N-PX 1 fp0035466_npx.htm

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

FORM N-PX

 

ANNUAL REPORT OF PROXY VOTING RECORD OF REGISTERED

MANAGEMENT INVESTMENT COMPANY

 

Investment Company Act file number: 811-22472

 

RIVERNORTH OPPORTUNITIES FUND, INC.

(Exact name of registrant as specified in charter)

 

1290 Broadway, Suite 1100

Denver, Colorado 80203

(Address of principal executive offices) (Zip code)

 

Christopher A. Moore

RiverNorth Opportunities Fund, Inc.

1290 Broadway, Suite 1100

Denver, Colorado 80203

(Name and address of agent for service)

 

Registrant’s Telephone Number, including Area Code: (303) 623-2577

 

Date of fiscal year end: October 31

 

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

 

 

 

 

Item 1 – Proxy Voting Record.

 

Vote Summary  
  ALLIANZGI DIVERSIFIED INCOME & CONVERT    
  Security 01883J108             Meeting Type Annual    
  Ticker Symbol ACV                         Meeting Date 13-Jul-2017  
  ISIN US01883J1088             Agenda 934642275 - Opposition  
  Record Date 18-May-2017             Holding Recon Date 18-May-2017  
  City / Country     / United States         Vote Deadline Date 12-Jul-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 A. DOUGLAS EU Split   For Split    
      2 F. FORD DRUMMOND Split   For Split    
      3 JAMES S. MACLEOD Split   For Split    
  ALLIANZGI NFJ DIVERSIFIED, INT & PREM ST    
  Security 01883A107             Meeting Type Annual    
  Ticker Symbol NFJ                         Meeting Date 13-Jul-2017  
  ISIN US01883A1079             Agenda 934642263 - Opposition  
  Record Date 18-May-2017             Holding Recon Date 18-May-2017  
  City / Country     / United States         Vote Deadline Date 12-Jul-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 F. FORD DRUMMOND Split   For Split    
      2 ALAN RAPPAPORT Split   For Split    
      3 DAVEY S. SCOON Split   For Split    
  BLACKROCK DEBT STRATEGIES FD INC    
  Security 09255R202             Meeting Type Annual    
  Ticker Symbol DSU                         Meeting Date 25-Jul-2017  
  ISIN US09255R2022             Agenda 934647655 - Management  
  Record Date 30-May-2017             Holding Recon Date 30-May-2017  
  City / Country     / United States         Vote Deadline Date 24-Jul-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 MICHAEL J. CASTELLANO Split   For Split    
      2 CYNTHIA L. EGAN Split   For Split    
      3 CATHERINE A. LYNCH Split   For Split    
  BLACKROCK GLOBAL OPPORTUNITIES EQUITY TR    
  Security 092501105             Meeting Type Annual    
  Ticker Symbol BOE                         Meeting Date 25-Jul-2017  
  ISIN US0925011050             Agenda 934647631 - Management  
  Record Date 30-May-2017             Holding Recon Date 30-May-2017  
  City / Country     / United States         Vote Deadline Date 24-Jul-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 MICHAEL J. CASTELLANO Split   For Split    
      2 R. GLENN HUBBARD Split   For Split    
      3 W. CARL KESTER Split   For Split    
      4 JOHN M. PERLOWSKI Split   For Split    
  BLACKROCK MUNI INTER DURATION FD INC    
  Security 09253X102             Meeting Type Annual    
  Ticker Symbol MUI                         Meeting Date 25-Jul-2017  
  ISIN US09253X1028             Agenda 934648366 - Management  
  Record Date 30-May-2017             Holding Recon Date 30-May-2017  
  City / Country     / United States         Vote Deadline Date 24-Jul-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 MICHAEL J. CASTELLANO Split   For Split    
      2 RICHARD E. CAVANAGH Split   For Split    
      3 CYNTHIA L. EGAN Split   For Split    
      4 JERROLD B. HARRIS Split   For Split    
      5 R. GLENN HUBBARD Split   For Split    
      6 CATHERINE A. LYNCH Split   For Split    
      7 BARBARA G. NOVICK Split   For Split    
      8 JOHN M. PERLOWSKI Split   For Split    
      9 KAREN P. ROBARDS Split   For Split    
  CLOUGH GLOBAL EQUITY FUND    
  Security 18914C100             Meeting Type Contested-Annual    
  Ticker Symbol GLQ                         Meeting Date 03-Aug-2017  
  ISIN US18914C1009             Agenda 934642845 - Opposition  
  Record Date 04-May-2017             Holding Recon Date 04-May-2017  
  City / Country     / United States         Vote Deadline Date 02-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  01    DIRECTOR Management Split          
      1 PAUL KAZARIAN Split   For      
      2 THOMAS H. MCGLADE Split   For      
      3 PETER TCHIR Split   For      
  CLOUGH GLOBAL EQUITY FUND    
  Security 18914C100             Meeting Type Contested-Annual    
  Ticker Symbol GLQ                         Meeting Date 03-Aug-2017  
  ISIN US18914C1009             Agenda 934646324 - Management  
  Record Date 04-May-2017             Holding Recon Date 04-May-2017  
  City / Country     / United States         Vote Deadline Date 02-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  01    DIRECTOR Management Split          
      1 EDMUND BURKE Split   For      
      2 VINCENT VERSACI Split   For      
      3 CLIFFORD WEBER Split   For      
  CLOUGH GLOBAL OPPORTUNITIES FUND    
  Security 18914E106             Meeting Type Contested-Annual    
  Ticker Symbol GLO                         Meeting Date 03-Aug-2017  
  ISIN US18914E1064             Agenda 934642833 - Opposition  
  Record Date 04-May-2017             Holding Recon Date 04-May-2017  
  City / Country     / United States         Vote Deadline Date 02-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split          
      1 PAUL KAZARIAN Split   For      
      2 THOMAS H. MCGLADE Split   For      
      3 PETER TCHIR Split   For      
  2.    FOR THE BOARD TO CONSIDER AUTHORIZING DECLASSIFYING THE BOARD SO THAT ALL DIRECTORS ARE ELECTED ON AN ANNUAL BASIS STARTING AT THE NEXT ANNUAL MEETING OF SHAREHOLDERS. Management Split   For      
  CLOUGH GLOBAL OPPORTUNITIES FUND    
  Security 18914E106             Meeting Type Contested-Annual    
  Ticker Symbol GLO                         Meeting Date 03-Aug-2017  
  ISIN US18914E1064             Agenda 934646312 - Management  
  Record Date 04-May-2017             Holding Recon Date 04-May-2017  
  City / Country     / United States         Vote Deadline Date 02-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  01    DIRECTOR Management Split          
      1 ROBERT BUTLER Split   For      
      2 KAREN DIGRAVIO Split   For      
      3 KEVIN MCNALLY Split   For      
  02    BE IT RESOLVED, THAT THE SHAREHOLDERS OF CLOUGH GLOBAL DIVIDEND AND INCOME TRUST {SIC*} (THE "TRUST") HEREBY REQUEST THAT THE BOARD OF TRUSTEES OF THE TRUST (THE "BOARD") TAKE ALL NECESSARY STEPS IN ITS POWER TO DECLASSIFY THE BOARD SO THAT ALL DIRECTORS ARE ELECTED ON AN ANNUAL BASIS STARTING AT THE NEXT ANNUAL MEETING OF SHAREHOLDERS. SUCH DECLASSIFICATION SHALL BE COMPLETED IN A MANNER THAT DOES NOT AFFECT THE UNEXPIRED TERMS OF THE PREVIOUSLY ELECTED TRUSTEES. Management Split   Against      
  PACIFIC SPECIAL ACQUISITION CORP.    
  Security G68588105             Meeting Type Special  
  Ticker Symbol PAAC                        Meeting Date 10-Aug-2017  
  ISIN VGG685881051             Agenda 934661249 - Management  
  Record Date 14-Jul-2017             Holding Recon Date 14-Jul-2017  
  City / Country     / United States         Vote Deadline Date 09-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    THE BUSINESS COMBINATION PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL (I) TO APPROVE AND ADOPT THE MERGER AGREEMENT, DATED AS OF DECEMBER 27, 2016, AS AMENDED ON MAY 10, 2017 AND JUNE 29, 2017, AND AS IT MAY BE FURTHER AMENDED, BY AND AMONG PACIFIC, MERGER SUB, OUR SPONSOR AS THE PURCHASER REPRESENTATIVE, BORQS, SELLER REPRESENTATIVE, AND THE TRANSACTIONS CONTEMPLATED THEREBY (THE "BUSINESS COMBINATION"). Management For   For For    
  1A.   INTENTION TO EXERCISE REDEMPTION RIGHTS: IF YOU INTEND TO EXERCISE YOUR REDEMPTION RIGHTS, PLEASE CHECK THE "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 "MEETING OF PACIFIC SHAREHOLDERS - REDEMPTION RIGHTS." ("FOR"= YES; "AGAINST"= NO.) Management For   Take No Action      
