol CHN                       Meeting Date 13-Mar-2019  
  ISIN US1693731077           Agenda 934925857 - Management
  Record Date 14-Jan-2019           Holding Recon Date 14-Jan-2019  
  City / Country     / United States         Vote Deadline Date 12-Mar-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1a.   Election of Class II Director: Richard A. Silver Management   Split   Split    
  CONSTELLATION ALPHA CAPITAL CORP.    
  Security G2379F108           Meeting Type Special
  Ticker Symbol CNAC                      Meeting Date 21-Mar-2019  
  ISIN VGG2379F1080           Agenda 934934820 - Management
  Record Date 15-Feb-2019           Holding Recon Date 15-Feb-2019  
  City / Country     / United States         Vote Deadline Date 20-Mar-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    The Extension Amendment: Amend the Company's Amended and Restated Memorandum and Articles of Association to extend the date by which the Company has to consummate a business combination (the "Extension") for an additional six months, from March 23, 2019 to September 23, 2019, and permit holders of public shares to redeem their shares for their pro rata portion of the trust account. Management   For   For    
  2.    DIRECTOR Management            
      1 Dr. John Alexander       For   For    
      2 Kewal Handa       For   For    
  3.    Ratification of Selection of Independent Registered Public Accounting Firm: To ratify the selection by the Company's Audit Committee of Marcum LLP to serve as the Company's independent registered public accounting firm for the fiscal year ending March 31, 2019 Management   For   For    
  NUVEEN EMER MKTS DEBT 2022 TARGET TERM    
  Security 67077P101           Meeting Type Annual  
  Ticker Symbol JEMD                      Meeting Date 10-Apr-2019  
  ISIN US67077P1012           Agenda 934935668 - Management
  Record Date 18-Jan-2019           Holding Recon Date 18-Jan-2019  
  City / Country     / United States         Vote Deadline Date 09-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1b.   DIRECTOR Management   Split   Split    
      1 Judith M. Stockdale       Split   Split    
      2 Carole E. Stone       Split   Split    
      3 Margaret L. Wolff       Split   Split    
      4 William C. Hunter       Split   Split    
  NUVEEN EMER MKTS DEBT 2022 TARGET TERM    
  Security 67077P101           Meeting Type Annual  
  Ticker Symbol JEMD                      Meeting Date 10-Apr-2019  
  ISIN US67077P1012           Agenda 934935668 - Management
  Record Date 18-Jan-2019           Holding Recon Date 18-Jan-2019  
  City / Country     / United States         Vote Deadline Date 09-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1b.   DIRECTOR Management   Split   Split    
      1 Judith M. Stockdale       Split   Split    
      2 Carole E. Stone       Split   Split    
      3 Margaret L. Wolff       Split   Split    
      4 William C. Hunter       Split   Split    
  NUVEEN INTER DUR QLTY MUNI TERM FD    
  Security 670677103           Meeting Type Annual  
  Ticker Symbol NIQ                       Meeting Date 10-Apr-2019  
  ISIN US6706771036           Agenda 934935670 - Management
  Record Date 18-Jan-2019           Holding Recon Date 18-Jan-2019  
  City / Country     / United States         Vote Deadline Date 09-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1a.   DIRECTOR Management   Split   Split    
      1 Judith M. Stockdale       Split   Split    
      2 Carole E. Stone       Split   Split    
      3 Margaret L. Wolff       Split   Split    
  NUVEEN INTER DUR QLTY MUNI TERM FD    
  Security 670677103           Meeting Type Annual  
  Ticker Symbol NIQ                       Meeting Date 10-Apr-2019  
  ISIN US6706771036           Agenda 934935670 - Management
  Record Date 18-Jan-2019           Holding Recon Date 18-Jan-2019  
  City / Country     / United States         Vote Deadline Date 09-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1a.   DIRECTOR Management   Split   Split    
      1 Judith M. Stockdale       Split   Split    
      2 Carole E. Stone       Split   Split    
      3 Margaret L. Wolff       Split   Split    
  NUVEEN PREFERED & CONVERTIBLE INCOME 2    
  Security 67073D102           Meeting Type Annual  
  Ticker Symbol JQC                       Meeting Date 10-Apr-2019  
  ISIN US67073D1028           Agenda 934935668 - Management
  Record Date 18-Jan-2019           Holding Recon Date 18-Jan-2019  
  City / Country     / United States         Vote Deadline Date 09-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1b.   DIRECTOR Management   Split   Split    
      1 Judith M. Stockdale       Split   Split    
      2 Carole E. Stone       Split   Split    
      3 Margaret L. Wolff       Split   Split    
      4 William C. Hunter       Split   Split    
  NUVEEN PREFERED & CONVERTIBLE INCOME 2    
  Security 67073D102           Meeting Type Annual  
  Ticker Symbol JQC                       Meeting Date 10-Apr-2019  
  ISIN US67073D1028           Agenda 934935668 - Management
  Record Date 18-Jan-2019           Holding Recon Date 18-Jan-2019  
  City / Country     / United States         Vote Deadline Date 09-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1b.   DIRECTOR Management   Split   Split    
      1 Judith M. Stockdale       Split   Split    
      2 Carole E. Stone       Split   Split    
      3 Margaret L. Wolff       Split   Split    
      4 William C. Hunter       Split   Split    
  CORNERSTONE STRATEGIC VALUE FUND, INC.    