  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 SHAREHOLDER WITH RESPECT TO THE ORDINARY SHARES OF THE COMPANY OWNED BY ME IN CONNECTION WITH THE PROPOSED BUSINESS COMBINATION BETWEEN THE COMPANY AND BORQS. ("FOR"= I CERTIFY THAT I AM NOT. "AGAINST"= I CERTIFY THAT I AM.) Management For   Take No Action      
  2.    THE CHARTER AMENDMENT PROPOSAL - TO APPROVE AND ADOPT, SUBJECT TO AND CONDITIONAL ON (BUT WITH IMMEDIATE EFFECT THEREFROM) THE CONSUMMATION OF THE BUSINESS COMBINATION, AN AMENDMENT AND RESTATEMENT OF PACIFIC'S CHARTER (MEMORANDUM AND ARTICLES OF ASSOCIATION OF THE COMPANY) CURRENTLY REGISTERED BY THE REGISTRAR OF CORPORATE AFFAIRS IN THE BRITISH VIRGIN ISLANDS, AS SET OUT IN THE DRAFT AMENDED AND RESTATED VERSION OF OUR CHARTER APPENDED TO THE PROXY STATEMENT AS ANNEX B ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). Management For   For For    
  3.    THE INCENTIVE PLAN PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE AND ADOPT THE BORQS TECHNOLOGIES, INC. 2017 EQUITY INCENTIVE PLAN. Management For   For For    
  4.    THE NASDAQ PROPOSAL - TO APPROVE, FOR PURPOSES OF COMPLYING WITH APPLICABLE NASDAQ LISTING RULES, THE ISSUANCE OF MORE THAN 20% OF THE COMPANY'S ISSUED AND OUTSTANDING ORDINARY SHARES. Management For   For For    
  5.    THE ADJOURNMENT PROPOSAL - TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE ADJOURNMENT OF THE MEETING OF SHAREHOLDERS BY THE CHAIRMAN THEREOF TO A LATER DATE, IF NECESSARY, TO PERMIT FURTHER SOLICITATION AND VOTE OF PROXIES IF, BASED UPON THE TABULATED VOTE AT THE TIME OF THE MEETING, THERE ARE NOT SUFFICIENT VOTES TO APPROVE PROPOSALS 1, 2, 3 AND 4. Management For   For For    
  DELAWARE INVESTMENTS    
  Security 246060107             Meeting Type Annual    
  Ticker Symbol DEX                         Meeting Date 16-Aug-2017  
  ISIN US2460601071             Agenda 934656894 - Management  
  Record Date 19-Jun-2017             Holding Recon Date 19-Jun-2017  
  City / Country     / United States         Vote Deadline Date 15-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 THOMAS L. BENNETT Split   For Split    
      2 ANN D. BOROWIEC Split   For Split    
      3 JOSEPH W. CHOW Split   For Split    
      4 JOHN A. FRY Split   For Split    
      5 SHAWN K. LYTLE Split   For Split    
      6 F.A. SEVILLA-SACASA Split   For Split    
      7 THOMAS K. WHITFORD Split   For Split    
      8 LUCINDA S. LANDRETH Split   For Split    
      9 JANET L. YEOMANS Split   For Split    
  DELAWARE INVTS DIVIDEND AND INCM FD INC.    
  Security 245915103             Meeting Type Annual    
  Ticker Symbol DDF                         Meeting Date 16-Aug-2017  
  ISIN US2459151039             Agenda 934656894 - Management  
  Record Date 19-Jun-2017             Holding Recon Date 19-Jun-2017  
  City / Country     / United States         Vote Deadline Date 15-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 THOMAS L. BENNETT Split   For Split    
      2 ANN D. BOROWIEC Split   For Split    
      3 JOSEPH W. CHOW Split   For Split    
      4 JOHN A. FRY Split   For Split    
      5 SHAWN K. LYTLE Split   For Split    
      6 F.A. SEVILLA-SACASA Split   For Split    
      7 THOMAS K. WHITFORD Split   For Split    
      8 LUCINDA S. LANDRETH Split   For Split    
      9 JANET L. YEOMANS Split   For Split    
  MADISON COVERED CALL & EQUITY STRGY FUND    
  Security 557437100             Meeting Type Annual    
  Ticker Symbol MCN                         Meeting Date 22-Aug-2017  
  ISIN US5574371002             Agenda 934655094 - Management  
  Record Date 25-May-2017             Holding Recon Date 25-May-2017  
  City / Country     / United States         Vote Deadline Date 21-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  01    DIRECTOR Management Split     Split    
      1 RICHARD E. STRUTHERS Split   For Split    
  02    SHAREHOLDER PROPOSAL REGARDING TERMINATION OF THE INVESTMENT ADVISORY AGREEMENT - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. Shareholder Split   Against Split    
  03    SHAREHOLDER PROPOSAL REGARDING SELF-TENDER OFFER - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. Shareholder Split   Against Split    
  MADISON STRATEGIC SECTOR PREMIUM FUND    
  Security 558268108             Meeting Type Contested-Annual    
  Ticker Symbol MSP                         Meeting Date 22-Aug-2017  
  ISIN US5582681087             Agenda 934655082 - Management  
  Record Date 25-May-2017             Holding Recon Date 25-May-2017  
  City / Country     / United States         Vote Deadline Date 21-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  01    DIRECTOR Management            
      1 FRANK E. BURGESS     For      
      2 STEVEN P. RIEGE     For      
  02    SHAREHOLDER PROPOSAL REGARDING TERMINATION OF THE INVESTMENT ADVISORY AGREEMENT - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. Shareholder     Against      
  03    SHAREHOLDER PROPOSAL REGARDING SELF-TENDER OFFER - THE BOARD OF TRUSTEES RECOMMENDS A VOTE AGAINST THE PROPOSAL. Shareholder     Against      
  MADISON STRATEGIC SECTOR PREMIUM FUND    
  Security 558268108             Meeting Type Contested-Annual    
  Ticker Symbol MSP                         Meeting Date 22-Aug-2017  
  ISIN US5582681087             Agenda 934656642 - Opposition  
  Record Date 25-May-2017             Holding Recon Date 25-May-2017  
  City / Country     / United States         Vote Deadline Date 21-Aug-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management            
      1 ARTHUR CHARLES REGAN     For      
      2 DR. DANIEL C. ROBESON     For      
  2.    SHAREHOLDER PROPOSAL REGARDING TERMINATION OF THE INVESTMENT ADVISORY AGREEMENT Management     For      
  3.    SHAREHOLDER PROPOSAL REGARDING A SELF-TENDER OFFER Management     For      
  INVESCO    
  Security 46131F101             Meeting Type Annual    
  Ticker Symbol VLT                         Meeting Date 08-Sep-2017  
  ISIN US46131F1012             Agenda 934664079 - Management  
  Record Date 16-Jun-2017             Holding Recon Date 16-Jun-2017  
  City / Country     / United States         Vote Deadline Date 07-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1C.   DIRECTOR Management Split     Split    
      1 DAVID C. ARCH Split   For Split    
      2 TERESA M. RESSEL Split   For Split    
      3 LARRY SOLL Split   For Split    
      4 PHILIP A. TAYLOR Split   For Split    
      5 CHRISTOPHER L. WILSON Split   For Split    
  MADISON COVERED CALL & EQUITY STRGY FUND    
  Security 557437100             Meeting Type Contested-Special  
  Ticker Symbol MCN                         Meeting Date 15-Sep-2017  
  ISIN US5574371002             Agenda 934655816 - Management  
  Record Date 25-May-2017             Holding Recon Date 25-May-2017  
  City / Country     / United States         Vote Deadline Date 14-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  2.    TO APPROVE THE ISSUANCE OF ADDITIONAL SHARES OF COMMON STOCK OF THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") IN CONNECTION WITH THE AGREEMENT AND PLAN OF REORGANIZATION Management     For      
  MADISON COVERED CALL & EQUITY STRGY FUND    
  Security 557437100             Meeting Type Special  
  Ticker Symbol MCN                         Meeting Date 15-Sep-2017  
  ISIN US5574371002             Agenda 934660110 - Management  
  Record Date 25-May-2017             Holding Recon Date 25-May-2017  
  City / Country     / United States         Vote Deadline Date 14-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  2.    TO APPROVE THE ISSUANCE OF ADDITIONAL SHARES OF COMMON STOCK OF THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") IN CONNECTION WITH THE AGREEMENT AND PLAN OF REORGANIZATION Management No Action   For      
  MADISON STRATEGIC SECTOR PREMIUM FUND    
  Security 558268108             Meeting Type Contested-Special  
  Ticker Symbol MSP                         Meeting Date 15-Sep-2017  
  ISIN US5582681087             Agenda 934655804 - Management  
  Record Date 25-May-2017             Holding Recon Date 25-May-2017  
  City / Country     / United States         Vote Deadline Date 14-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    TO APPROVE THE AGREEMENT AND PLAN OF REORGANIZATION BETWEEN THE MADISON STRATEGIC SECTOR PREMIUM FUND ("MSP") AND THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING THE MERGER OF MSP WITH AND INTO MCN. Management     For      
  MADISON STRATEGIC SECTOR PREMIUM FUND    
  Security 558268108             Meeting Type Contested-Special  
  Ticker Symbol MSP                         Meeting Date 15-Sep-2017  
  ISIN US5582681087             Agenda 934656832 - Opposition  
  Record Date 25-May-2017             Holding Recon Date 25-May-2017  
  City / Country     / United States         Vote Deadline Date 14-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    THE SHAREHOLDERS OF MSP ARE BEING ASKED TO CONSIDER THE AGREEMENT AND PLAN OF REORGANIZATION BETWEEN THE MADISON STRATEGIC SECTOR PREMIUM FUND ("MSP") AND THE MADISON COVERED CALL & EQUITY STRATEGY FUND ("MCN") AND THE TRANSACTIONS CONTEMPLATED THEREBY, INCLUDING THE MERGER OF MSP WITH AND INTO MCN. Management     Against      
  TCG BDC INC.    
  Security 872280102             Meeting Type Special  
  Ticker Symbol CGBD                        Meeting Date 15-Sep-2017  
  ISIN US8722801029             Agenda 934662924 - Management  
  Record Date 20-Jul-2017             Holding Recon Date 20-Jul-2017  
  City / Country     / United States         Vote Deadline Date 14-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1)    TO CONSIDER AND VOTE UPON A PROPOSAL TO APPROVE THE AMENDED AND RESTATED INVESTMENT ADVISORY AGREEMENT BY AND BETWEEN THE COMPANY AND ITS INVESTMENT ADVISER, CARLYLE GMS INVESTMENT MANAGEMENT L.L.C. Management Split   For Split    
  DEUTSCHE HIGH INC OPPORTUNITIES FUND INC    
  Security 25158Y102             Meeting Type Annual    
  Ticker Symbol DHG                         Meeting Date 20-Sep-2017  
  ISIN US25158Y1029             Agenda 934671783 - Management  
  Record Date 20-Jul-2017             Holding Recon Date 20-Jul-2017  
  City / Country     / United States         Vote Deadline Date 19-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management            
      1 JOHN W. BALLANTINE     For      
      2 DAWN-MARIE DRISCOLL     For      
      3 KENNETH C. FROEWISS     For      
      4 REBECCA W. RIMEL     For      
  GUGGENHEIM FUNDS    
  Security 007639107             Meeting Type Annual    
  Ticker Symbol AGC                         Meeting Date 27-Sep-2017  
  ISIN US0076391079             Agenda 934674791 - Management  
  Record Date 15-Aug-2017             Holding Recon Date 15-Aug-2017  
  City / Country     / United States         Vote Deadline Date 26-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1A.   ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. BLACK Management     For      
  1B.   ELECTION OF CLASS II TRUSTEE: MR. MICHAEL A. SMART Management     For      
  GUGGENHEIM FUNDS    
  Security 00764C109             Meeting Type Annual    
  Ticker Symbol AVK                         Meeting Date 27-Sep-2017  
  ISIN US00764C1099             Agenda 934674804 - Management  
  Record Date 15-Aug-2017             Holding Recon Date 15-Aug-2017  
  City / Country     / United States         Vote Deadline Date 26-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1A.   ELECTION OF CLASS II TRUSTEE: MR. DANIEL L. BLACK Management     For      
  1B.   ELECTION OF CLASS II TRUSTEE: MR. MICHAEL A. SMART Management     For      
  GUGGENHEIM FUNDS    
  Security 00765E104             Meeting Type Annual    
  Ticker Symbol LCM                         Meeting Date 27-Sep-2017  
  ISIN US00765E1047             Agenda 934674816 - Management  
  Record Date 15-Aug-2017             Holding Recon Date 15-Aug-2017  
  City / Country     / United States         Vote Deadline Date 26-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1A.   ELECTION OF CLASS I TRUSTEE: MR. DANIEL L. BLACK Management     For      
  1B.   ELECTION OF CLASS I TRUSTEE: MR. MICHAEL A. SMART Management     For      
  ROYCE MICRO-CAP TRUST, INC.    
  Security 780915104             Meeting Type Annual    
  Ticker Symbol RMT                         Meeting Date 28-Sep-2017  
  ISIN US7809151043             Agenda 934667962 - Management  
  Record Date 20-Jul-2017             Holding Recon Date 20-Jul-2017  
  City / Country     / United States         Vote Deadline Date 27-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 STEPHEN L. ISAACS Split   For Split    
      2 CHRISTOPHER D. CLARK Split   For Split    
      3 CHRISTOPHER C. GRISANTI Split   For Split    
  LEGG MASON    
  Security 95766B109             Meeting Type Annual    
  Ticker Symbol EHI                         Meeting Date 29-Sep-2017  
  ISIN US95766B1098             Agenda 934674309 - Management  
  Record Date 25-Jul-2017             Holding Recon Date 25-Jul-2017  
  City / Country     / United States         Vote Deadline Date 28-Sep-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management            
      1 CAROL L. COLMAN     For      
      2 DANIEL P. CRONIN     For      
      3 PAOLO M. CUCCHI     For      
  ANDINA ACQUISITION CORP II    
  Security G0441P104             Meeting Type Special  
  Ticker Symbol ANDA                        Meeting Date 31-Oct-2017  
  ISIN KYG0441P1046             Agenda 934690860 - Management  
  Record Date 03-Oct-2017             Holding Recon Date 03-Oct-2017  
  City / Country     / United States         Vote Deadline Date 30-Oct-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    EXTENSION OF CORPORATE LIFE: AMEND THE COMPANY'S AMENDED AND RESTATED MEMORANDUM AND ARTICLES OF ASSOCIATION TO EXTEND THE DATE THAT THE COMPANY HAS TO CONSUMMATE A BUSINESS COMBINATION TO FEBRUARY 1, 2018 Management For   For For    
  1A.   ONLY IF YOU HOLD ORDINARY SHARES OF THE COMPANY ISSUED IN THE COMPANY'S INITIAL PUBLIC OFFERING, OR PUBLIC SHARES, MAY YOU EXERCISE YOUR CONVERSION RIGHTS WITH RESPECT TO ALL OR A PORTION OF YOUR PUBLIC SHARES BY MARKING THE "FOR" BOX BELOW AND INDICATING HOW MANY PUBLIC ...(DUE TO SPACE LIMITS, SEE PROXY STATEMENT FOR FULL PROPOSAL). Management Against   Take No Action      
  MVC CAPITAL, INC.    
  Security 553829102             Meeting Type Annual    
  Ticker Symbol MVC                         Meeting Date 31-Oct-2017  
  ISIN US5538291023             Agenda 934681304 - Management  
  Record Date 01-Sep-2017             Holding Recon Date 01-Sep-2017  
  City / Country     / United States         Vote Deadline Date 30-Oct-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 EMILIO DOMINIANNI Split   For Split    
      2 PHILLIP GOLDSTEIN Split   For Split    
      3 GERALD HELLERMAN Split   For Split    
      4 WARREN HOLTSBERG Split   For Split    
      5 ROBERT KNAPP Split   For Split    
      6 WILLIAM TAYLOR Split   For Split    
      7 MICHAEL TOKARZ Split   For Split    
  2.    TO RATIFY THE SELECTION OF GRANT THORNTON LLP AS THE FUND'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR FISCAL YEAR 2017. Management Split   For Split    
  3.    SHAREHOLDER PROPOSAL TO CEASE TO MAKE ANY NEW INVESTMENTS, AND FOR THE COMPANY TO RETURN ANY CAPITAL IN EXCESS OF THE COMPANY'S NORMAL WORKING CAPITAL REQUIREMENTS TO SHAREHOLDERS IN THE MOST TAX- EFFICIENT MANNER AS LONG AS THE STOCK PRICE DISCOUNT TO NET ASSET VALUE EXCEEDS 10%. Shareholder Split   Against Split    
  INSIGHT INVESTMENTS    
  Security 56165R103             Meeting Type Annual    
  Ticker Symbol MZF                         Meeting Date 06-Dec-2017  
  ISIN US56165R1032             Agenda 934685516 - Management  
  Record Date 18-Sep-2017             Holding Recon Date 18-Sep-2017  
  City / Country     / United States         Vote Deadline Date 05-Dec-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 ELLEN D. HARVEY Split   For Split    