  Security 21924B302           Meeting Type Annual  
  Ticker Symbol CLM                       Meeting Date 16-Apr-2019  
  ISIN US21924B3024           Agenda 934937333 - Management
  Record Date 19-Feb-2019           Holding Recon Date 19-Feb-2019  
  City / Country     / United States         Vote Deadline Date 15-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Andrew A. Strauss       Split   Split    
      2 Glenn W. Wilcox, Sr.       Split   Split    
  2.    To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC. Management   Split   Split    
  3.    In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof. Management   Split   Split    
  CORNERSTONE STRATEGIC VALUE FUND, INC.    
  Security 21924B302           Meeting Type Annual  
  Ticker Symbol CLM                       Meeting Date 16-Apr-2019  
  ISIN US21924B3024           Agenda 934937333 - Management
  Record Date 19-Feb-2019           Holding Recon Date 19-Feb-2019  
  City / Country     / United States         Vote Deadline Date 15-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Andrew A. Strauss       Split   Split    
      2 Glenn W. Wilcox, Sr.       Split   Split    
  2.    To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC. Management   Split   Split    
  3.    In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof. Management   Split   Split    
  CORNERSTONE TOTAL RETURN FUND, INC.    
  Security 21924U300           Meeting Type Annual  
  Ticker Symbol CRF                       Meeting Date 16-Apr-2019  
  ISIN US21924U3005           Agenda 934937357 - Management
  Record Date 19-Feb-2019           Holding Recon Date 19-Feb-2019  
  City / Country     / United States         Vote Deadline Date 15-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ralph W. Bradshaw       Split   Split    
      2 Robert E. Dean       Split   Split    
      3 Edwin Meese III       Split   Split    
      4 Matthew W. Morris       Split   Split    
      5 Scott B. Rogers       Split   Split    
      6 Andrew A. Strauss       Split   Split    
      7 Glenn W. Wilcox, Sr.       Split   Split    
  2.    To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC. Management   Split   Split    
  3.    In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof. Management   Split   Split    
  CORNERSTONE TOTAL RETURN FUND, INC.    
  Security 21924U300           Meeting Type Annual  
  Ticker Symbol CRF                       Meeting Date 16-Apr-2019  
  ISIN US21924U3005           Agenda 934937357 - Management
  Record Date 19-Feb-2019           Holding Recon Date 19-Feb-2019  
  City / Country     / United States         Vote Deadline Date 15-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ralph W. Bradshaw       Split   Split    
      2 Robert E. Dean       Split   Split    
      3 Edwin Meese III       Split   Split    
      4 Matthew W. Morris       Split   Split    
      5 Scott B. Rogers       Split   Split    
      6 Andrew A. Strauss       Split   Split    
      7 Glenn W. Wilcox, Sr.       Split   Split    
  2.    To approve a new investment management agreement with Cornerstone Advisors Asset Management LLC. Management   Split   Split    
  3.    In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the Meeting or any adjournment thereof. Management   Split   Split    
  EATON VANCE FUNDS    
  Security 27829M103           Meeting Type Annual  
  Ticker Symbol EXD                       Meeting Date 18-Apr-2019  
  ISIN US27829M1036           Agenda 934932422 - Management
  Record Date 05-Feb-2019           Holding Recon Date 05-Feb-2019  
  City / Country     / United States         Vote Deadline Date 17-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Mark R. Fetting       Split   Split    
      2 Valerie A. Mosley       Split   Split    
      3 Helen Frame Peters       Split   Split    
      4 Marcus L. Smith       Split   Split    
  ALLIANCE CALIFORNIA MUNI INCOME FD, INC.    