  SPECIAL OPPORTUNITIES FUND, INC    
  Security 84741T104             Meeting Type Annual    
  Ticker Symbol SPE                         Meeting Date 07-Dec-2017  
  ISIN US84741T1043             Agenda 934698981 - Management  
  Record Date 18-Oct-2017             Holding Recon Date 18-Oct-2017  
  City / Country     / United States         Vote Deadline Date 06-Dec-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 MR. ANDREW DAKOS Split   For Split    
      2 MR. GERALD HELLERMAN Split   For Split    
      3 MR. CHARLES WALDEN Split   For Split    
      4 MR. BEN HARRIS Split   For Split    
  AMERICAN CAPITAL SENIOR FLOATING LTD    
  Security 02504D108             Meeting Type Annual    
  Ticker Symbol ACSF                        Meeting Date 14-Dec-2017  
  ISIN US02504D1081             Agenda 934696723 - Management  
  Record Date 19-Oct-2017             Holding Recon Date 19-Oct-2017  
  City / Country     / United States         Vote Deadline Date 13-Dec-2017  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1A.   ELECTION OF DIRECTOR: PHYLLIS R. CALDWELL Management Split   For Split    
  1B.   ELECTION OF DIRECTOR: GIL CRAWFORD Management Split   For Split    
  1C.   ELECTION OF DIRECTOR: LARRY K. HARVEY Management Split   For Split    
  1D.   ELECTION OF DIRECTOR: KEVIN R. BRADDISH Management Split   For Split    
  2.    TO RATIFY THE SELECTION OF ERNST & YOUNG LLP AS THE COMPANY'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING DECEMBER 31, 2017. Management Split   For Split    
  ANDINA ACQUISITION CORP II    
  Security G0441P104             Meeting Type Special  
  Ticker Symbol ANDA                        Meeting Date 31-Jan-2018  
  ISIN KYG0441P1046             Agenda 934720435 - Management  
  Record Date 10-Jan-2018             Holding Recon Date 10-Jan-2018  
  City / Country     / United States         Vote Deadline Date 30-Jan-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    Extension of Corporate Life. Amend the Company's amended and restated memorandum and articles of association to extend the date that the Company has to consummate a business combination to April 1, 2018. Management For   For For    
  1a.   TO CONVERT ORDINARY SHARES OF THE COMPANY Management Against   Take No Action      
  EATON VANCE SHORT DURATION DIV INCOME FD    
  Security 27828V104             Meeting Type Annual    
  Ticker Symbol EVG                         Meeting Date 15-Feb-2018  
  ISIN US27828V1044             Agenda 934716296 - Management  
  Record Date 05-Dec-2017             Holding Recon Date 05-Dec-2017  
  City / Country     / United States         Vote Deadline Date 14-Feb-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 THOMAS E. FAUST JR. Split   For Split    
      2 CYNTHIA E. FROST Split   For Split    
      3 SCOTT E. WENNERHOLM Split   For Split    
  LEGG MASON    
  Security 10537L104             Meeting Type Annual    
  Ticker Symbol BWG                         Meeting Date 23-Feb-2018  
  ISIN US10537L1044             Agenda 934723506 - Management  
  Record Date 03-Jan-2018             Holding Recon Date 03-Jan-2018  
  City / Country     / United States         Vote Deadline Date 22-Feb-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Robert D. Agdern Split   For Split    
      2 Eileen Kamerick Split   For Split    
      3 Riordan Roett Split   For Split    
  PRUDENTIAL INVESTMENTS CLOSED END FUNDS    
  Security 74442F107             Meeting Type Annual    
  Ticker Symbol ISD                         Meeting Date 09-Mar-2018  
  ISIN US74442F1075             Agenda 934717755 - Management  
  Record Date 15-Dec-2017             Holding Recon Date 15-Dec-2017  
  City / Country     / United States         Vote Deadline Date 08-Mar-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 SCOTT E. BENJAMIN Split   For Split    
      2 LINDA W. BYNOE Split   For Split    
      3 LAURIE SIMON HODRICK Split   For Split    
      4 MICHAEL S. HYLAND, CFA Split   For Split    
  PRUDENTIAL INVESTMENTS CLOSED END FUNDS    
  Security 74433A109             Meeting Type Annual    
  Ticker Symbol GHY                         Meeting Date 09-Mar-2018  
  ISIN US74433A1097             Agenda 934717767 - Management  
  Record Date 15-Dec-2017             Holding Recon Date 15-Dec-2017  
  City / Country     / United States         Vote Deadline Date 08-Mar-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 SCOTT E. BENJAMIN Split   For Split    
      2 LINDA W. BYNOE Split   For Split    
      3 LAURIE SIMON HODRICK Split   For Split    
      4 MICHAEL S. HYLAND, CFA Split   For Split    
  ALPINE TOTAL DYNAMIC DIVIDEND FUND    
  Security 021060207             Meeting Type Contested-Special  
  Ticker Symbol AOD                         Meeting Date 14-Mar-2018  
  ISIN US0210602076             Agenda 934719420 - Management  
  Record Date 14-Dec-2017             Holding Recon Date 14-Dec-2017  
  City / Country     / United States         Vote Deadline Date 13-Mar-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    To approve a new investment advisory agreement between the Fund and Aberdeen Asset Managers Limited. Management Split   For      
  2.    DIRECTOR Management Split          
      1 John Sievwright Split   For      
      2 P. Gerald Malone Split   For      
      3 Nancy Yao Maasbach Split   For      
      4 Martin Gilbert Split   For      
  ALPINE TOTAL DYNAMIC DIVIDEND FUND    
  Security 021060207             Meeting Type Contested-Special  
  Ticker Symbol AOD                         Meeting Date 14-Mar-2018  
  ISIN US0210602076             Agenda 934727047 - Opposition  
  Record Date 14-Dec-2017             Holding Recon Date 14-Dec-2017  
  City / Country     / United States         Vote Deadline Date 13-Mar-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    To approve a new investment advisory agreement between the Fund and Aberdeen Asset Managers Limited. Management Split   Against      
  2A    John Sievwright - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) Management Split   Abstain      
  2B    P. Gerald Malone - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) Management Split   Abstain      
  2C    Nancy Yao Maasbach - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) Management Split   Abstain      
  2D    Martin Gilbert - To elect as Trustee to serve for a term from one to three years or until his or her successor has been duly elected and qualified, and to take office only if Proposal 1 is approved by shareholders of the Fund and only after resignation of the current Trustees is effective. (ABSTAIN = WITHOLD) Management Split   Abstain      
  ANDINA ACQUISITION CORP II    
  Security G0441P104             Meeting Type Special  
  Ticker Symbol ANDA                        Meeting Date 15-Mar-2018  
  ISIN KYG0441P1046             Agenda 934730068 - Management  
  Record Date 12-Feb-2018             Holding Recon Date 12-Feb-2018  
  City / Country     / United States         Vote Deadline Date 14-Mar-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1A.   The merger of Andina with and into Andina II Holdco Corp. ("Holdco"), with Holdco surviving and becoming a new public company. Management For   For For    
  1B.   The subsequent merger of Andina II Merger Sub Inc. with and into Lazy Days' R.V. Center, Inc. ("Lazydays"), with Lazydays surviving and becoming a direct wholly owned subsidiary of Holdco. Management For   For For    
  1C.   I HEREBY EXERCISE MY CONVERSION RIGHTS. Management For   Take No Action      
  2A.   Class A Director to serve until 2019: Jordan Gnat Management For   For For    
  2B.   Class B Director to serve until 2020: Bryan Rich, Jr. Management For   For For    
  2C.   Class B Director to serve until 2020: Jerry Comstock Management For   For For    
  2D.   Class B Director to serve until 2020: B. Luke Weil Management For   For For    
  2E.   Class C Director to serve until 2021: William Murnane Management For   For For    
  2F.   Class C Director to serve until 2021: Christopher S. Shackelton Management For   For For    
  2G.   Class C Director to serve until 2021: Jim Fredlake Management For   For For    
  3A.   To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: The name of the new public entity will be "Lazydays Holdings, Inc." as opposed to "Andina Acquisition Corp. II". Management For   For For    
  3B.   To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco will have 100,000,000 authorized shares of common stock and 5,000,000 authorized shares of preferred stock, as opposed to Andina having 100,000,000 authorized ordinary shares and 1,000,000 authorized preferred share Management For   For For    
  3C.   To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco's corporate existence will be perpetual as opposed to Andina's corporate existence terminating if a business combination is not consummated by Andina within a specified period of time. Management For   For For    
  3D.   To approve the following material differences between the constitutional documents of Holdco that will be in effect upon the closing of the transactions and Andina's current amended and restated memorandum and articles of association: Holdco's constitutional documents will not include the various provisions applicable only to special purpose acquisition corporations that Andina's amended and restated memorandum and articles of association contains Management For   For For    
  4.    To approve the adoption of the Holdco 2018 Long-Term Incentive Equity Plan. Management For   For For    
  5.    To approve the sale of convertible preferred stock, common stock, and warrants of Holdco for an aggregate purchase price of $94.8 million in private placements which will close simultaneously with the consummation of the mergers. Management For   For For    
  6.    To adjourn the extraordinary general meeting to a later date or dates, if necessary, if Andina is unable to consummate the mergers for any reason. Management For   For For    
  CORPORATE CAPITAL TRUST, INC.    
  Security 219880101             Meeting Type Special  
  Ticker Symbol CCT                         Meeting Date 26-Mar-2018  
  ISIN US2198801019             Agenda 934723734 - Management  
  Record Date 22-Jan-2018             Holding Recon Date 22-Jan-2018  
  City / Country     / United States         Vote Deadline Date 23-Mar-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    To approve a new investment advisory agreement by and between the Company and KKR Credit Advisors (US) LLC ("KKR Credit") ("KKR Investment Co-Advisory Agreement") and a new investment advisory agreement by and between the Company and an affiliate of Franklin Square Holdings, L.P. ("FS Investments" and, such adviser, "FS Adviser") (the "FS Adviser Investment Co-Advisory Agreement" and, together with the KKR Investment Co- Advisory Agreement, the "Investment Co- Advisory Agreements"). Management Split   For Split    
  2.    To approve a new investment advisory by and between the Company and FS/KKR Advisor, LLC, a newly-formed investment adviser jointly operated by KKR Credit and an affiliate of FS Investments (the "Joint Advisor") (the "Joint Advisor Investment Advisory Agreement"), pursuant to which the Joint Advisor will act as investment adviser to the Company. Management Split   For Split    
  FS INVESTMENT CORPORATION    
  Security 302635107             Meeting Type Special  
  Ticker Symbol FSIC                        Meeting Date 26-Mar-2018  
  ISIN US3026351078             Agenda 934723291 - Management  
  Record Date 18-Jan-2018             Holding Recon Date 18-Jan-2018  
  City / Country     / United States         Vote Deadline Date 23-Mar-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    To approve a new investment advisory agreement, by and between the Company and FB Income Advisor, LLC ("FB Income Advisor") (the "FB Income Advisor Investment Co-Advisory Agreement"), and a new investment advisory agreement, by and between the Company and KKR Credit Advisors (US) LLC ("KKR Credit") (the "KKR Investment Co-Advisory Agreement" and, together with the FB Income Advisor Investment Co-Advisory Agreement, the "Investment Co-Advisory Agreements"). Management Split   For Split    
  2.    To approve a new investment advisory agreement, by and between the Company and FS/KKR Advisor, LLC, a newly-formed investment adviser jointly operated by an affiliate of Franklin Square Holdings, L.P. and KKR Credit (the "Joint Advisor") (the "Joint Advisor Investment Advisory Agreement"), pursuant to which the Joint Advisor will act as investment adviser to the Company. Management Split   For Split    
  NUVEEN FUNDS    
  Security 670677103             Meeting Type Annual    
  Ticker Symbol NIQ                         Meeting Date 11-Apr-2018  
  ISIN US6706771036             Agenda 934734511 - Management  
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018  
  City / Country     / United States         Vote Deadline Date 10-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1A.   DIRECTOR Management Split     Split    
      1 Margo L. Cook Split   For Split    
      2 Jack B. Evans Split   For Split    
      3 Albin F. Moschner Split   For Split    
  NUVEEN FUNDS    
  Security 67074R100             Meeting Type Annual    
  Ticker Symbol JMT                         Meeting Date 11-Apr-2018  
  ISIN US67074R1005             Agenda 934734523 - Management  
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018  
  City / Country     / United States         Vote Deadline Date 10-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1B.   DIRECTOR Management Split     Split    
      1 Margo L. Cook Split   For Split    
      2 Jack B. Evans Split   For Split    
      3 Albin F. Moschner Split   For Split    
      4 William J. Schneider Split   For Split    
  NUVEEN FUNDS    
  Security 67077P101             Meeting Type Annual    
  Ticker Symbol JEMD                        Meeting Date 11-Apr-2018  
  ISIN US67077P1012             Agenda 934734523 - Management  
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018  
  City / Country     / United States         Vote Deadline Date 10-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1B.   DIRECTOR Management Split     Split    
      1 Margo L. Cook Split   For Split    
      2 Jack B. Evans Split   For Split    
      3 Albin F. Moschner Split   For Split    
      4 William J. Schneider Split   For Split    
  NUVEEN FUNDS    
  Security 670735109             Meeting Type Annual    
  Ticker Symbol JLS                         Meeting Date 11-Apr-2018  
  ISIN US6707351093             Agenda 934734523 - Management  
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018  
  City / Country     / United States         Vote Deadline Date 10-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1B.   DIRECTOR Management Split     Split    
      1 Margo L. Cook Split   For Split    
      2 Jack B. Evans Split   For Split    
      3 Albin F. Moschner Split   For Split    
      4 William J. Schneider Split   For Split    
  NUVEEN PREFERED & CONVERTIBLE INCOME 2    
  Security 67073D102             Meeting Type Annual    
  Ticker Symbol JQC                         Meeting Date 11-Apr-2018  
  ISIN US67073D1028             Agenda 934734523 - Management  
  Record Date 29-Jan-2018             Holding Recon Date 29-Jan-2018  
  City / Country     / United States         Vote Deadline Date 10-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1B.   DIRECTOR Management Split     Split    
      1 Margo L. Cook Split   For Split    
      2 Jack B. Evans Split   For Split    
      3 Albin F. Moschner Split   For Split    
      4 William J. Schneider Split   For Split    
  Reaves    
  Security 756158101             Meeting Type Annual    
  Ticker Symbol UTG                         Meeting Date 11-Apr-2018  
  ISIN US7561581015             Agenda 934737822 - Management  
  Record Date 12-Feb-2018             Holding Recon Date 12-Feb-2018  
  City / Country     / United States         Vote Deadline Date 10-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 E. Wayne Nordberg Split   For Split    