  Security 018546101           Meeting Type Special
  Ticker Symbol AKP                       Meeting Date 26-Apr-2019  
  ISIN US0185461011           Agenda 934947118 - Management
  Record Date 19-Feb-2019           Holding Recon Date 19-Feb-2019  
  City / Country     / United States         Vote Deadline Date 25-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve the liquidation and dissolution of the Fund. Management   Split   Split    
  CM SEVEN STAR ACQUISITION CORP    
  Security G2345N102           Meeting Type Annual  
  Ticker Symbol CMSS                      Meeting Date 29-Apr-2019  
  ISIN KYG2345N1025           Agenda 934985081 - Management
  Record Date 28-Mar-2019           Holding Recon Date 28-Mar-2019  
  City / Country     / China         Vote Deadline Date 26-Apr-2019  
  SEDOL(s)         Quick Code    
                                   
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    To approve the Share Exchange Agreement, and among CM Seven Star, Kaixin Auto Group (Kaixin) and Renren Inc. (Seller) and transactions contemplated thereunder, including but not limited to CM Seven Star's acquisition of all the issued and outstanding shares and any other equity interests of Kaixin from the Seller, as provided for in the Share Exchange Agreement & consideration paid to the Seller and earn-out consideration by way of new issue of ordinary shares credited as fully paid in accordance with the Share Exchange Agreement, or Business Combination. Management   For   For    
  2.    To approve increase in the number of authorized ordinary shares of CM Seven Star to 500,000,000 and removal of the class of preferred shares. This proposal is referred to as the "Authorized Share Increase Proposal." Management   For   For    
  3.    To approve as a special resolution the change of CM Seven Star's name to Kaixin Auto Holdings and the adoption of the Second Amended and Restated Memorandum and Articles of Association of CM Seven Star as further described in the definitive proxy statement. This proposal is referred to as the "Amendment Proposal." Management   For   For    
  4.    To approve the issuance of more than 20% of the issued and outstanding ordinary shares of CM Seven Star pursuant to the terms of the Share Exchange Agreement, as required by Nasdaq Listing Rules 5635(a) and (d). This proposal is referred to as the "Nasdaq Proposal." Management   For   For    
  5.    To approve the 2018 CM Seven Star Equity Incentive Plan. This proposal is referred to as the "Equity Incentive Plan Proposal." Management   For   For    
  6.    DIRECTOR Management            
      1 Anthony Ho       For   For    
      2 Sing Wang       For   For    
      3 Stephen N. Cannon       For   For    
      4 Jiong Shao       For   For    
      5 Michele Smith       For   For    
  7.    To approve the adjournment of the annual general meeting in the event CM Seven Star does not receive the requisite shareholder vote to approve the Business Combination. This proposal is called the "Business Combination Adjournment Proposal." Management   For   For    
  PENSARE ACQUISITION CORP    
  Security 70957E105           Meeting Type Special
  Ticker Symbol WRLS                      Meeting Date 29-Apr-2019  
  ISIN US70957E1055           Agenda 934985207 - Management
  Record Date 27-Mar-2019           Holding Recon Date 27-Mar-2019  
  City / Country     / United States         Vote Deadline Date 26-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    The Charter Amendment: To amend Pensare's Amended and Restated Certificate of Incorporation to extend the date by which the Company has to consummate a business combination (the "Extension") for an additional three months, from May 1, 2019 to August 1, 2019, and permit holders of public shares to redeem their shares for their pro rata portion of the trust account. Management   For   For    
  2.    Adjournment of the Meeting: To direct the chairman of the special meeting to adjourn the special meeting to a later date or dates, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the special meeting, there are not sufficient votes to approve any of the foregoing proposal. Management   For   For    
  GARRISON CAPITAL INC.    