      2 Larry W. Papasan Split   For Split    
  CORNERSTONE STRATEGIC VALUE FUND, INC.    
  Security 21924B302             Meeting Type Annual    
  Ticker Symbol CLM                         Meeting Date 17-Apr-2018  
  ISIN US21924B3024             Agenda 934735688 - Management  
  Record Date 20-Feb-2018             Holding Recon Date 20-Feb-2018  
  City / Country     / United States         Vote Deadline Date 16-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Robert E. Dean Split   For Split    
      2 Matthew W. Morris Split   For Split    
      3 Scott B. Rogers Split   For Split    
  2.    In their discretion, the proxies are authorized to consider and vote upon such other matters as may properly come before the said Meeting or any adjournment thereof. Management Split   For Split    
  EATON VANCE FLOATING RATE 2022    
  Security 27831H100             Meeting Type Annual    
  Ticker Symbol EFL                         Meeting Date 19-Apr-2018  
  ISIN US27831H1005             Agenda 934732593 - Management  
  Record Date 06-Feb-2018             Holding Recon Date 06-Feb-2018  
  City / Country     / United States         Vote Deadline Date 18-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Thomas E. Faust Jr. Split   For Split    
      2 Mark R. Fetting Split   For Split    
  LAZARD WORLD DIVIDEND & INCOME FD, INC.    
  Security 521076109             Meeting Type Annual    
  Ticker Symbol LOR                         Meeting Date 20-Apr-2018  
  ISIN US5210761095             Agenda 934747722 - Management  
  Record Date 09-Mar-2018             Holding Recon Date 09-Mar-2018  
  City / Country     / United States         Vote Deadline Date 19-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Franci J. Blassberg Split   For Split    
      2 Richard Reiss, Jr. Split   For Split    
      3 Ashish Bhutani Split   For Split    
  MORGAN STANLEY TRUSTS    
  Security 61745P874             Meeting Type Special  
  Ticker Symbol ICB                         Meeting Date 20-Apr-2018  
  ISIN US61745P8749             Agenda 934746504 - Management  
  Record Date 23-Feb-2018             Holding Recon Date 23-Feb-2018  
  City / Country     / United States         Vote Deadline Date 19-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    To consider and vote upon a proposal to approve the actions and transactions described in that certain Agreement and Plan of Reorganization, dated January 22, 2018, between Morgan Stanley Income Securities Inc. (the "Acquired Fund") and Morgan Stanley Institutional Fund Trust, on behalf of the Corporate Bond Portfolio (the "Acquiring Fund") (the "Reorganization"). Management Split   For Split    
  PIMCO    
  Security 72202D106             Meeting Type Annual    
  Ticker Symbol PCI                         Meeting Date 27-Apr-2018  
  ISIN US72202D1063             Agenda 934750363 - Management  
  Record Date 26-Feb-2018             Holding Recon Date 26-Feb-2018  
  City / Country     / United States         Vote Deadline Date 26-Apr-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Craig A. Dawson Split   For Split    
      2 Bradford K. Gallagher Split   For Split    
      3 James A. Jacobson Split   For Split    
  GARRISON CAPITAL INC.    
  Security 366554103             Meeting Type Annual    
  Ticker Symbol GARS                        Meeting Date 02-May-2018  
  ISIN US3665541039             Agenda 934741491 - Management  
  Record Date 07-Mar-2018             Holding Recon Date 07-Mar-2018  
  City / Country     / United States         Vote Deadline Date 01-May-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1A.   Election of Director: Brian Chase Management Split   For Split    
  1B.   Election of Director: Joseph Morea Management Split   For Split    
  2.    Ratification of selection of RSM US LLP to serve as independent registered public accounting firm for fiscal year ending December 31, 2018. Management Split   For Split    
  THE GABELLI EQUITY TRUST INC.    
  Security 362397101             Meeting Type Annual    
  Ticker Symbol GAB                         Meeting Date 14-May-2018  
  ISIN US3623971013             Agenda 934764867 - Management  
  Record Date 16-Mar-2018             Holding Recon Date 16-Mar-2018  
  City / Country     / United States         Vote Deadline Date 11-May-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Michael J. Ferrantino Split   For Split    
  NATIONAL ENERGY SERVICES REUNITED CORP.    
  Security G6375R107             Meeting Type Special  
  Ticker Symbol NESR                        Meeting Date 18-May-2018  
  ISIN VGG6375R1073             Agenda 934822051 - Management  
  Record Date 27-Apr-2018             Holding Recon Date 27-Apr-2018  
  City / Country     / United States         Vote Deadline Date 17-May-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    The Business Combination Proposal: To consider and vote upon a proposal to approve and authorize the Stock Purchase Agreements, the Contribution Agreements, the Shares Exchange Agreement and related contracts, as they may be amended, by and among NESR and NPS Holding Company Ltd. and Gulf Energy S.A.O.C., and the transactions contemplated thereby (the "Business Combination"). Management For   For For    
  2.    DIRECTOR Management            
      1 Antonio J. Campo Mejia For   For For    
      2 Hala Zeibak For   For For    
  3.    The NASDAQ Proposal: To approve, for purposes of complying with applicable NASDAQ listing rules, the issuance of more than 20% of the Company's issued and outstanding ordinary shares, which NASDAQ may deem to be a change of control, pursuant to the Business Combination or any private placement in connection with the Backstop Commitment. Management For   For For    
  4.    The Incentive Plan Proposal: To approve and adopt the NESR 2018 Long Term Incentive Plan. Management For   For For    
  5.    The Adjournment Proposal: To consider and vote upon a proposal to approve the adjournment of the meeting of shareholders to a later date, if necessary, to permit further solicitation and vote of proxies if, based upon the tabulated vote at the time of the meeting, there are not sufficient votes to approve Proposals 1, 2, 3 and 4. Management For   For For    
  TORTOISE ENERGY INFRASTRUCTURE CORP.    
  Security 89147L100             Meeting Type Annual    
  Ticker Symbol TYG                         Meeting Date 18-May-2018  
  ISIN US89147L1008             Agenda 934782550 - Management  
  Record Date 13-Mar-2018             Holding Recon Date 13-Mar-2018  
  City / Country     / United States         Vote Deadline Date 17-May-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Rand C. Berney Split   For Split    
  2.    Ratification of Ernst & Young LLP as the Company's independent registered public accounting firm to audit the financial statements of the Company for the fiscal year ending November 30, 2018. Management Split   For Split    
  VIRTUS MUTUAL FUNDS    
  Security 92837G100             Meeting Type Annual    
  Ticker Symbol ZF                          Meeting Date 22-May-2018  
  ISIN US92837G1004             Agenda 934795331 - Management  
  Record Date 02-Apr-2018             Holding Recon Date 02-Apr-2018  
  City / Country     / United States         Vote Deadline Date 21-May-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1e.   DIRECTOR Management Split     Split    
      1 James M. Oates Split   For Split    
      2 James B. Rogers, Jr. Split   For Split    
  EAGLE GROWTH & INCOME OPPORTUNITIES FD    
  Security 26958J105             Meeting Type Annual    
  Ticker Symbol EGIF                        Meeting Date 24-May-2018  
  ISIN US26958J1051             Agenda 934792474 - Management  
  Record Date 05-Apr-2018             Holding Recon Date 05-Apr-2018  
  City / Country     / United States         Vote Deadline Date 23-May-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.1   Election of Class II Trustee: Ronald J. Burton Management Split   For Split    