  Security 366554103           Meeting Type Annual  
  Ticker Symbol GARS                      Meeting Date 01-May-2019  
  ISIN US3665541039           Agenda 934951511 - Management
  Record Date 06-Mar-2019           Holding Recon Date 06-Mar-2019  
  City / Country     / United States         Vote Deadline Date 30-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1A.   Election of Director: Joseph Tansey Management   Split   Split    
  1B.   Election of Director: Cecil Martin Management   Split   Split    
  2.    Ratification of selection of RSM US LLP to serve as independent registered public accounting firm for fiscal year ending December 31, 2019. Management   Split   Split    
  GARRISON CAPITAL INC.    
  Security 366554103           Meeting Type Annual  
  Ticker Symbol GARS                      Meeting Date 01-May-2019  
  ISIN US3665541039           Agenda 934951511 - Management
  Record Date 06-Mar-2019           Holding Recon Date 06-Mar-2019  
  City / Country     / United States         Vote Deadline Date 30-Apr-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1A.   Election of Director: Joseph Tansey Management   Split   Split    
  1B.   Election of Director: Cecil Martin Management   Split   Split    
  2.    Ratification of selection of RSM US LLP to serve as independent registered public accounting firm for fiscal year ending December 31, 2019. Management   Split   Split    
  BARINGS BDC, INC.    
  Security 06759L103           Meeting Type Annual  
  Ticker Symbol BBDC                      Meeting Date 09-May-2019  
  ISIN US06759L1035           Agenda 934952107 - Management
  Record Date 05-Mar-2019           Holding Recon Date 05-Mar-2019  
  City / Country     / United States         Vote Deadline Date 08-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.1   Election of Class I Director: Eric Lloyd Management   Split   Split    
  1.2   Election of Class I Director: Mark F. Mulhern Management   Split   Split    
  2.    To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Management   Split   Split    
  BARINGS BDC, INC.    
  Security 06759L103           Meeting Type Annual  
  Ticker Symbol BBDC                      Meeting Date 09-May-2019  
  ISIN US06759L1035           Agenda 934952107 - Management
  Record Date 05-Mar-2019           Holding Recon Date 05-Mar-2019  
  City / Country     / United States         Vote Deadline Date 08-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.1   Election of Class I Director: Eric Lloyd Management   Split   Split    
  1.2   Election of Class I Director: Mark F. Mulhern Management   Split   Split    
  2.    To ratify the appointment of Ernst & Young LLP as the Company's independent registered public accounting firm for the fiscal year ending December 31, 2019. Management   Split   Split    
  TORTOISE MLP FUND INC    
  Security 89148B101           Meeting Type Annual  
  Ticker Symbol NTG                       Meeting Date 20-May-2019  
  ISIN US89148B1017           Agenda 934988582 - Management
  Record Date 07-Mar-2019           Holding Recon Date 07-Mar-2019  
  City / Country     / United States         Vote Deadline Date 17-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Alexandra A. Herger       Split   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, 2019. Management   Split   Split    
  TORTOISE MLP FUND INC    
  Security 89148B101           Meeting Type Annual  
  Ticker Symbol NTG                       Meeting Date 20-May-2019  
  ISIN US89148B1017           Agenda 934988582 - Management
  Record Date 07-Mar-2019           Holding Recon Date 07-Mar-2019  
  City / Country     / United States         Vote Deadline Date 17-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Alexandra A. Herger       Split   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, 2019. Management   Split   Split    
  BIG ROCK PARTNERS ACQUISITION CORP    
  Security 089482103           Meeting Type Annual  
  Ticker Symbol BRPA                      Meeting Date 21-May-2019  
  ISIN US0894821034           Agenda 935030899 - Management
  Record Date 30-Apr-2019           Holding Recon Date 30-Apr-2019  
  City / Country     / United States         Vote Deadline Date 20-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    Extension of Corporate Life: Amend the Company's amended and restated certificate of incorporation to extend the date that the Company has to consummate a business combination to August 22, 2019. Management   For   For    
  2.    Early Termination: Approve the Company's early winding up and redemption of 100% of the outstanding public shares if determined by the Company's board of directors. Management   For   For    
  3.    DIRECTOR Management            
      1 Lori B. Wittman       For   For    
      2 Michael Fong       For   For    
      3 Stuart Koenig       For   For    
  VIRTUS MUTUAL FUNDS    
  Security 92837G100           Meeting Type Annual  
  Ticker Symbol ZF                        Meeting Date 21-May-2019  
  ISIN US92837G1004           Agenda 934997834 - Management
  Record Date 03-Apr-2019           Holding Recon Date 03-Apr-2019  