  1.2   Election of Class II Trustee: Steven A. Baffico Management Split   For Split    
  WESTERN ASSET/CLAYMORE LINKED OPP & INC    
  Security 95766R104             Meeting Type Annual    
  Ticker Symbol WIW                         Meeting Date 30-May-2018  
  ISIN US95766R1041             Agenda 934788615 - Management  
  Record Date 27-Mar-2018             Holding Recon Date 27-Mar-2018  
  City / Country     / United States         Vote Deadline Date 29-May-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1a.   Election of Trustee: Ronald A. Nyberg Management Split   For Split    
  2a.   a new investment advisory agreement between the Fund and Western Asset Management Company ("Western Asset") Management Split   For Split    
  2b.   a new sub-advisory agreement between Western Asset and Western Asset Management Company Limited with respect to the Fund Management Split   For Split    
  2c.   a new sub-advisory agreement between Western Asset and Western Asset Management Company Ltd with respect to the Fund Management Split   For Split    
  2d.   a new sub-advisory agreement between Western Asset and Western Asset Management Company Pte. Ltd. with respect to the Fund Management Split   For Split    
  OHA INVESTMENT CORPORATION    
  Security 67091U102             Meeting Type Annual    
  Ticker Symbol OHAI                        Meeting Date 05-Jun-2018  
  ISIN US67091U1025             Agenda 934804851 - Management  
  Record Date 13-Apr-2018             Holding Recon Date 13-Apr-2018  
  City / Country     / United States         Vote Deadline Date 04-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.1   Election of Class II Director: Frank V. Tannura Management Split   For Split    
  1.2   Election of Class II Director: Alan M. Schrager Management Split   For Split    
  2.    To ratify the selection of Ernst & Young LLP as our independent registered public accounting firm for the fiscal year ending December 31, 2018. Management Split   For Split    
  THE INDIA FUND, INC.    
  Security 454089103             Meeting Type Annual    
  Ticker Symbol IFN                         Meeting Date 20-Jun-2018  
  ISIN US4540891037             Agenda 934822734 - Management  
  Record Date 27-Apr-2018             Holding Recon Date 27-Apr-2018  
  City / Country     / United States         Vote Deadline Date 19-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.1   Election of Class I Director: Nisha Kumar Management Split   For Split    
  1.2   Election of Class I Director: Martin Gilbert Management Split   For Split    
  1.3   Election of Class I Director: Jeswald Salacuse Management Split   For Split    
  MORGAN STANLEY EMER MKTS DEBT FUND, INC.    
  Security 61744H105             Meeting Type Annual    
  Ticker Symbol MSD                         Meeting Date 21-Jun-2018  
  ISIN US61744H1059             Agenda 934825831 - Management  
  Record Date 06-Apr-2018             Holding Recon Date 06-Apr-2018  
  City / Country     / United States         Vote Deadline Date 20-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management            
      1 Nancy C. Everett     For      
      2 Michael F. Klein     For      
      3 W. Allen Reed     For      
  MORGAN STANLEY EMERGING MARKETS FD, INC.    
  Security 61744G107             Meeting Type Annual    
  Ticker Symbol MSF                         Meeting Date 21-Jun-2018  
  ISIN US61744G1076             Agenda 934825831 - Management  
  Record Date 06-Apr-2018             Holding Recon Date 06-Apr-2018  
  City / Country     / United States         Vote Deadline Date 20-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management            
      1 Nancy C. Everett     For      
      2 Michael F. Klein     For      
      3 W. Allen Reed     For      
  HIGHLAND FUNDS    
  Security 43010E404             Meeting Type Annual    
  Ticker Symbol HFRO                        Meeting Date 22-Jun-2018  
  ISIN US43010E4044             Agenda 934841075 - Management  
  Record Date 21-May-2018             Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 21-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management            
      1 John Honis     For      
      2 Dustin Norris     For      
  NEXPOINT FUNDS    
  Security 65340G205             Meeting Type Annual    
  Ticker Symbol NHF                         Meeting Date 22-Jun-2018  
  ISIN US65340G2057             Agenda 934841099 - Management  
  Record Date 21-May-2018             Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 21-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management            
      1 John Honis     For      
      2 Dustin Norris     For      
  AMERICAN CAPITAL SENIOR FLOATING LTD    
  Security 02504D108             Meeting Type Special  
  Ticker Symbol ACSF                        Meeting Date 28-Jun-2018  
  ISIN US02504D1081             Agenda 934840251 - Management  
  Record Date 17-May-2018             Holding Recon Date 17-May-2018  
  City / Country     / United States         Vote Deadline Date 27-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    To consider and vote upon a proposal to approve the Plan of Complete Liquidation and Dissolution of the Company (the "Plan"), including the sale of all or substantially all of the Company's assets and the dissolution of the Company pursuant to the Plan. Management For   For For    
  Kayne    
  Security 486606106             Meeting Type Annual    
  Ticker Symbol KYN                         Meeting Date 28-Jun-2018  
  ISIN US4866061066             Agenda 934844312 - Management  
  Record Date 21-May-2018             Holding Recon Date 21-May-2018  
  City / Country     / United States         Vote Deadline Date 27-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1a.   THE ELECTION OF ALBERT L. RICHEY AS DIRECTOR FOR A TERM OF ONE YEAR AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. Management Split   For Split    
  1b.   THE ELECTION OF WILLIAM R. CORDES AS DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. Management Split   For Split    
  1c.   THE ELECTION OF BARRY R. PEARL AS DIRECTOR FOR A TERM OF TWO YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. Management Split   For Split    
  1d.   THE ELECTION OF KEVIN S. MCCARTHY AS DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. Management Split   For Split    
  1e.   THE ELECTION OF WILLIAM L. THACKER AS DIRECTOR FOR A TERM OF THREE YEARS AND UNTIL HIS SUCCESSOR IS ELECTED AND QUALIFIED. Management Split   For Split    
  2.    THE RATIFICATION OF THE SELECTION OF PRICEWATERHOUSECOOPERS LLP AS KYN'S INDEPENDENT REGISTERED PUBLIC ACCOUNTING FIRM FOR THE FISCAL YEAR ENDING NOVEMBER 30, 2018. Management Split   For Split    
  TEMPLETON EMERGING MKTS INCOME FUND    
  Security 880192109             Meeting Type Annual    
  Ticker Symbol TEI                         Meeting Date 29-Jun-2018  
  ISIN US8801921094             Agenda 934785924 - Management  
  Record Date 28-Mar-2018             Holding Recon Date 28-Mar-2018  
  City / Country     / United States         Vote Deadline Date 28-Jun-2018  
  SEDOL(s)         Quick Code    
  Item Proposal   Proposed by Vote Management Recommendation For/Against Management    
  1.    DIRECTOR Management Split     Split    
      1 Ann Torre Bates Split   For Split    
      2 David W. Niemiec Split   For Split    
      3 Larry D. Thompson Split   For Split    
      4 Robert E. Wade Split   For Split    
  2.    To approve the elimination of the fundamental investment policy requiring the Fund to invest at least 65% of its total assets in U.S. dollar-denominated securities Management Split   For Split    
  3.    To approve an amended fundamental investment restriction regarding investments in commodities Management Split   For Split    
  4.    The ratification of the selection of PricewaterhouseCoopers LLP as the independent registered public accounting firm for the Fund for the fiscal year ending December 31, 2018 Management Split   For Split    

 

 

 

 

(a) (b) (c) (d) (e) (f) (g) (h) (i)
Company Ticker CUSIP Meeting Date A brief identification of the matter voted on Proposed by Issuer or Security Holder Voted Vote Cast With or Against Management
MADISON STRATEGIC
SECTOR PREMIUM FUND		 MSP 558268108 8/22/2017 Two director seats Issuer No Not Voted Not Voted
MADISON STRATEGIC
SECTOR PREMIUM FUND		 MSP 558268108 8/22/2017 Termination of investment advisory agreement Issuer No Not Voted Not Voted
MADISON STRATEGIC
SECTOR PREMIUM FUND		 MSP 558268108 8/22/2017 Self-tender offer Security Holder No Not Voted Not Voted
MADISON COVERED CALL
& EQUITY STRGY FUND		 MCN 557437100 9/15/2017 Issuance of additional common shares Issuer No Not Voted Not Voted
MADISON STRATEGIC
SECTOR PREMIUM FUND		 MSP 558268108 9/15/2017 Reorginazation between MSP and MCN and transactions contemplated thereby, including the merger of MSP into MCN Issuer No Not Voted Not Voted
MADISON STRATEGIC
SECTOR PREMIUM FUND		 MSP 558268108 9/15/2017 Issuer No Not Voted Not Voted
MADISON STRATEGIC
SECTOR PREMIUM FUND		 MSP 558268108 9/15/2017 Security Holder No Not Voted Not Voted
DEUTSCHE HIGH INC
OPPORTUNITIES FUND INC		 DHG 25158Y102 9/20/2017 Four director seats Issuer No Not Voted Not Voted
GUGGENHEIM FUNDS AGC 007639107 9/27/2017 Two trustee seats Issuer No Not Voted Not Voted
GUGGENHEIM FUNDS AVK 00764C109 9/27/2017 Two trustee seats Issuer No Not Voted Not Voted
GUGGENHEIM FUNDS LCM 00765E104 9/27/2017 Two trustee seats Issuer No Not Voted Not Voted
LEGG MASON EHI 95766B109 9/29/2017 Three director seats Issuer No Not Voted Not Voted
MORGAN STANLEY EMER
MKTS DEBT FUND, INC.		 MSD 61744H105 6/21/2018 Three director seats Issuer No Not Voted Not Voted
MORGAN STANLEY
EMERGING MARKETS FD, INC.		 MSF 61744G107 6/21/2018 Three director seats Issuer No Not Voted Not Voted
HIGHLAND FUNDS HFRO 43010E404 6/22/2018 Two director seats Issuer No Not Voted Not Voted
NEXPOINT FUNDS NHF 65340G205 6/22/2018 Two director seats Issuer No Not Voted Not Voted

 

 

 

SIGNATURE

 

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.

 

  RiverNorth Opportunities Fund, Inc.  
       
  By: /s/ Jeremy O. May  
    Jeremy O. May  
    President  
       
  Date: August 30, 2018