  City / Country     / United States         Vote Deadline Date 20-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1g.   Election of Director (Class II): George R. Aylward Management   Split   Split    
  1h.   Election of Director (Class II): Philip R. McLoughlin Management   Split   Split    
  1i.   Election of Director (Class II): William R. Moyer Management   Split   Split    
  VIRTUS MUTUAL FUNDS    
  Security 92837G100           Meeting Type Annual  
  Ticker Symbol ZF                        Meeting Date 21-May-2019  
  ISIN US92837G1004           Agenda 934997834 - Management
  Record Date 03-Apr-2019           Holding Recon Date 03-Apr-2019  
  City / Country     / United States         Vote Deadline Date 20-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1g.   Election of Director (Class II): George R. Aylward Management   Split   Split    
  1h.   Election of Director (Class II): Philip R. McLoughlin Management   Split   Split    
  1i.   Election of Director (Class II): William R. Moyer Management   Split   Split    
  ONE MADISON CORPORATION    
  Security G6772P100           Meeting Type Special
  Ticker Symbol OMAD                      Meeting Date 28-May-2019  
  ISIN KYG6772P1000           Agenda 935023440 - Management
  Record Date 29-Apr-2019           Holding Recon Date 29-Apr-2019  
  City / Country     / United States         Vote Deadline Date 24-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1)    Business Combination Proposal: To approve by ordinary resolution transactions contemplated by the Stock Purchase Agreement, as amended, by and among One Madison, Rack Holdings L.P., a Delaware limited partnership ("Seller"), and Rack Holdings Inc., a Delaware corporation ("Rack Holdings"), owner of all of issued and outstanding equity interests of Ranpak Corporation, pursuant to which One Madison will acquire all of issued and outstanding equity interests of Rack Holdings from Seller, on the terms and subject to conditions set forth therein. Management   For   For    
  2)    THE NYSE Proposal: To approve, for purposes of complying with applicable listing rules of New York Stock Exchange, issuance by One Madison of Class A ordinary shares, par value $0.0001 per share, and Class C ordinary shares, par value $0.0001 per share, to certain accredited investors, including certain directors, officers and substantial security holders of One Madison, in each case in a private placement, the proceeds of which will be used to finance the business combination and related transactions & costs & expenses incurred in connection. Management   For   For    
  3)    The Domestication Proposal. To approve by special resolution the change of One Madison's jurisdiction of incorporation from the Cayman Islands to the State of Delaware by deregistering as an exempted company in the Cayman Islands and domesticating and continuing as a corporation incorporated under the laws of the State of Delaware (the "domestication"). Management   For   For    
  4)    To approve (i) the change of our name from "One Madison Corporation" to "Ranpak Holdings Corp.", (ii) adopting Delaware as the exclusive forum for certain stockholder litigation, (iii) upon the closing of the business combination (the "closing"), making One Madison's corporate existence perpetual and (iv) upon the closing, providing for the ineffectiveness of certain provisions in our existing organizational documents relating to our status as a blank check company that will no longer be applicable to us following the closing; Management   For   For    
  5)    To approve provisions providing that One Madison's board of directors will be divided into three classes following the business combination, with each class generally serving for a term of three years and with only one class of directors being elected in each year. Management   For   For    
  6)    To approve provisions providing that the directors of One Madison may only be removed for cause. Management   For   For    
  7)    To approve advance notice procedures with regard to the nomination by shareholders of candidates for election as directors. Management   For   For    
  8)    To approve provisions removing the ability of shareholders to call a special meeting of shareholders. Management   For   For    
  9)    To approve provisions removing the ability of shareholders to act by written consent in lieu of a meeting. Management   For   For    
  10)   To approve the amendment and restatement of the existing organizational documents by the deletion of the existing organizational documents in their entirety and the substitution of the proposed organizational documents in their place to (among other matters) reflect the changes proposals 4 through 10. Management   For   For    
  11)   The Incentive Plan Proposal. To approve by ordinary resolution the One Madison Corporation 2019 Omnibus Incentive Plan. Management   For   For    
  12)   The Adjournment Proposal. To approve by ordinary resolution the adjournment of the general meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal or the NYSE Proposal. Management   For   For    
  ONE MADISON CORPORATION    
  Security G6772P100           Meeting Type Special
  Ticker Symbol OMAD                      Meeting Date 28-May-2019  
  ISIN KYG6772P1000           Agenda 935023452 - Management
  Record Date 06-May-2019           Holding Recon Date 06-May-2019  
  City / Country     / United States         Vote Deadline Date 24-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1)    Business Combination Proposal: To approve by ordinary resolution transactions contemplated by the Stock Purchase Agreement, as amended, by and among One Madison, Rack Holdings L.P., a Delaware limited partnership ("Seller"), and Rack Holdings Inc., a Delaware corporation ("Rack Holdings"), owner of all of issued and outstanding equity interests of Ranpak Corporation, pursuant to which One Madison will acquire all of issued and outstanding equity interests of Rack Holdings from Seller, on the terms and subject to conditions set forth therein. Management   For   For    
  2)    THE NYSE Proposal: To approve, for purposes of complying with applicable listing rules of New York Stock Exchange, issuance by One Madison of Class A ordinary shares, par value $0.0001 per share, and Class C ordinary shares, par value $0.0001 per share, to certain accredited investors, including certain directors, officers and substantial security holders of One Madison, in each case in a private placement, the proceeds of which will be used to finance the business combination and related transactions & costs & expenses incurred in connection. Management   For   For    
  3)    The Domestication Proposal. To approve by special resolution the change of One Madison's jurisdiction of incorporation from the Cayman Islands to the State of Delaware by deregistering as an exempted company in the Cayman Islands and domesticating and continuing as a corporation incorporated under the laws of the State of Delaware (the "domestication"). Management   For   For    
  4)    To approve (i) the change of our name from "One Madison Corporation" to "Ranpak Holdings Corp.", (ii) adopting Delaware as the exclusive forum for certain stockholder litigation, (iii) upon the closing of the business combination (the "closing"), making One Madison's corporate existence perpetual and (iv) upon the closing, providing for the ineffectiveness of certain provisions in our existing organizational documents relating to our status as a blank check company that will no longer be applicable to us following the closing; Management   For   For    
  5)    To approve provisions providing that One Madison's board of directors will be divided into three classes following the business combination, with each class generally serving for a term of three years and with only one class of directors being elected in each year. Management   For   For    
  6)    To approve provisions providing that the directors of One Madison may only be removed for cause. Management   For   For    
  7)    To approve advance notice procedures with regard to the nomination by shareholders of candidates for election as directors. Management   For   For    
  8)    To approve provisions removing the ability of shareholders to call a special meeting of shareholders. Management   For   For    
  9)    To approve provisions removing the ability of shareholders to act by written consent in lieu of a meeting. Management   For   For    
  10)   To approve the amendment and restatement of the existing organizational documents by the deletion of the existing organizational documents in their entirety and the substitution of the proposed organizational documents in their place to (among other matters) reflect the changes proposals 4 through 10. Management   For   For    
  11)   The Incentive Plan Proposal. To approve by ordinary resolution the One Madison Corporation 2019 Omnibus Incentive Plan. Management   For   For    
  12)   The Adjournment Proposal. To approve by ordinary resolution the adjournment of the general meeting to a later date or dates, if necessary or appropriate, to permit further solicitation and vote of proxies in the event that there are insufficient votes for, or otherwise in connection with, the approval of the Business Combination Proposal or the NYSE Proposal. Management   For   For    
  TEMPLETON EMERGING MKTS INCOME FUND    
  Security 880192109           Meeting Type Annual  
  Ticker Symbol TEI                       Meeting Date 30-May-2019  
  ISIN US8801921094           Agenda 934964758 - Management
  Record Date 14-Mar-2019           Holding Recon Date 14-Mar-2019  
  City / Country     / United States         Vote Deadline Date 29-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Mary C. Choksi       Split   Split    
      2 Rupert H. Johnson, Jr.       Split   Split    
      3 Gregory E. Johnson       Split   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   Split    
  3.    To approve an amended fundamental investment restriction regarding investments in commodities Management   Split   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, 2019 Management   Split   Split    
  TEMPLETON EMERGING MKTS INCOME FUND    
  Security 880192109           Meeting Type Annual  
  Ticker Symbol TEI                       Meeting Date 30-May-2019  
  ISIN US8801921094           Agenda 934964758 - Management
  Record Date 14-Mar-2019           Holding Recon Date 14-Mar-2019  
  City / Country     / United States         Vote Deadline Date 29-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Mary C. Choksi       Split   Split    
      2 Rupert H. Johnson, Jr.       Split   Split    
      3 Gregory E. Johnson       Split   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   Split    
  3.    To approve an amended fundamental investment restriction regarding investments in commodities Management   Split   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, 2019 Management   Split   Split    
  TEMPLETON GLOBAL INCOME FUND    
  Security 880198106           Meeting Type Annual  
  Ticker Symbol GIM                       Meeting Date 30-May-2019  
  ISIN US8801981064           Agenda 934962160 - Management
  Record Date 14-Mar-2019           Holding Recon Date 14-Mar-2019  
  City / Country     / United States         Vote Deadline Date 29-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Mary C. Choksi       Split   Split    
      2 Larry D. Thompson       Split   Split    
      3 Rupert H. Johnson, Jr.       Split   Split    
      4 Gregory E. Johnson       Split   Split    
  2.    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, 2019 Management   Split   Split    
  TEMPLETON GLOBAL INCOME FUND    
  Security 880198106           Meeting Type Annual  
  Ticker Symbol GIM                       Meeting Date 30-May-2019  
  ISIN US8801981064           Agenda 934962160 - Management
  Record Date 14-Mar-2019           Holding Recon Date 14-Mar-2019  
  City / Country     / United States         Vote Deadline Date 29-May-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Mary C. Choksi       Split   Split    
      2 Larry D. Thompson       Split   Split    
      3 Rupert H. Johnson, Jr.       Split   Split    
      4 Gregory E. Johnson       Split   Split    
  2.    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, 2019 Management   Split   Split    
  HIGHLAND FUNDS    
  Security 43010E404           Meeting Type Annual  
  Ticker Symbol HFRO                      Meeting Date 14-Jun-2019  
  ISIN US43010E4044           Agenda 935029555 - Management
  Record Date 16-Apr-2019           Holding Recon Date 16-Apr-2019  
  City / Country     / United States         Vote Deadline Date 13-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ethan Powell       Split   Split    
      2 Bryan A. Ward       Split   Split    
  2.    To approve a change to the Fund's fundamental policy regarding concentration such that that the Fund will invest, at least 25% of the value of its total assets in the real estate industry ("Proposal 2"). Management   Split   Split    
  3.    To approve one or more adjournments to the Annual Meeting, if necessary or appropriate, to permit further solicitation of proxies if there are not sufficient votes at the time of the Annual Meeting cast in favor of Proposal 1 and/or Proposal 2 ("Proposal 3"). Management   Split   Split    
  HIGHLAND FUNDS    
  Security 43010E404           Meeting Type Annual  
  Ticker Symbol HFRO                      Meeting Date 14-Jun-2019  
  ISIN US43010E4044           Agenda 935029555 - Management
  Record Date 16-Apr-2019           Holding Recon Date 16-Apr-2019  
  City / Country     / United States         Vote Deadline Date 13-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ethan Powell       Split   Split    
      2 Bryan A. Ward       Split   Split    
  2.    To approve a change to the Fund's fundamental policy regarding concentration such that that the Fund will invest, at least 25% of the value of its total assets in the real estate industry ("Proposal 2"). Management   Split   Split    
  3.    To approve one or more adjournments to the Annual Meeting, if necessary or appropriate, to permit further solicitation of proxies if there are not sufficient votes at the time of the Annual Meeting cast in favor of Proposal 1 and/or Proposal 2 ("Proposal 3"). Management   Split   Split    
  NEXPOINT FUNDS    
  Security 65340G205           Meeting Type Annual  
  Ticker Symbol NHF                       Meeting Date 14-Jun-2019  
  ISIN US65340G2057           Agenda 935019249 - Management
  Record Date 16-Apr-2019           Holding Recon Date 16-Apr-2019  
  City / Country     / United States         Vote Deadline Date 13-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ethan Powell       Split   Split    
      2 Bryan A.Ward       Split   Split    
  NEXPOINT FUNDS    
  Security 65340G205           Meeting Type Annual  
  Ticker Symbol NHF                       Meeting Date 14-Jun-2019  
  ISIN US65340G2057           Agenda 935019249 - Management
  Record Date 16-Apr-2019           Holding Recon Date 16-Apr-2019  
  City / Country     / United States         Vote Deadline Date 13-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Ethan Powell       Split   Split    
      2 Bryan A.Ward       Split   Split    
  THE INDIA FUND, INC.    
  Security 454089103           Meeting Type Annual  
  Ticker Symbol IFN                       Meeting Date 19-Jun-2019  
  ISIN US4540891037           Agenda 935032348 - Management
  Record Date 22-Apr-2019           Holding Recon Date 22-Apr-2019  
  City / Country     / United States         Vote Deadline Date 18-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.1   Election of Class III Director: Nancy Yao Maasbach Management   Split   Split    
  1.2   Election of Class III Director: Hugh Young Management   Split   Split    
  MORGAN STANLEY EMER MKTS DEBT FUND, INC.    
  Security 61744H105           Meeting Type Annual  
  Ticker Symbol MSD                       Meeting Date 25-Jun-2019  
  ISIN US61744H1059           Agenda 935029567 - Management
  Record Date 05-Apr-2019           Holding Recon Date 05-Apr-2019  
  City / Country     / United States         Vote Deadline Date 24-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Frank L. Bowman       Split   Split    
      2 Jakki L. Haussler       Split   Split    
      3 Manuel H. Johnson       Split   Split    
      4 Patricia Maleski       Split   Split    
  MORGAN STANLEY EMER MKTS DEBT FUND, INC.    
  Security 61744H105           Meeting Type Annual  
  Ticker Symbol MSD                       Meeting Date 25-Jun-2019  
  ISIN US61744H1059           Agenda 935029567 - Management
  Record Date 05-Apr-2019           Holding Recon Date 05-Apr-2019  
  City / Country     / United States         Vote Deadline Date 24-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1.    DIRECTOR Management   Split   Split    
      1 Frank L. Bowman       Split   Split    
      2 Jakki L. Haussler       Split   Split    
      3 Manuel H. Johnson       Split   Split    
      4 Patricia Maleski       Split   Split    
  KAYNE ANDERSON MLP/MIDSTREAM INV CO    
  Security 486606106           Meeting Type Annual  
  Ticker Symbol KYN                       Meeting Date 27-Jun-2019  
  ISIN US4866061066           Agenda 935046765 - Management
  Record Date 15-May-2019           Holding Recon Date 15-May-2019  
  City / Country     / United States         Vote Deadline Date 26-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1A.   Election of Director: ANNE K. COSTIN Management   Split   Split    
  1B.   Election of Director: ALBERT L. RICHEY Management   Split   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, 2019. Management   Split   Split    
  KAYNE ANDERSON MLP/MIDSTREAM INV CO    
  Security 486606106           Meeting Type Annual  
  Ticker Symbol KYN                       Meeting Date 27-Jun-2019  
  ISIN US4866061066           Agenda 935046765 - Management
  Record Date 15-May-2019           Holding Recon Date 15-May-2019  
  City / Country     / United States         Vote Deadline Date 26-Jun-2019  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by   Vote For/Against Management    
  1A.   Election of Director: ANNE K. COSTIN Management   Split   Split    
  1B.   Election of Director: ALBERT L. RICHEY Management   Split   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, 2019. Management   Split   Split    

 

   

 

 

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 28, 2019